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pdfNIST Special Publication 800-53
Revision 4
Security and Privacy Controls for
Federal Information Systems
and Organizations
JOINT TASK FORCE
TRANSFORMATION INITIATIVE
This publication is available free of charge from:
http://dx.doi.org/10.6028/NIST.SP.800-53r4
NIST Special Publication 800-53
Revision 4
Security and Privacy Controls for
Federal Information Systems
and Organizations
JOINT TASK FORCE
TRANSFORMATION INITIATIVE
This publication is available free of charge from:
http://dx.doi.org/10.6028/NIST.SP.800-53r4
April 2013
INCLUDES UPDATES AS OF 01-22-2015
U.S. Department of Commerce
Rebecca M. Blank, Acting Secretary
National Institute of Standards and Technology
Patrick D. Gallagher, Under Secretary of Commerce for Standards and Technology and Director
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Authority
This publication has been developed by NIST to further its statutory responsibilities under the
Federal Information Security Management Act (FISMA), Public Law (P.L.) 107-347. NIST is
responsible for developing information security standards and guidelines, including minimum
requirements for federal information systems, but such standards and guidelines shall not apply to
national security systems without the express approval of appropriate federal officials exercising
policy authority over such systems. This guideline is consistent with the requirements of the
Office of Management and Budget (OMB) Circular A-130, Section 8b(3), Securing Agency
Information Systems, as analyzed in Circular A-130, Appendix IV: Analysis of Key Sections.
Supplemental information is provided in Circular A-130, Appendix III, Security of Federal
Automated Information Resources.
Nothing in this publication should be taken to contradict the standards and guidelines made
mandatory and binding on federal agencies by the Secretary of Commerce under statutory
authority. Nor should these guidelines be interpreted as altering or superseding the existing
authorities of the Secretary of Commerce, Director of the OMB, or any other federal official.
This publication may be used by nongovernmental organizations on a voluntary basis and is not
subject to copyright in the United States. Attribution would, however, be appreciated by NIST.
National Institute of Standards and Technology Special Publication 800-53, Revision 4
462 pages (April 2013)
CODEN: NSPUE2
This publication is available free of charge from: http://dx.doi.org/10.6028/NIST.SP.800-53r4
Certain commercial entities, equipment, or materials may be identified in this document in order
to describe an experimental procedure or concept adequately. Such identification is not intended
to imply recommendation or endorsement by NIST, nor is it intended to imply that the entities,
materials, or equipment are necessarily the best available for the purpose.
There may be references in this publication to other publications currently under development by
NIST in accordance with its assigned statutory responsibilities. The information in this publication,
including concepts and methodologies, may be used by Federal agencies even before the
completion of such companion publications. Thus, until each publication is completed, current
requirements, guidelines, and procedures, where they exist, remain operative. For planning and
transition purposes, Federal agencies may wish to closely follow the development of these new
publications by NIST.
Organizations are encouraged to review all draft publications during public comment periods and
provide feedback to NIST. All NIST Computer Security Division publications, other than the ones
noted above, are available at http://csrc.nist.gov/publications.
Comments on this publication may be submitted to:
National Institute of Standards and Technology
Attn: Computer Security Division, Information Technology Laboratory
100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930
Electronic Mail: sec-cert@nist.gov
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Reports on Computer Systems Technology
The Information Technology Laboratory (ITL) at the National Institute of Standards and
Technology (NIST) promotes the U.S. economy and public welfare by providing technical
leadership for the Nation’s measurement and standards infrastructure. ITL develops tests, test
methods, reference data, proof of concept implementations, and technical analyses to advance the
development and productive use of information technology. ITL’s responsibilities include the
development of management, administrative, technical, and physical standards and guidelines for
the cost-effective security and privacy of other than national security-related information in
federal information systems. The Special Publication 800-series reports on ITL’s research,
guidelines, and outreach efforts in information system security, and its collaborative activities
with industry, government, and academic organizations.
Abstract
This publication provides a catalog of security and privacy controls for federal information
systems and organizations and a process for selecting controls to protect organizational operations
(including mission, functions, image, and reputation), organizational assets, individuals, other
organizations, and the Nation from a diverse set of threats including hostile cyber attacks, natural
disasters, structural failures, and human errors. The controls are customizable and implemented as
part of an organization-wide process that manages information security and privacy risk. The
controls address a diverse set of security and privacy requirements across the federal government
and critical infrastructure, derived from legislation, Executive Orders, policies, directives,
regulations, standards, and/or mission/business needs. The publication also describes how to
develop specialized sets of controls, or overlays, tailored for specific types of missions/business
functions, technologies, or environments of operation. Finally, the catalog of security controls
addresses security from both a functionality perspective (the strength of security functions and
mechanisms provided) and an assurance perspective (the measures of confidence in the
implemented security capability). Addressing both security functionality and security assurance
ensures that information technology products and the information systems built from those
products using sound systems and security engineering principles are sufficiently trustworthy.
Keywords
Assurance; computer security; FIPS Publication 199; FIPS Publication 200, FISMA; Privacy Act;
Risk Management Framework; security controls; security requirements.
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Acknowledgements
This publication was developed by the Joint Task Force Transformation Initiative Interagency
Working Group with representatives from the Civil, Defense, and Intelligence Communities in an
ongoing effort to produce a unified information security framework for the federal government.
The National Institute of Standards and Technology wishes to acknowledge and thank the senior
leaders from the Departments of Commerce and Defense, the Office of the Director of National
Intelligence, the Committee on National Security Systems, and the members of the interagency
technical working group whose dedicated efforts contributed significantly to the publication. The
senior leaders, interagency working group members, and their organizational affiliations include:
Department of Defense
Office of the Director of National Intelligence
Teresa M. Takai
DoD Chief Information Officer
Adolpho Tarasiuk Jr.
Assistant DNI and Intelligence Community
Chief Information Officer
Robert J. Carey
Principal Deputy DoD Chief Information Officer
Charlene Leubecker
Deputy Intelligence Community Chief
Information Officer
Richard Hale
Deputy Chief Information Officer for Cybersecurity
Catherine A. Henson
Director, Data Management
Dominic Cussatt
Deputy Director, Cybersecurity Policy
Greg Hall
Chief, Risk Management and Information
Security Programs Division
National Institute of Standards and Technology
Committee on National Security Systems
Charles H. Romine
Director, Information Technology Laboratory
Teresa M. Takai
Chair, CNSS
Donna Dodson
Cybersecurity Advisor, Information Technology Laboratory
Richard Spires
Co-Chair, CNSS
Donna Dodson
Chief, Computer Security Division
Dominic Cussatt
CNSS Subcommittee Tri-Chair
Ron Ross
FISMA Implementation Project Leader
Jeffrey Wilk
CNSS Subcommittee Tri-Chair
Richard Tannich
CNSS Subcommittee Tri-Chair
Joint Task Force Transformation Initiative Interagency Working Group
Ron Ross
Gary Stoneburner
Richard Graubart
Kelley Dempsey
NIST, JTF Leader
Johns Hopkins APL
The MITRE Corporation
NIST
Esten Porter
Bennett Hodge
Karen Quigg
Christian Enloe
The MITRE Corporation
Booz Allen Hamilton
The MITRE Corporation
NIST
Kevin Stine
Jennifer Fabius
Daniel Faigin
Arnold Johnson
NIST
The MITRE Corporation
The Aerospace Corporation
NIST
Lisa Kaiser
Pam Miller
Sandra Miravalle
Victoria Pillitteri
DHS
The MITRE Corporation
The MITRE Corporation
NIST
In addition to the above acknowledgments, a special note of thanks goes to Peggy Himes and
Elizabeth Lennon of NIST for their superb technical editing and administrative support. The
authors also wish to recognize Marshall Abrams, Nadya Bartol, Frank Belz, Deb Bodeau, Dawn
Cappelli, Corinne Castanza, Matt Coose, George Dinolt, Kurt Eleam, Jennifer Guild, Cynthia
Irvine, Cass Kelly, Steve LaFountain, Steve Lipner, Tom Macklin, Tim McChesney, Michael
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and Organizations
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McEvilley, John Mildner, Joji Montelibano, George Moore, LouAnna Notargiacomo, Dorian
Pappas, Roger Schell, Carol Woody, and the research staff from the NIST Computer Security
Division for their exceptional contributions in helping to improve the content of the publication.
And finally, the authors also gratefully acknowledge and appreciate the significant contributions
from individuals, working groups, and organizations in the public and private sectors, both
nationally and internationally, whose thoughtful and constructive comments improved the overall
quality, thoroughness, and usefulness of this publication.
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FIPS 200 AND SP 800-53
IMPLEMENTING INFORMATION SECURITY STANDARDS AND GUIDELINES
FIPS Publication 200, Minimum Security Requirements for Federal Information and Information
Systems, is a mandatory federal standard developed by NIST in response to FISMA. To comply with
the federal standard, organizations first determine the security category of their information
system in accordance with FIPS Publication 199, Standards for Security Categorization of Federal
Information and Information Systems, derive the information system impact level from the
security category in accordance with FIPS 200, and then apply the appropriately tailored set of
baseline security controls in NIST Special Publication 800-53, Security and Privacy Controls for
Federal Information Systems and Organizations. Organizations have flexibility in applying the
baseline security controls in accordance with the guidance provided in Special Publication 800-53.
This allows organizations to tailor the relevant security control baseline so that it more closely
aligns with their mission and business requirements and environments of operation.
FIPS 200 and NIST Special Publication 800-53, in combination, ensure that appropriate security
requirements and security controls are applied to all federal information and information systems.
An organizational assessment of risk validates the initial security control selection and determines
if additional controls are needed to protect organizational operations (including mission,
functions, image, or reputation), organizational assets, individuals, other organizations, or the
Nation. The resulting set of security controls establishes a level of security due diligence for the
organization.
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DEVELOPING COMMON INFORMATION SECURITY FOUNDATIONS
COLLABORATION AMONG PUBLIC AND PRIVATE SECTOR ENTITIES
In developing standards and guidelines required by FISMA, NIST consults with other federal
agencies and the private sector to improve information security, avoid unnecessary and costly
duplication of effort, and ensure that its publications are complementary with the standards and
guidelines employed for the protection of national security systems. In addition to a
comprehensive public review and vetting process, NIST is collaborating with the Office of the
Director of National Intelligence (ODNI), the Department of Defense (DoD), and the Committee on
National Security Systems (CNSS) to establish a unified information security framework for the
federal government. A common foundation for information security will provide the Civil,
Defense, and Intelligence sectors of the federal government and their contractors, more costeffective and consistent ways to manage information security-related risk to organizational
operations and assets, individuals, other organizations, and the Nation. The unified framework will
also provide a strong basis for reciprocal acceptance of authorization decisions and facilitate
information sharing. NIST is also working with many public and private sector entities to establish
mappings and relationships between the security standards and guidelines developed by NIST and
the International Organization for Standardization and International Electrotechnical Commission
(ISO/IEC).
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SECURITY REQUIREMENTS
FROM THE PERSPECTIVE OF DIFFERENT COMMUNITIES OF INTEREST
The term security requirement is used by different communities and groups in different ways and
may require additional explanation to establish the particular context for the various use cases.
Security requirements can be stated at a very high level of abstraction, for example, in legislation,
Executive Orders, directives, policies, standards, and mission/business needs statements. FISMA
and FIPS Publication 200 articulate security requirements at such a level.
Acquisition personnel develop security requirements for contracting purposes that address the
protections necessary to achieve mission/business needs. Systems/security engineers, system
developers, and systems integrators develop the security design requirements for the information
system, develop the system security architecture and the architecture-specific derived security
requirements, and subsequently implement specific security functions at the hardware, software,
and firmware component level.
Security requirements are also reflected in various nontechnical security controls that address
such matters as policy and procedures at the management and operational elements within
organizations, again at differing levels of detail. It is important to define the context for each use of
the term security requirement so the respective communities (including individuals responsible for
policy, architecture, acquisition, engineering, and mission/business protection) can clearly
communicate their intent.
Organizations may define certain security capabilities needed to satisfy security requirements and
provide appropriate mission and business protection. Security capabilities are typically defined by
bringing together a specific set of safeguards/countermeasures (i.e., security controls) derived
from the appropriately tailored baselines that together produce the needed capability.
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TECHNOLOGY AND POLICY NEUTRALITY
CHARACTERISTICS OF SECURITY CONTROLS
The security controls in the catalog with few exceptions, have been designed to be policy- and
technology-neutral. This means that security controls and control enhancements focus on the
fundamental safeguards and countermeasures necessary to protect information during
processing, while in storage, and during transmission. Therefore, it is beyond the scope of this
publication to provide guidance on the application of security controls to specific technologies,
environments of operation, communities of interest, or missions/business functions. Applicationspecific areas are addressed by the use of the tailoring process described in Chapter Three and the
use of overlays described in Appendix I. It should also be noted that while the security controls are
largely policy- and technology-neutral, that does not imply that the controls are policy- and
technology-unaware. Understanding policy and technology is necessary so that the controls are
meaningful and relevant when implemented.
In the few cases where specific technologies are called out in security controls (e.g., mobile, PKI,
wireless, VOIP), organizations are cautioned that the need to provide adequate security goes well
beyond the requirements in a single control associated with a particular technology. Many of the
needed safeguards and countermeasures are obtained from the other security controls in the
catalog allocated to the initial control baselines as starting points for the development of security
plans and overlays using the tailoring process. There may also be some overlap in the protections
articulated by the security controls within the different control families.
In addition to the customer-driven development of specialized security plans and overlays, NIST
Special Publications and Interagency Reports may provide guidance on recommended security
controls for specific technologies and sector-specific applications (e.g., Smart Grid, healthcare,
Industrial Control Systems, and mobile).
Employing a technology- and policy-neutral security control catalog has the following benefits:
• It encourages organizations to focus on the security capabilities required for mission/business
success and the protection of information, irrespective of the information technologies that are
employed in organizational information systems.
• It encourages organizations to analyze each security control for its applicability to specific
technologies, environments of operation, missions/business functions, and communities of
interest.
• It encourages organizations to specify security policies as part of the tailoring process for security
controls that have variable parameters.
The specialization of security plans using the tailoring guidance and overlays, together with a robust
set of technology- and policy-neutral security controls, promotes cost-effective, risk-based
information security for organizations—in any sector, for any technology, and in any operating
environment.
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INFORMATION SECURITY DUE DILIGENCE
MANAGING THE RISK TO ORGANIZATIONAL MISSIONS/BUSINESS FUNCTIONS
The security controls in NIST Special Publication 800-53 are designed to facilitate compliance with
applicable federal laws, Executive Orders, directives, policies, regulations, standards, and
guidance. Compliance is not about adhering to static checklists or generating unnecessary FISMA
reporting paperwork. Rather, compliance necessitates organizations executing due diligence with
regard to information security and risk management. Information security due diligence includes
using all appropriate information as part of an organization-wide risk management program to
effectively use the tailoring guidance and inherent flexibility in NIST publications so that the
selected security controls documented in organizational security plans meet the mission and
business requirements of organizations. Using the risk management tools and techniques that are
available to organizations is essential in developing, implementing, and maintaining the
safeguards and countermeasures with the necessary and sufficient strength of mechanism to
address the current threats to organizational operations and assets, individuals, other
organizations, and the Nation. Employing effective risk-based processes, procedures, and
technologies will help ensure that all federal information systems and organizations have the
necessary resilience to support ongoing federal responsibilities, critical infrastructure applications,
and continuity of government.
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PRIVACY CONTROLS
PROVIDING PRIVACY PROTECTION FOR FEDERAL INFORMATION
Appendix J, Privacy Control Catalog, is a new addition to NIST Special Publication 800-53. It is
intended to address the privacy needs of federal agencies. The Privacy Appendix:
•
Provides a structured set of privacy controls, based on best practices, that help organizations
comply with applicable federal laws, Executive Orders, directives, instructions, regulations,
policies, standards, guidance, and organization-specific issuances;
•
Establishes a linkage and relationship between privacy and security controls for purposes of
enforcing respective privacy and security requirements which may overlap in concept and in
implementation within federal information systems, programs, and organizations;
•
Demonstrates the applicability of the NIST Risk Management Framework in the selection,
implementation, assessment, and ongoing monitoring of privacy controls deployed in federal
information systems, programs, and organizations; and
•
Promotes closer cooperation between privacy and security officials within the federal
government to help achieve the objectives of senior leaders/executives in enforcing the
requirements in federal privacy legislation, policies, regulations, directives, standards, and
guidance.
There is a strong similarity in the structure of the privacy controls in Appendix J and the security
controls in Appendices F and G. For example, the control AR-1 (Governance and Privacy Program)
requires organizations to develop privacy plans that can be implemented at the organizational or
program level. These plans can also be used in conjunction with security plans to provide an
opportunity for organizations to select the appropriate set of security and privacy controls in
accordance with organizational mission/business requirements and the environments in which the
organizations operate. Incorporating the same concepts used in managing information security
risk, helps organizations implement privacy controls in a more cost-effective, risked-based manner
while simultaneously protecting individual privacy and meeting compliance requirements.
Standardized privacy controls provide a more disciplined and structured approach for satisfying
federal privacy requirements and demonstrating compliance to those requirements.
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CAUTIONARY NOTE
IMPLEMENTING CHANGES BASED ON REVISIONS TO SPECIAL PUBLICATION 800-53
When NIST publishes revisions to Special Publication 800-53, there are four primary types of
changes made to the document: (i) security controls or control enhancements are added to or
withdrawn from Appendices F and G and/or to the low, moderate, and high baselines; (ii)
supplemental guidance is modified; (iii) material in the main chapters or appendices is modified;
and (iv) language is clarified and/or updated throughout the document.
When modifying existing tailored security control baselines at Tier 3 in the risk management
hierarchy (as described in Special Publication 800-39) and updating security controls at any tier as
a result of Special Publication 800-53 revisions, organizations should take a measured, risk-based
approach in accordance with organizational risk tolerance and current risk assessments. Unless
otherwise directed by OMB policy, the following activities are recommended to implement
changes to Special Publication 800-53:
• First, organizations determine if any added security controls/control enhancements are
applicable to organizational information systems or environments of operation following
tailoring guidelines in this publication.
• Next, organizations review changes to the supplemental guidance, guidance in the main
chapters and appendices, and updated/clarified language throughout the publication to
determine if changes apply to any organizational information systems and if any immediate
actions are required.
• Finally, once organizations have determined the entirety of changes necessitated by the
revisions to the publication, the changes are integrated into the established continuous
monitoring process to the greatest extent possible. The implementation of new or modified
security controls to address specific, active threats is always the highest priority for sequencing
and implementing changes. Modifications such as changes to templates or minor language
changes in policy or procedures are generally the lowest priority and are made in conjunction
with established review cycles.
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Table of Contents
CHAPTER ONE INTRODUCTION .......................................................................................... 1
1.1
1.2
1.3
1.4
1.5
PURPOSE AND APPLICABILITY ..................................................................................................
TARGET AUDIENCE..................................................................................................................
RELATIONSHIP TO OTHER SECURITY CONTROL PUBLICATIONS....................................................
ORGANIZATIONAL RESPONSIBILITIES ........................................................................................
ORGANIZATION OF THIS SPECIAL PUBLICATION..........................................................................
2
3
3
4
6
CHAPTER TWO THE FUNDAMENTALS .................................................................................. 7
2.1
2.2
2.3
2.4
2.5
2.6
2.7
MULTITIERED RISK MANAGEMENT ............................................................................................. 7
SECURITY CONTROL STRUCTURE ............................................................................................. 9
SECURITY CONTROL BASELINES............................................................................................. 12
SECURITY CONTROL DESIGNATIONS ....................................................................................... 14
EXTERNAL SERVICE PROVIDERS ............................................................................................ 17
ASSURANCE AND TRUSTWORTHINESS .................................................................................... 20
REVISIONS AND EXTENSIONS ................................................................................................. 26
CHAPTER THREE THE PROCESS ...................................................................................... 28
3.1
3.2
3.3
3.4
3.5
SELECTING SECURITY CONTROL BASELINES ...........................................................................
TAILORING BASELINE SECURITY CONTROLS ............................................................................
CREATING OVERLAYS ............................................................................................................
DOCUMENTING THE CONTROL SELECTION PROCESS ...............................................................
NEW DEVELOPMENT AND LEGACY SYSTEMS ...........................................................................
28
30
40
42
44
APPENDIX A REFERENCES ............................................................................................ A-1
APPENDIX B GLOSSARY ................................................................................................ B-1
APPENDIX C ACRONYMS ............................................................................................... C-1
APPENDIX D SECURITY CONTROL BASELINES – SUMMARY ............................................... D-1
APPENDIX E ASSURANCE AND TRUSTWORTHINESS ......................................................... E-1
APPENDIX F SECURITY CONTROL CATALOG .................................................................... F-1
APPENDIX G INFORMATION SECURITY PROGRAMS........................................................... G-1
APPENDIX H INTERNATIONAL INFORMATION SECURITY STANDARDS .................................. H-1
APPENDIX I
OVERLAY TEMPLATE .....................................................................................I-1
APPENDIX J PRIVACY CONTROL CATALOG ....................................................................... J-1
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Prologue
“…Through the process of risk management, leaders must consider risk to US interests from
adversaries using cyberspace to their advantage and from our own efforts to employ the global
nature of cyberspace to achieve objectives in military, intelligence, and business operations… “
“…For operational plans development, the combination of threats, vulnerabilities, and impacts
must be evaluated in order to identify important trends and decide where effort should be applied
to eliminate or reduce threat capabilities; eliminate or reduce vulnerabilities; and assess,
coordinate, and deconflict all cyberspace operations…”
“…Leaders at all levels are accountable for ensuring readiness and security to the same degree
as in any other domain…"
-- THE NATIONAL STRATEGY FOR CYBERSPACE OPERATIONS
OFFICE OF THE CHAIRMAN, JOINT CHIEFS OF STAFF, U.S. DEPARTMENT OF DEFENSE
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Foreword
NIST Special Publication 800-53, Revision 4, represents the most comprehensive update to the
security controls catalog since its inception in 2005. The publication was developed by NIST, the
Department of Defense, the Intelligence Community, and the Committee on National Security
Systems as part of the Joint Task Force, an interagency partnership formed in 2009. This update
was motivated principally by the expanding threat space—characterized by the increasing
sophistication of cyber attacks and the operations tempo of adversaries (i.e., the frequency of such
attacks, the professionalism of the attackers, and the persistence of targeting by attackers). Stateof-the-practice security controls and control enhancements have been developed and integrated
into the catalog addressing such areas as: mobile and cloud computing; applications security;
trustworthiness, assurance, and resiliency of information systems; insider threat; supply chain
security; and the advanced persistent threat. In addition, Special Publication 800-53 has been
expanded to include eight new families of privacy controls based on the internationally accepted
Fair Information Practice Principles.
Special Publication 800-53, Revision 4, provides a more holistic approach to information security
and risk management by providing organizations with the breadth and depth of security controls
necessary to fundamentally strengthen their information systems and the environments in which
those systems operate—contributing to systems that are more resilient in the face of cyber attacks
and other threats. This “Build It Right” strategy is coupled with a variety of security controls for
“Continuous Monitoring” to give organizations near real-time information that is essential for
senior leaders making ongoing risk-based decisions affecting their critical missions and business
functions.
To take advantage of the expanded set of security and privacy controls, and to give organizations
greater flexibility and agility in defending their information systems, the concept of overlays was
introduced in this revision. Overlays provide a structured approach to help organizations tailor
security control baselines and develop specialized security plans that can be applied to specific
missions/business functions, environments of operation, and/or technologies. This specialization
approach is important as the number of threat-driven controls and control enhancements in the
catalog increases and organizations develop risk management strategies to address their specific
protection needs within defined risk tolerances.
Finally, there have been several new features added to this revision to facilitate ease of use by
organizations. These include:
•
Assumptions relating to security control baseline development;
•
Expanded, updated, and streamlined tailoring guidance;
•
Additional assignment and selection statement options for security and privacy controls;
•
Descriptive names for security and privacy control enhancements;
•
Consolidated tables for security controls and control enhancements by family with
baseline allocations;
•
Tables for security controls that support development, evaluation, and operational
assurance; and
•
Mapping tables for international security standard ISO/IEC 15408 (Common Criteria).
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The security and privacy controls in Special Publication 800-53, Revision 4, have been designed
to be largely policy/technology-neutral to facilitate flexibility in implementation. The controls are
well positioned to support the integration of information security and privacy into organizational
processes including enterprise architecture, systems engineering, system development life cycle,
and acquisition/procurement. Successful integration of security and privacy controls into ongoing
organizational processes will demonstrate a greater maturity of security and privacy programs and
provide a tighter coupling of security and privacy investments to core organizational missions and
business functions.
The Joint Task Force
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Errata
The following changes have been incorporated into Special Publication 800-53, Revision 4.
DATE
TYPE
CHANGE
PAGE
05-07-2013
Editorial
Changed CA-9 Priority Code from P1 to P2 in Table D-2.
D-3
05-07-2013
Editorial
Changed CM-10 Priority Code from P1 to P2 in Table D-2.
D-4
05-07-2013
Editorial
Changed MA-6 Priority Code from P1 to P2 in Table D-2.
D-5
05-07-2013
Editorial
Changed MP-3 Priority Code from P1 to P2 in Table D-2.
D-5
05-07-2013
Editorial
Changed PE-5 Priority Code from P1 to P2 in Table D-2.
D-5
05-07-2013
Editorial
Changed PE-16 Priority Code from P1 to P2 in Table D-2.
D-5
05-07-2013
Editorial
Changed PE-17 Priority Code from P1 to P2 in Table D-2.
D-5
05-07-2013
Editorial
Changed PE-18 Priority Code from P2 to P3 in Table D-2.
D-5
05-07-2013
Editorial
Changed PL-4 Priority Code from P1 to P2 in Table D-2.
D-6
05-07-2013
Editorial
Changed PS-4 Priority Code from P2 to P1 in Table D-2.
D-6
05-07-2013
Editorial
Changed SA-11 Priority Code from P2 to P1 in Table D-2.
D-6
05-07-2013
Editorial
Changed SC-18 Priority Code from P1 to P2 in Table D-2.
D-7
05-07-2013
Editorial
Changed SI-8 Priority Code from P1 to P2 in Table D-2.
D-8
05-07-2013
Editorial
Deleted reference to SA-5(6) in Table D-17.
D-32
05-07-2013
Editorial
Deleted CM-4(3) from Table E-2.
E-4
05-07-2013
Editorial
Deleted CM-4(3) from Table E-3.
E-5
05-07-2013
Editorial
Deleted reference to SA-5(6).
F-161
05-07-2013
Editorial
Changed SI-16 Priority Code from P0 to P1.
F-233
01-15-2014
Editorial
Deleted “(both intentional and unintentional)” in line 5 in Abstract.
iii
01-15-2014
Editorial
Deleted “security and privacy” in line 5 in Abstract.
iii
01-15-2014
Editorial
Changed “an initial set of baseline security controls” to “the applicable security
control baseline” in Section 2.1, RMF Step 2.
9
01-15-2014
Editorial
Deleted the following paragraph: “The security control enhancements section
provides…in Appendix F.”
11
01-15-2014
Editorial
Changed “baseline security controls” to “the security control baselines” in Section
2.3, 2nd paragraph, line 6.
13
01-15-2014
Editorial
Changed “an initial set of security controls” to “the applicable security control
baseline” in Section 3.1, paragraph 2, line 4.
28
01-15-2014
Editorial
Changed “security control baselines” to “baselines identified in Appendix D” in
Section 3.1, paragraph 2, line 5.
28
01-15-2014
Editorial
Changed “an appropriate set of baseline controls” to “the appropriate security
control baseline” in Section 3.1, paragraph 3, line 3.
29
01-15-2014
Editorial
Deleted “initial” before “security control baseline” and added “FIPS 200” before
“impact level” in Section 3.1, paragraph 3, line 4.
29
01-15-2014
Editorial
Changed “sets of baseline security controls” to “security control baselines” in
Section 3.1, paragraph 3, line 6.
29
01-15-2014
Editorial
Changed “initial set of baseline security controls” to “applicable security control
baseline” in Section 3.2, paragraph 1, line 1.
30
01-15-2014
Editorial
Changed “initial set of baseline security controls” to “applicable security control
baseline” in Section 3.2, paragraph 3, line 5.
31
01-15-2014
Editorial
Deleted “set of” before “security controls” in Section 3.2, Applying Scoping
Considerations, Mobility paragraph, line 1.
33
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Special Publication 800-53 Revision 4
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________________________________________________________________________________________________
DATE
TYPE
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PAGE
01-15-2014
Editorial
Deleted “initial” before “set of” in Section 3.2, Applying Scoping Considerations,
Mobility paragraph, line 2.
33
01-15-2014
Editorial
Changed “the baselines” to “each baseline” in Section 3.2, Applying Scoping
Considerations, Mobility paragraph, line 3.
33
01-15-2014
Editorial
Changed “initial set of security controls” to “security control baseline” in Section 3.2,
Applying Scoping Considerations, Mobility paragraph, line 5.
33
01-15-2014
Editorial
Added “specific” before “locations” in Section 3.2, Applying Scoping
Considerations, Mobility paragraph, line 6.
33
01-15-2014
Editorial
Changed “initial” to “three” in Section 3.2, Applying Scoping Considerations,
Mobility paragraph, line 8.
33
01-15-2014
Editorial
Changed “initial set of baseline security controls” to “applicable security control
baseline” in Section 3.2, Selecting Compensating Security Controls, line 10.
36
01-15-2014
Editorial
Changed “a set of initial baseline security controls” to “security control baselines” in
Section 3.3, line 1.
40
01-15-2014
Editorial
Added “.” after “C.F.R” in #3, Policies, Directives, Instructions, Regulations, and
Memoranda.
A-1
01-15-2014
Editorial
Added “Revision 1 (Draft)” to NIST Special Publication 800-52 in References.
A-7
01-15-2014
Editorial
Added “Configuration,” to title of NIST Special Publication 800-52, Revision 1.
A-7
01-15-2014
Editorial
Changed date for NIST Special Publication 800-52, Revision 1 to September 2013.
A-7
01-15-2014
Editorial
Moved definition for Information Security Risk after Information Security Program
Plan in Glossary.
B-11
01-15-2014
Editorial
Added AC-2(11) to high baseline in Table D-2.
D-2
01-15-2014
Editorial
Changed AC-10 Priority Code from P2 to P3 in Table D-2.
D-2
01-15-2014
Editorial
Changed AC-14 Priority Code from P1 to P3 in Table D-2.
D-2
01-15-2014
Editorial
Changed AC-22 Priority Code from P2 to P3 in Table D-2.
D-2
01-15-2014
Editorial
Changed AU-10 Priority Code from P1 to P2 in Table D-2.
D-3
01-15-2014
Editorial
Changed CA-6 Priority Code from P3 to P2 in Table D-2.
D-3
01-15-2014
Editorial
Changed CA-7 Priority Code from P3 to P2 in Table D-2.
D-3
01-15-2014
Editorial
Changed CA-8 Priority Code from P1 to P2 in Table D-2.
D-3
01-15-2014
Editorial
Changed IA-6 Priority Code from P1 to P2 in Table D-2.
D-4
01-15-2014
Editorial
Changed IR-7 Priority Code from P3 to P2 in Table D-2.
D-5
01-15-2014
Editorial
Changed MA-3 Priority Code from P2 to P3 in Table D-2.
D-5
01-15-2014
Editorial
Changed MA-4 Priority Code from P1 to P2 in Table D-2.
D-5
01-15-2014
Editorial
Changed MA-5 Priority Code from P1 to P2 in Table D-2.
D-5
01-15-2014
Editorial
Deleted Program Management Controls from Table D-2.
D-8/9
01-15-2014
Editorial
Deleted the following sentence at end of paragraph:
“There is no summary table provided for the Program Management (PM) family
since PM controls are not associated with any particular security control baseline.”
D-9
01-15-2014
Editorial
Added AC-2(12) and AC-2(13) to high baseline in Table D-3.
D-10
01-15-2014
Editorial
Changed AC-17(5) incorporated into reference from AC-17 to SI-4 in Table D-3.
D-12
01-15-2014
Editorial
Changed AC-17(7) incorporated into reference from AC-3 to AC-3(10) in Table D-3.
D-12
01-15-2014
Editorial
Changed AC-6 to AC-6(9) in AU-2(4) withdrawal notice in Table D-5.
D-15
01-15-2014
Editorial
Changed “Training” to “Scanning” in SA-19(4) title in Table D-17.
D-34
01-15-2014
Editorial
Deleted SC-9(1), SC-9(2), SC-9(3), and SC-9(4) from Table D-18.
D-37
01-15-2014
Editorial
Added AC-2 and AC-5 to SC-14 and deleted SI-9 from SC-14 in Table D-18.
D-37
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and Organizations
________________________________________________________________________________________________
DATE
TYPE
CHANGE
PAGE
01-15-2014
Editorial
Deleted CA-3(5) from Table E-2.
E-4
01-15-2014
Editorial
Added CM-3(2) to Table E-2.
E-4
01-15-2014
Editorial
Added RA-5(2) and RA-5(5) to Table E-2.
E-4
01-15-2014
Editorial
Deleted CA-3(5) from Table E-3.
E-5
01-15-2014
Editorial
Added CM-3(2) to Table E-3.
E-5
01-15-2014
Editorial
Deleted bold text from RA-5(2) and RA-5(5) in Table E-3.
E-5
01-15-2014
Editorial
Added CM-8(9) to Table E-4.
E-7
01-15-2014
Editorial
Added CP-4(4) to Table E-4.
E-7
01-15-2014
Editorial
Added IR-3(1) to Table E-4.
E-7
01-15-2014
Editorial
Added RA-5(3) to Table E-4.
E-7
01-15-2014
Editorial
Deleted SA-4(4) from Table E-4.
E-7
01-15-2014
Editorial
Changed SA-21(1) from “enhancements” to “enhancement” in Table E-4.
E-7
01-15-2014
Editorial
Deleted SI-4(8) from Table E-4.
E-7
01-15-2014
Editorial
Changed “risk management process” to “RMF” in Using the Catalog, line 4.
F-6
01-15-2014
Editorial
Changed “an appropriate set of security controls” to “the appropriate security
control baselines” in Using the Catalog, line 5.
F-6
01-15-2014
Editorial
Deleted extraneous “,” from AC-2 g.
F-7
01-15-2014
Editorial
Added AC-2(11) to high baseline.
F-10
01-15-2014
Substantive
Added the following text to AC-3(2) Supplemental Guidance:
“Dual authorization may also be known as two-person control.”
F-11
01-15-2014
Editorial
Changed “ucdmo.gov” to “None” in AC-4 References.
F-18
01-15-2014
Editorial
Added “.” after “C.F.R” in AT-2 References.
F-38
01-15-2014
Editorial
Changed AC-6 to AC-6(9) in AU-2(4) withdrawal notice.
F-42
01-15-2014
Editorial
Deleted “csrc.nist.gov/pcig/cig.html” and added “http://” to URL in AU-2 References.
F-42
01-15-2014
Editorial
Changed “identify” to “identity” in AU-6(6) Supplemental Guidance.
F-46
01-15-2014
Substantive
Added the following text to AU-9(5) Supplemental Guidance:
“Dual authorization may also be known as two-person control.”
F-49
01-15-2014
Editorial
Added “Control Enhancements: None.” to AU-15.
F-53
01-15-2014
Editorial
Deleted extraneous “.” from CM-2(7) Supplemental Guidance.
F-66
01-15-2014
Editorial
Added “)” after “board” in CM-3 g.
F-66
01-15-2014
Substantive
Added CA-7 to related controls list in CM-3.
F-66
01-15-2014
Substantive
Added the following text to CM-5(4) Supplemental Guidance:
“Dual authorization may also be known as two-person control.”
F-69
01-15-2014
Editorial
Added “http://” to URLs in CM-6 References.
F-71
01-15-2014
Editorial
Added “component” before “inventories” in CM-8(5).
F-74
01-15-2014
Editorial
Changed “tsp.ncs.gov” to “http://www.dhs.gov/telecommunications-service-prioritytsp” in CP-8 References.
F-86
01-15-2014
Substantive
Added the following text to CP-9(7) Supplemental Guidance:
“Dual authorization may also be known as two-person control.”
F-87
01-15-2014
Editorial
Changed “HSPD 12” to “HSPD-12” and added “http://” to URL in IA-2 References.
F-93
01-15-2014
Editorial
Changed “encrypted representations of” to “cryptographically-protected” in IA-5(1)
(c).
F-96
01-15-2014
Editorial
Changed “Encrypted representations of” to “Cryptographically-protected” in IA-5(1)
Supplemental Guidance.
F-97
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and Organizations
________________________________________________________________________________________________
DATE
TYPE
CHANGE
01-15-2014
Substantive
Added the following text to IA-5(1) Supplemental Guidance:
“To mitigate certain brute force attacks against passwords, organizations may also
consider salting passwords.”
F-97
01-15-2014
Editorial
Added “http://” to URL in IA-5 References.
F-99
01-15-2014
Editorial
Added “http://” to URL in IA-7 References.
F-99
01-15-2014
Editorial
Added “http://” to URL in IA-8 References.
F-101
01-15-2014
Editorial
Changed “:” to “;” after “800-61” and added “http://” to URL in IR-6 References.
F-108
01-15-2014
Substantive
Added the following text to MP-6(7) Supplemental Guidance:
“Dual authorization may also be known as two-person control.”
F-124
01-15-2014
Editorial
Added “http://” to URL in MP-6 References.
F-124
01-15-2014
Editorial
Changed “DoDI” to “DoD Instruction” and added “http://” to URLs in PE-3
References.
F-130
01-15-2014
Editorial
Deleted “and supplementation” after “tailoring” in PL-2 a. 8.
F-140
01-15-2014
Editorial
Added “Special” before “Publication” in PL-4 References.
F-141
01-15-2014
Editorial
Added “Control Enhancements: None.” to PL-7.
F-142
01-15-2014
Editorial
Deleted AT-5, AC-19(6), AC-19(8), and AC-19(9) from PL-9 Supplemental
Guidance.
F-144
01-15-2014
Editorial
Added “Control Enhancements: None.” to PL-9.
F-144
01-15-2014
Editorial
Added “Special” before “Publication” in PL-9 References.
F-144
01-15-2014
Editorial
Changed “731.106(a)” to “731.106” in PS-2 References.
F-145
01-15-2014
Editorial
Changed “Publication” to “Publications” and added “http://” to URL in RA-3
References.
F-153
01-15-2014
Editorial
Added “http://” to URLs in RA-5 References.
F-155
01-15-2014
Editorial
Added “http://” to URLs in SA-4 References.
F-160
01-15-2014
Substantive
Added the following text to SA-11(8) Supplemental Guidance:
“To understand the scope of dynamic code analysis and hence the assurance
provided, organizations may also consider conducting code coverage analysis
(checking the degree to which the code has been tested using metrics such as
percent of subroutines tested or percent of program statements called during
execution of the test suite) and/or concordance analysis (checking for words that
are out of place in software code such as non-English language words or
derogatory terms).”
F-169
01-15-2014
Editorial
Added “http://” to URLs in SA-11 References.
F-169
01-15-2014
Editorial
Added “Control Enhancements: None.” to SA-16.
F-177
01-15-2014
Editorial
Changed “Training” to “Scanning” in SA-19(4) title.
F-181
01-15-2014
Editorial
Changed “physical” to “protected” in SC-8 Supplemental Guidance.
F-193
01-15-2014
Editorial
Changed “140-2” to “140” and added “http://” to URLs in SC-13 References.
F-196
01-15-2014
Editorial
Added “authentication” after “data origin” in SC-20, Part a.
F-199
01-15-2014
Editorial
Added “verification” after “integrity” in SC-20, Part a.
F-199
01-15-2014
Editorial
Added “Control Enhancements: None.” to SC-35.
F-209
01-15-2014
Editorial
Deleted extraneous “References: None” from SI-7.
F-228
PAGE xx
PAGE
Special Publication 800-53 Revision 4
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and Organizations
________________________________________________________________________________________________
DATE
TYPE
CHANGE
PAGE
01-15-2014
Substantive
Added the following text as new third paragraph in Appendix G::
“Table G-1 provides a summary of the security controls in the program
management family from Appendix G. Organizations can use the recommended
priority code designation associated with each program management control to
assist in making sequencing decisions for implementation (i.e., a Priority Code 1
[P1] control has a higher priority for implementation than a Priority Code 2 [P2]
control; and a Priority Code 2 [P2] control has a higher priority for implementation
than a Priority Code 3 [P3] control.”
G-1/2
01-15-2014
Editorial
Added Table G-1 to Appendix G.
G-2
01-15-2014
Editorial
Added “http://” to URL in PM-5 References.
G-5
01-15-2014
Editorial
Deleted “Web: www.fsam.gov” from PM-7 References.
G-5
01-15-2014
Editorial
Added “http://” to URL in Footnote 124.
J-22
01-22-2015
Editorial
Changed security control enhancement naming convention (i.e., format) by deleting
space between base security control and numbered enhancement designation.
Global
01-22-2015
Editorial
Changed “(iv) and” to “and (iv)” in Glossary definition for Developer.
B-6
01-22-2015
Editorial
Changed “an IR-2 (1) in the high baseline entry for the IR-2 security control” to “the
IR-2 (1) (2) entry in the high baseline for IR-2” in Appendix D, paragraph 1, line 8.
D-1
01-22-2015
Editorial
Changed “enhancement (1)” to “enhancements (1) and (2)” in Appendix D,
paragraph 1, line 10.
D-1
01-22-2015
Editorial
Deleted “in the security control catalog“ in Appendix D, paragraph 1, line 10.
D-1
01-22-2015
Editorial
Changed “SHARED GROUPS / ACCOUNTS“ to “SHARED / GROUP ACCOUNTS” in
Table D-3, AC-2(9) title.
D-10
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in Table D-4, AT-3(1) title.
D-14
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in Table D-4, AT-3(2) title.
D-14
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in Table D-4, AT-3(3) title.
D-14
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in Table D-4, AT-3(4) title.
D-14
01-22-2015
Editorial
Added “-BASED“ to “BIOMETRIC” in Table D-9, IA-5(12) title.
D-23
01-22-2015
Editorial
Deleted “/ ANALYSIS“ after “PENETRATION TESTING” in Table D-17, SA-11(5) title.
D-33
01-22-2015
Editorial
Changed “(1)” from normal font to bold font in Table E-4, SI-4(1).
E-7
01-22-2015
Editorial
Changed “SHARED GROUPS / ACCOUNTS“ to “SHARED / GROUP ACCOUNTS” in AC2(9) title.
F-10
01-22-2015
Editorial
Changed “use“ to “usage” in AC-2(12) part (a).
F-10
01-22-2015
Editorial
Changed “policies“ to “policy” in AC-3(3).
F-11
01-22-2015
Editorial
Deleted “specifies that” in AC-3(3).
F-11
01-22-2015
Editorial
Changed “The policy is“ to “Is” in AC-3(3) part (a).
F-11
01-22-2015
Editorial
Changed “A“ to “Specifies that a” in AC-3(3) part (b).
F-11
01-22-2015
Editorial
Added “Specifies that“ to AC-3(3) part (c).
F-11
01-22-2015
Editorial
Changed “Organized-defined“ to “organization-defined” in AC-3(3) part (c).
F-11
01-22-2015
Editorial
Changed “policies“ to “policy” in AC-3(4).
F-12
01-22-2015
Editorial
Added “information“ before “flows” in AC-4(7).
F-15
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in AT-3(1) title.
F-39
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in AT-3(2) title.
F-39
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in AT-3(3) title.
F-39
01-22-2015
Editorial
Added “ROLE-BASED“ before “SECURITY TRAINING” in AT-3(4) title.
F-39
01-22-2015
Editorial
Added “the” before “relationship” in AU-12(1).
F-52
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and Organizations
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DATE
TYPE
CHANGE
PAGE
01-22-2015
Editorial
Moved “.” outside of closing bracket in Withdrawn section.
F-61
01-22-2015
Editorial
Changed “that“ to “those” in CP-7 part c.
F-84
01-22-2015
Editorial
Deleted “list of“ in IA-2(10).
F-92
01-22-2015
Editorial
Deleted “such as documentary evidence or a combination of documents and
biometrics“ in IA-4(3).
F-95
01-22-2015
Editorial
Added “, such as documentary evidence or a combination of documents and
biometrics,“ in IA-4(3) Supplemental Guidance.
F-95
01-22-2015
Editorial
Added “-BASED“ to “BIOMETRIC” in IA-5(12) title.
F-98
01-22-2015
Editorial
Changed “testing/exercises“ to “testing” in IR-4 part c.
F-105
01-22-2015
Editorial
Deleted “and“ before “prior” in MA-4(3) part (b).
F-115
01-22-2015
Editorial
Changed “Sanitation“ to “Sanitization” in MP-7(2) Supplemental Guidance (two
instances).
F-125
01-22-2015
Editorial
Changed “resign“ to “re-sign” in PL-4 part d.
F-141
01-22-2015
Editorial
Deleted “security categorization decision is reviewed and approved by the“ before
“authorizing” (first instance) in RA-2 part c.
F-151
01-22-2015
Editorial
Added “reviews and approves the security categorization decision“ after
“representative” RA-2 part c.
F-151
01-22-2015
Editorial
Changed “;“ to “,” after IA-2 in SA-4(10) Supplemental Guidance.
F-160
01-22-2015
Editorial
Added “takes“ before assignment statement in SA-5 part c.
F-161
01-22-2015
Editorial
Changed “either is“ to “is either” in SA-11(3) part (b).
F-167
01-22-2015
Editorial
Deleted “has been“ before “granted” in SA-11(3) part (b).
F-167
01-22-2015
Editorial
Deleted “/ ANALYSIS“ after “PENETRATION TESTING” in SA-11(5) title.
F-168
01-22-2015
Editorial
Deleted “enhancement“ after “control” in SA-12 Supplemental Guidance.
F-169
01-22-2015
Editorial
Deleted “Related control: PE-21.” from SA-12(9) Supplemental Guidance.
F-171
01-22-2015
Editorial
Changed “reference to source“ to “references to sources” in SC-5.
F-187
01-22-2015
Editorial
Added “to be“ before “routed to” in SC-7(11).
F-190
01-22-2015
Editorial
Changed “i“ to “1” and “ii” to “2” in SI-4 part c.
F-219
01-22-2015
Editorial
Changed “USER“ to “USERS” in SI-4(20) title.
F-223
01-22-2015
Editorial
Deleted “for“ in SI-6(2).
F-225
01-22-2015
Editorial
Changed “interfaces” to “interactions” in SI-10(4) Supplemental Guidance.
F-229
01-22-2015
Editorial
Changed “-“ to “,” after AU-7 in PM-12 Supplemental Guidance.
G-8
01-22-2015
Substantive
Updated the introduction to Appendix H and Tables H-1 and H-2 in accordance
with the 2013 version of ISO/IEC 27001 and revised security control mapping
methodology.
H-1
through
H-12
01-22-2015
Editorial
Deleted UL-3 from related controls list in SE-1.
J-20
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and Organizations
________________________________________________________________________________________________
CHAPTER ONE
INTRODUCTION
THE NEED TO PROTECT INFORMATION AND INFORMATION SYSTEMS
he selection and implementation of security controls for information systems 1 and
organizations are important tasks that can have major implications on the operations 2 and
assets of organizations 3 as well as the welfare of individuals and the Nation. Security
controls are the safeguards/countermeasures prescribed for information systems or organizations
that are designed to: (i) protect the confidentiality, integrity, and availability of information that is
processed, stored, and transmitted by those systems/organizations; and (ii) satisfy a set of defined
security requirements. 4 There are several key questions that should be answered by organizations
when addressing the information security considerations for information systems:
T
•
What security controls are needed to satisfy the security requirements and to adequately
mitigate risk incurred by using information and information systems in the execution of
organizational missions and business functions?
•
Have the security controls been implemented, or is there an implementation plan in place?
•
What is the desired or required level of assurance that the selected security controls, as
implemented, are effective in their application? 5
The answers to these questions are not given in isolation but rather in the context of an effective
risk management process for the organization that identifies, mitigates as deemed necessary, and
monitors on an ongoing basis, risks 6 arising from its information and information systems. NIST
Special Publication 800-39 provides guidance on managing information security risk at three
distinct tiers—the organization level, mission/business process level, and information system
level. The security controls defined in this publication and recommended for use by organizations
to satisfy their information security requirements should be employed as part of a well-defined
risk management process that supports organizational information security programs. 7
1
An information system is a discrete set of information resources organized expressly for the collection, processing,
maintenance, use, sharing, dissemination, or disposition of information. Information systems also include specialized
systems such as industrial/process controls systems, telephone switching/private branch exchange (PBX) systems, and
environmental control systems.
2
Organizational operations include mission, functions, image, and reputation.
3
The term organization describes an entity of any size, complexity, or positioning within an organizational structure
(e.g., a federal agency or, as appropriate, any of its operational elements).
4
Security requirements are derived from mission/business needs, laws, Executive Orders, directives, regulations,
policies, instructions, standards, guidance, and/or procedures to ensure the confidentiality, integrity, and availability of
the information being processed, stored, or transmitted by organizational information systems.
5
Security control effectiveness addresses the extent to which the controls are implemented correctly, operating as
intended, and producing the desired outcome with respect to meeting the security requirements for the information
system in its operational environment or enforcing/mediating established security policies.
6
Information security-related risks are those risks that arise from the loss of confidentiality, integrity, or availability of
information or information systems and consider the potential adverse impacts to organizational operations and assets,
individuals, other organizations, and the Nation.
7
The program management controls (Appendix G) complement the security controls for an information system
(Appendix F) by focusing on the organization-wide information security requirements that are independent of any
particular information system and are essential for managing information security programs.
CHAPTER 1
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Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
It is of paramount importance that responsible officials understand the risks and other factors that
could adversely affect organizational operations and assets, individuals, other organizations, and
the Nation. 8 These officials must also understand the current status of their security programs and
the security controls planned or in place to protect their information and information systems in
order to make informed judgments and investments that mitigate risks to an acceptable level. The
ultimate objective is to conduct the day-to-day operations of the organization and accomplish the
organization’s stated missions and business functions with what the OMB Circular A-130 defines
as adequate security, or security commensurate with risk resulting from the unauthorized access,
use, disclosure, disruption, modification, or destruction of information.
1.1 PURPOSE AND APPLICABILITY
The purpose of this publication is to provide guidelines for selecting and specifying security
controls for organizations and information systems supporting the executive agencies of the
federal government to meet the requirements of FIPS Publication 200, Minimum Security
Requirements for Federal Information and Information Systems. The guidelines apply to all
components 9 of an information system that process, store, or transmit federal information. The
guidelines have been developed to achieve more secure information systems and effective risk
management within the federal government by:
•
Facilitating a more consistent, comparable, and repeatable approach for selecting and
specifying security controls for information systems and organizations;
•
Providing a stable, yet flexible catalog of security controls to meet current information
protection needs and the demands of future protection needs based on changing threats,
requirements, and technologies;
•
Providing a recommendation for security controls for information systems categorized in
accordance with FIPS Publication 199, Standards for Security Categorization of Federal
Information and Information Systems;
•
Creating a foundation for the development of assessment methods and procedures for
determining security control effectiveness; and
•
Improving communication among organizations by providing a common lexicon that
supports discussion of risk management concepts.
In addition to the security controls described above, this publication: (i) provides a set of
information security program management (PM) controls that are typically implemented at the
organization level and not directed at individual organizational information systems; (ii)
provides a set of privacy controls based on international standards and best practices that help
organizations enforce privacy requirements derived from federal legislation, directives, policies,
regulations, and standards; and (iii) establishes a linkage and relationship between privacy and
security controls for purposes of enforcing respective privacy and security requirements which
may overlap in concept and in implementation within federal information systems, programs,
and organizations. Standardized privacy controls provide a more disciplined and structured
approach for satisfying federal privacy requirements and demonstrating compliance to those
8
This includes risk to critical infrastructure/key resources described in Homeland Security Presidential Directive 7.
9
Information system components include, for example, mainframes, workstations, servers (e.g., database, electronic
mail, authentication, web, proxy, file, domain name), input/output devices (e.g., scanners, copiers, printers), network
components (e.g., firewalls, routers, gateways, voice and data switches, process controllers, wireless access points,
network appliances, sensors), operating systems, virtual machines, middleware, and applications.
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requirements. Incorporating the same concepts used in managing information security risk,
helps organizations implement privacy controls in a more cost-effective, risked-based manner.
The guidelines in this special publication are applicable to all federal information systems 10
other than those systems designated as national security systems as defined in 44 U.S.C.,
Section 3542. 11 The guidelines have been broadly developed from a technical perspective to
complement similar guidelines for national security systems and may be used for such systems
with the approval of appropriate federal officials exercising policy authority over such
systems. 12 State, local, and tribal governments, as well as private sector organizations are
encouraged to consider using these guidelines, as appropriate.
1.2 TARGET AUDIENCE
This publication is intended to serve a diverse audience of information system and information
security professionals including:
•
Individuals with information system, security, and/or risk management and oversight
responsibilities (e.g., authorizing officials, chief information officers, senior information
security officers, 13 information system managers, information security managers);
•
Individuals with information system development responsibilities (e.g., program managers,
system designers and developers, information security engineers, systems integrators);
•
Individuals with information security implementation and operational responsibilities (e.g.,
mission/business owners, information system owners, common control providers, information
owners/stewards, system administrators, information system security officers);
•
Individuals with information security assessment and monitoring responsibilities (e.g.,
auditors, Inspectors General, system evaluators, assessors, independent verifiers/validators,
analysts, information system owners); and
•
Commercial companies producing information technology products and systems, creating
information security-related technologies, or providing information security services.
1.3 RELATIONSHIP TO OTHER SECURITY CONTROL PUBLICATIONS
To create a technically sound and broadly applicable set of security controls for information
systems and organizations, a variety of sources were considered during the development of this
special publication. The sources included security controls from the defense, audit, financial,
healthcare, industrial/process control, and intelligence communities as well as controls defined by
10
A federal information system is an information system used or operated by an executive agency, by a contractor of an
executive agency, or by another organization on behalf of an executive agency.
11
A national security system is any information system (including any telecommunications system) used or operated by
an agency or by a contractor of an agency, or other organization on behalf of an agency: (i) the function, operation, or
use of which involves intelligence activities; involves cryptologic activities related to national security; involves
command and control of military forces; involves equipment that is an integral part of a weapon or weapons system; or
is critical to the direct fulfillment of military or intelligence missions (excluding a system that is to be used for routine
administrative and business applications, e.g., payroll, finance, logistics, and personnel management applications); or
(ii) is protected at all times by procedures established for information that have been specifically authorized under
criteria established by an Executive Order or an Act of Congress to be kept classified in the interest of national defense
or foreign policy.
12
CNSS Instruction 1253 provides implementing guidance for national security systems.
13
At the agency level, this position is known as the Senior Agency Information Security Officer. Organizations may
also refer to this position as the Senior Information Security Officer or the Chief Information Security Officer.
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national and international standards organizations. The objective of NIST Special Publication
800-53 is to provide a set of security controls that can satisfy the breadth and depth of security
requirements 14 levied on organizations, mission/business processes, and information systems and
that is consistent with and complementary to other established information security standards.
The catalog of security controls in Special Publication 800-53 can be effectively used to protect
information and information systems from traditional and advanced persistent threats in varied
operational, environmental, and technical scenarios. The controls can also be used to demonstrate
compliance with a variety of governmental, organizational, or institutional security requirements.
Organizations have the responsibility to select the appropriate security controls, to implement the
controls correctly, and to demonstrate the effectiveness of the controls in satisfying established
security requirements. 15 The security controls facilitate the development of assessment methods
and procedures that can be used to demonstrate control effectiveness in a consistent/repeatable
manner—thus contributing to the organization’s confidence that security requirements continue to
be satisfied on an ongoing basis. In addition, security controls can be used in developing overlays
for specialized information systems, information technologies, environments of operation, or
communities of interest (see Appendix I).
1.4 ORGANIZATIONAL RESPONSIBILITIES
Organizations use FIPS Publication 199 to categorize their information and information systems.
Security categorization is accomplished as an organization-wide activity 16 with the involvement
of senior-level organizational personnel including, for example, authorizing officials, chief
information officers, senior information security officers, information owners and/or stewards,
information system owners, and risk executive (function). 17 Information is categorized at Tier 1
(organization level) and at Tier 2 (mission/business process level). In accordance with FIPS
Publication 200, organizations use the security categorization results from Tiers 1 and 2 to
designate organizational information systems at Tier 3 (information system level) as low-impact,
moderate-impact, or high-impact systems. For each organizational information system at Tier 3,
the recommendation for security controls from the baseline controls defined in Appendix D is the
starting point for the security control tailoring process. While the security control selection
process is generally focused on information systems at Tier 3, the process is generally applicable
across all three tiers of risk management.
FIPS Publication 199 security categorization associates information and the operation and use of
information systems with the potential worst-case adverse impact on organizational operations
and assets, individuals, other organizations, and the Nation. 18 Organizational assessments of risk,
including the use of specific and credible threat information, vulnerability information, and the
likelihood of such threats exploiting vulnerabilities to cause adverse impacts, guide and inform
14
Security requirements are those requirements levied on an information system that are derived from laws, Executive
Orders, directives, policies, instructions, regulations, standards, guidelines, or organizational (mission) needs to ensure
the confidentiality, integrity, and availability of the information being processed, stored, or transmitted.
15
NIST Special Publication 800-53A provides guidance on assessing the effectiveness of security controls.
16
See FIPS Publication 200, Footnote 7.
17
Organizations typically exercise managerial, operational, and financial control over their information systems and the
security provided to those systems, including the authority and capability to implement or require the security controls
deemed necessary to protect organizational operations and assets, individuals, other organizations, and the Nation.
18
Considerations for potential national-level impacts and impacts to other organizations in categorizing organizational
information systems derive from the USA PATRIOT Act and Homeland Security Presidential Directives (HSPDs).
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the tailoring process and the final selection of security controls. 19 The final, agreed-upon set of
security controls addressing specific organizational mission/business needs and tolerance for risk
is documented with appropriate rationale in the security plan for the information system. 20 The
use of security controls from Special Publication 800-53 (including the baseline controls as a
starting point in the control selection process), facilitates a more consistent level of security for
federal information systems and organizations, while simultaneously preserving the flexibility
and agility organizations need to address an increasingly sophisticated and hostile threat space,
specific organizational missions/business functions, rapidly changing technologies, and in some
cases, unique environments of operation.
Achieving adequate information security for organizations, mission/business processes, and
information systems is a multifaceted undertaking that requires:
•
Clearly articulated security requirements and security specifications;
•
Well-designed and well-built information technology products based on state-of-the-practice
hardware, firmware, and software development processes;
•
Sound systems/security engineering principles and practices to effectively integrate
information technology products into organizational information systems;
•
Sound security practices that are well documented and seamlessly integrated into the training
requirements and daily routines of organizational personnel with security responsibilities;
•
Continuous monitoring of organizations and information systems to determine the ongoing
effectiveness of deployed security controls, changes in information systems and environments
of operation, and compliance with legislation, directives, policies, and standards; 21 and
•
Information security planning and system development life cycle management. 22
From an engineering viewpoint, information security is just one of many required operational
capabilities for information systems that support organizational mission/business processes—
capabilities that must be funded by organizations throughout the system development life cycle in
order to achieve mission/business success. It is important that organizations realistically assess
the risk to organizational operations and assets, individuals, other organizations, and the Nation
arising from mission/business processes and by placing information systems into operation or
continuing operations. Realistic assessment of risk requires an understanding of threats to and
vulnerabilities within organizations and the likelihood and potential adverse impacts of successful
exploitations of such vulnerabilities by those threats. 23 Finally, information security requirements
must be satisfied with the full knowledge and consideration of the risk management strategy of
19
Risk assessments can be accomplished in a variety of ways depending on the specific needs of organizations. NIST
Special Publication 800-30 provides guidance on the assessment of risk as part of an overall risk management process.
20
Authorizing officials or designated representatives, by accepting the completed security plans, agree to the set of
security controls proposed to meet the security requirements for organizations (including mission/business processes)
and/or designated information systems.
21
NIST Special Publication 800-137 provides guidance on continuous monitoring of organizational information
systems and environments of operation.
22
NIST Special Publication 800-64 provides guidance on the information security considerations in the system
development life cycle.
23
NIST Special Publication 800-30 provides guidance on the risk assessment process.
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the organization, in light of the potential cost, schedule, and performance issues associated with
the acquisition, deployment, and operation of organizational information systems. 24
1.5 ORGANIZATION OF THIS SPECIAL PUBLICATION
The remainder of this special publication is organized as follows:
•
Chapter Two describes the fundamental concepts associated with security control selection
and specification including: (i) multitiered risk management; (ii) the structure of security
controls and how the controls are organized into families; (iii) security control baselines as
starting points for the tailoring process; (iv) the use of common controls and inheritance of
security capabilities; (v) external environments and service providers; (vi) assurance and
trustworthiness; and (vii) revisions and extensions to security controls and control baselines.
•
Chapter Three describes the process of selecting and specifying security controls for
organizational information systems including: (i) selecting appropriate security control
baselines; (ii) tailoring the baseline controls including developing specialized overlays; (iii)
documenting the security control selection process; and (iv) applying the selection process to
new and legacy systems.
•
Supporting appendices provide essential security control selection and specification-related
information including: (i) general references; 25 (ii) definitions and terms; (iii) acronyms; (iv)
baseline security controls for low-impact, moderate-impact, and high-impact information
systems; (v) guidance on assurance and trustworthiness in information systems; (vi) a catalog
of security controls; 26 (vii) a catalog of information security program management controls;
(viii) mappings to international information security standards; (ix) guidance for developing
overlays by organizations or communities of interest; and (x) a catalog of privacy controls.
24
In addition to information security requirements, organizations must also address privacy requirements that derive
from federal legislation and policies. Organizations can employ the privacy controls in Appendix J in conjunction with
the security controls in Appendix F to achieve comprehensive security and privacy protection.
25
Unless otherwise stated, all references to NIST publications in this document (i.e., Federal Information Processing
Standards and Special Publications) are to the most recent version of the publication.
26
The security controls in Special Publication 800-53 are available online and can be downloaded in various formats
from the NIST web site at: http://web.nvd.nist.gov/view/800-53/home.
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CHAPTER TWO
THE FUNDAMENTALS
SECURITY CONTROL STRUCTURE, ORGANIZATION, BASELINES, AND ASSURANCE
T
his chapter presents the fundamental concepts associated with security control selection
and specification including: (i) three-tiered risk management; (ii) the structure of security
controls and the organization of the controls in the control catalog; (iii) security control
baselines; (iv) the identification and use of common security controls; (v) security controls in
external environments; (vi) security control assurance; and (vii) future revisions to the security
controls, the control catalog, and baseline controls.
2.1 MULTITIERED RISK MANAGEMENT
The selection and specification of security controls for an information system is accomplished as
part of an organization-wide information security program for the management of risk—that is,
the risk to organizational operations and assets, individuals, other organizations, and the Nation
associated with the operation of information systems. Risk-based approaches to security control
selection and specification consider effectiveness, efficiency, and constraints due to applicable
federal laws, Executive Orders, directives, policies, regulations, standards, and guidelines. To
integrate the risk management process throughout the organization and more effectively address
mission/business concerns, a three-tiered approach is employed that addresses risk at the: (i)
organization level; (ii) mission/business process level; and (iii) information system level. The risk
management process is carried out across the three tiers with the overall objective of continuous
improvement in the organization’s risk-related activities and effective inter-tier and intra-tier
communication among all stakeholders having a shared interest in the mission/business success of
the organization. Figure 1 illustrates the three-tiered approach to risk management.
STRATEGIC RISK
- Traceability and Transparency of
Risk-Based Decisions
- Organization-Wide
Risk Awareness
TIER 1
ORGANIZATION
- Inter-Tier and Intra-Tier
Communications
- Feedback Loop for
Continuous Improvement
TIER 2
MISSION / BUSINESS PROCESSES
TIER 3
INFORMATION SYSTEMS
TACTICAL RISK
FIGURE 1: THREE-TIERED RISK MANAGEMENT APPROACH
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Tier 1 provides a prioritization of organizational missions/business functions which in turn drives
investment strategies and funding decisions—promoting cost-effective, efficient information
technology solutions consistent with the strategic goals and objectives of the organization and
measures of performance. Tier 2 includes: (i) defining the mission/business processes needed to
support the organizational missions/business functions; (ii) determining the security categories of
the information systems needed to execute the mission/business processes; (iii) incorporating
information security requirements into the mission/business processes; and (iv) establishing an
enterprise architecture (including an embedded information security architecture) to facilitate the
allocation of security controls to organizational information systems and the environments in
which those systems operate. The Risk Management Framework (RMF), depicted in Figure 2, is
the primary means for addressing risk at Tier 3. 27 This publication focuses on Step 2 of the RMF,
the security control selection process, in the context of the three tiers in the organizational risk
management hierarchy.
Architecture Description
•
•
•
•
Mission/Business Processes
FEA Reference Models
Segment and Solution Architectures
Information System Boundaries
Organizational Inputs
Starting
Point
•
•
•
•
Laws, Directives, Policy, Guidance
Strategic Goals and Objectives
Information Security Requirements
Priorities and Resource Availability
Repeat as necessary
Step 1
CATEGORIZE
Information Systems
Step 6
Step 2
FIPS 199 / SP 800-60
MONITOR
SELECT
Security Controls
Security Controls
SP 800-137
RISK
MANAGEMENT
FRAMEWORK
FIPS 200 / SP 800-53
Security Life Cycle
Step 5
Step 3
AUTHORIZE
IMPLEMENT
Information Systems
Security Controls
SP 800-37
Step 4
SP 800-160
ASSESS
Security Controls
SP 800-53A
Note: CNSS Instruction 1253 provides guidance for RMF Steps 1 and 2 for National Security Systems (NSS).
FIGURE 2: RISK MANAGEMENT FRAMEWORK
The RMF addresses the security concerns of organizations related to the design, development,
implementation, operation, and disposal of information systems and the environments in which
those systems operate. The RMF consists of the following six steps:
27
NIST Special Publication 800-37 provides guidance on the implementation of the Risk Management Framework. A
complete listing of all publications supporting the RMF and referenced in Figure 2 is provided in Appendix A.
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Step 1: Categorize the information system based on a FIPS Publication 199 impact assessment; 28
Step 2: Select the applicable security control baseline based on the results of the security
categorization and apply tailoring guidance (including the potential use of overlays);
Step 3: Implement the security controls and document the design, development, and
implementation details for the controls;
Step 4: Assess the security controls to determine the extent to which the controls are implemented
correctly, operating as intended, and producing the desired outcome with respect to meeting the
security requirements for the system; 29
Step 5: Authorize information system operation based on a determination of risk to organizational
operations and assets, individuals, other organizations, and the Nation resulting from the
operation and use of the information system and the decision that this risk is acceptable; and
Step 6: Monitor the security controls in the information system and environment of operation on
an ongoing basis to determine control effectiveness, changes to the system/environment, and
compliance to legislation, Executive Orders, directives, policies, regulations, and standards.
2.2 SECURITY CONTROL STRUCTURE
Security controls described in this publication have a well-defined organization and structure. For
ease of use in the security control selection and specification process, controls are organized into
eighteen families. 30 Each family contains security controls related to the general security topic of
the family. A two-character identifier uniquely identifies security control families, for example,
PS (Personnel Security). Security controls may involve aspects of policy, oversight, supervision,
manual processes, actions by individuals, or automated mechanisms implemented by information
systems/devices. Table 1 lists the security control families and the associated family identifiers in
the security control catalog. 31
TABLE 1: SECURITY CONTROL IDENTIFIERS AND FAMILY NAMES
ID
FAMILY
ID
FAMILY
AC
Access Control
MP
Media Protection
AT
Awareness and Training
PE
Physical and Environmental Protection
AU
Audit and Accountability
PL
Planning
CA
Security Assessment and Authorization
PS
Personnel Security
CM
Configuration Management
RA
Risk Assessment
CP
Contingency Planning
SA
System and Services Acquisition
IA
Identification and Authentication
SC
System and Communications Protection
IR
Incident Response
SI
System and Information Integrity
MA
Maintenance
PM
Program Management
28
CNSS Instruction 1253 provides security categorization guidance for national security systems.
29
NIST Special Publication 800-53A provides guidance on assessing the effectiveness of security controls.
30
Of the eighteen security control families in NIST Special Publication 800-53, seventeen families are described in the
security control catalog in Appendix F, and are closely aligned with the seventeen minimum security requirements for
federal information and information systems in FIPS Publication 200. One additional family (Program Management
[PM] family) provides controls for information security programs required by FISMA. This family, while not
specifically referenced in FIPS Publication 200, provides security controls at the organization level rather than the
information system level. See Appendix G for a description of and implementation guidance for the PM controls.
31
Privacy controls listed in Appendix J, have an organization and structure similar to security controls, including the
use of two-character identifiers for the eight privacy families.
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The security control structure consists of the following components: (i) a control section; (ii) a
supplemental guidance section; (iii) a control enhancements section; (iv) a references section;
and (v) a priority and baseline allocation section. The following example from the Auditing and
Accountability family illustrates the structure of a typical security control.
AU-3
CONTENT OF AUDIT RECORDS
Control: The information system generates audit records containing information that establishes
what type of event occurred, when the event occurred, where the event occurred, the source of the
event, the outcome of the event, and the identity of any individuals or subjects associated with the
event.
Audit record content that may be necessary to satisfy the requirement of
this control includes, for example, time stamps, source and destination addresses, user/process
identifiers, event descriptions, success/fail indications, filenames involved, and access control or
flow control rules invoked. Event outcomes can include indicators of event success or failure and
event-specific results (e.g., the security state of the information system after the event occurred).
Related controls: AU-2, AU-8, AU-12, SI-11.
Supplemental Guidance:
Control Enhancements:
(1)
CONTENT OF AUDIT RECORDS | ADDITIONAL AUDIT INFORMATION
The information system generates audit records containing the following additional information:
[Assignment: organization-defined additional, more detailed information].
Detailed information that organizations may consider in audit records
includes, for example, full-text recording of privileged commands or the individual identities
of group account users. Organizations consider limiting the additional audit information to
only that information explicitly needed for specific audit requirements. This facilitates the use
of audit trails and audit logs by not including information that could potentially be misleading
or could make it more difficult to locate information of interest.
Supplemental Guidance:
(2)
CONTENT OF AUDIT RECORDS | CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
The information system provides centralized management and configuration of the content to be
captured in audit records generated by [Assignment: organization-defined information system
components].
Supplemental Guidance: This control enhancement requires that the content to be captured in
audit records be configured from a central location (necessitating automation). Organizations
coordinate the selection of required audit content to support the centralized management and
configuration capability provided by the information system. Related controls: AU-6, AU-7.
References:
None.
Priority and Baseline Allocation:
P1
LOW AU-3
MOD AU-3 (1)
HIGH AU-3 (1) (2)
The control section prescribes specific security-related activities or actions to be carried out by
organizations or by information systems. The term information system refers to those functions
that generally involve the implementation of information technology (e.g., hardware, software,
and firmware). Conversely, the term organization refers to activities that are generally processdriven or entity-driven—that is, the security control is generally implemented through human or
procedural-based actions. Security controls that use the term organization may still require some
degree of automation to be fulfilled. Similarly, security controls that use the term information
system may have some elements that are process-driven or entity-driven. Using the terms
organization and/or information system does not preclude the application of security controls at
any of the tiers in the risk management hierarchy (i.e., organization level, mission/business
process level, information system level), as appropriate.
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For some security controls in the control catalog, a degree of flexibility is provided by allowing
organizations to define values for certain parameters associated with the controls. This flexibility
is achieved through the use of assignment and selection statements embedded within the security
controls and control enhancements. Assignment and selection statements provide organizations
with the capability to tailor security controls and control enhancements based on: (i) security
requirements to support organizational missions/business functions and operational needs; (ii)
risk assessments and organizational risk tolerance; and (iii) security requirements originating in
federal laws, Executive Orders, directives, policies, regulations, standards, or guidelines. 32
For example, organizations can specify additional information needed for audit records to support
audit event processing. See the AU-3(1) example above (i.e., [Assignment: organization-defined
additional, more detailed information]). These assignments may include particular actions to be
taken by information systems in the event of audit failures, the frequency of conducting system
backups, restrictions on password use, or the distribution list for organizational policies and
procedures. 33 Once specified, 34 the organization-defined values for assignment and selection
statements become part of the security control, and the control implementation is assessed against
the completed control statement. Assignment statements offer a high degree of flexibility by
allowing organizations to specify parameter values, without requiring those values to be one of
two or more specific predefined choices. In contrast, selection statements narrow the potential
input values by providing a specific list of items from which organizations must choose. 35
The supplemental guidance section provides non-prescriptive, additional information for a
specific security control. Organizations can apply the supplemental guidance as appropriate,
when defining, developing, and/or implementing security controls. The supplemental guidance
can provide important considerations for implementing security controls in the context of
operational environments, mission/business requirements, or assessments of risk and can also
explain the purpose or meaning of particular controls. Security control enhancements may also
contain supplemental guidance when the guidance is not applicable to the entire control but
instead focused on a particular control enhancement. The supplemental guidance sections for
security controls and control enhancements may contain a list of related controls. Related
controls: (i) directly impact or support the implementation of a particular security control or
control enhancement; (ii) address a closely related security capability; or (iii) are referenced in
the supplemental guidance. Security control enhancements are by definition related to the base
control. Related controls that are listed in the supplemental guidance for the base controls are not
repeated in the supplemental guidance for the control enhancements. However, there may be
related controls identified for control enhancements that are not listed in the base control.
The security control enhancements section provides statements of security capability to: (i) add
functionality/specificity to a control; and/or (ii) increase the strength of a control. In both cases,
control enhancements are used in information systems and environments of operation requiring
32
In general, organization-defined parameters used in assignment and selection statements in the basic security
controls apply also to all control enhancements associated with those controls.
33
Organizations determine whether specific assignment or selection statements are completed at Tier 1 (organization
level), Tier 2 (mission/business process level), Tier 3 (information system level), or a combination thereof.
34
Organizations may choose to define specific values for security control parameters in policies, procedures, or
guidance (which may be applicable to more than one information system) referencing the source documents in the
security plan in lieu of explicitly completing the assignment/selection statements within the control as part of the plan.
35
Security controls are generally designed to be technology- and implementation-independent, and therefore do not
contain specific requirements in these areas. Organizations provide such requirements as deemed necessary in the
security plan for the information system.
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greater protection than provided by the base control due to the potential adverse organizational
impacts or when organizations seek additions to the base control functionality/specificity based
on organizational assessments of risk. Security control enhancements are numbered sequentially
within each control so that the enhancements can be easily identified when selected to supplement
the base control. Each security control enhancement has a short subtitle to indicate the intended
security capability provided by the control enhancement. In the AU-3 example, if the first control
enhancement is selected, the control designation becomes AU-3(1). The numerical designation of
a control enhancement is used only to identify the particular enhancement within the control. The
designation is not indicative of either the strength of the control enhancement or any hierarchical
relationship among the enhancements. Control enhancements are not intended to be selected
independently (i.e., if a control enhancement is selected, then the corresponding base security
control must also be selected). This intent is reflected in the baseline specifications in Appendix
D and in the baseline allocation section under each control in Appendix F.
The references section includes a list of applicable federal laws, Executive Orders, directives,
policies, regulations, standards, and guidelines (e.g., OMB Circulars/Memoranda, Homeland
Security Presidential Directives, FIPS Publications, and NIST Special Publications) that are
relevant to a particular security control. 36 The references provide federal legislative and policy
mandates as well as supporting information for the implementation of security controls and
control enhancements. The references section also contains pertinent websites for organizations to
use in obtaining additional information for security control implementation and assessment.
The priority and security control baseline allocation section provides: (i) the recommended
priority codes used for sequencing decisions during security control implementation; and (ii) the
initial allocation of security controls and control enhancements to the baselines. Organizations
can use the priority code designation associated with each security control to assist in making
sequencing decisions for control implementation (i.e., a Priority Code 1 [P1] control has a higher
priority for implementation than a Priority Code 2 [P2] control, a Priority Code 2 [P2] control has
a higher priority for implementation than a Priority Code 3 [P3] control, and a Priority Code 0
[P0] indicates the security control is not selected in any baseline). This recommended sequencing
prioritization helps to ensure that the foundational security controls upon which other controls
depend are implemented first, thus enabling organizations to deploy controls in a more structured
and timely manner in accordance with available resources. The implementation of security
controls by sequence priority code does not imply the achievement of any defined level of risk
mitigation until all of the security controls in the security plan have been implemented. The
priority codes are intended only for implementation sequencing, not for making security control
selection decisions.
2.3 SECURITY CONTROL BASELINES
Organizations are required to adequately mitigate the risk arising from use of information and
information systems in the execution of missions and business functions. A significant challenge
for organizations is to determine the most cost-effective, appropriate set of security controls,
which if implemented and determined to be effective, would mitigate risk while complying with
security requirements defined by applicable federal laws, Executive Orders, regulations, policies,
directives, or standards (e.g., FISMA, OMB Circular A-130, HSPD-12, FIPS Publication 200).
There is no one correct set of security controls that addresses all organizational security concerns
in all situations. Selecting the most appropriate set of security controls for a specific situation or
36
Publications listed in the references section refer to the most recent versions of the publications. References are
provided to assist organizations in applying the security controls and are not intended to be inclusive or complete.
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information system to adequately mitigate risk is an important task that requires a fundamental
understanding of organizational mission/business priorities, the mission and business functions
the information systems will support, and the environments of operation where the systems will
reside. With that understanding, organizations can demonstrate how to most effectively assure the
confidentiality, integrity, and availability of organizational information and information systems
in a manner that supports mission/business needs while demonstrating due diligence. Selecting,
implementing, and maintaining an appropriate set of security controls to adequately protect the
information systems employed by organizations requires strong collaboration with system owners
to understand ongoing changes to missions/business functions, environments of operation, and
how the systems are used.
To assist organizations in making the appropriate selection of security controls for information
systems, the concept of baseline controls is introduced. Baseline controls are the starting point for
the security control selection process described in this document and are chosen based on the
security category and associated impact level of information systems determined in accordance
with FIPS Publication 199 and FIPS Publication 200, respectively. 37 Appendix D provides a
listing of the security control baselines. Three security control baselines have been identified
corresponding to the low-impact, moderate-impact, and high-impact information systems using
the high water mark defined in FIPS Publication 200 and used in Section 3.1 of this document to
provide an initial set of security controls for each impact level. 38
Appendix F provides a comprehensive catalog of security controls for information systems and
organizations, arranged by control families. Chapter Three provides additional information on
how to use FIPS Publication 199 security categories and FIPS Publication 200 system impact
levels in applying the tailoring guidance to the baseline security controls to achieve adequate risk
mitigation. Tailoring guidance, described in Section 3.2, helps organizations to customize the
security control baselines selected using the results from organizational assessments of risk.
Baseline tailoring actions include: (i) identifying and designating common controls; (ii) applying
scoping considerations; (iii) selecting compensating controls; (iv) assigning specific values to
security control parameters; (v) supplementing initial baselines with additional security controls
or control enhancements; and (vi) providing additional information for control implementation.
Implementation Tip
There are security controls and control enhancements that appear in the security control catalog
(Appendix F) that are found in only higher-impact baselines or are not used in any of the baselines.
These additional security controls and control enhancements for information systems are available to
organizations and can be used in tailoring security control baselines to achieve the needed level of
protection in accordance with organizational assessments of risk. The set of security controls in the
security plan must be sufficient to adequately mitigate risks to organizational operations and assets,
individuals, other organizations, and the Nation based on the organizational risk tolerance.
37
CNSS Instruction 1253 provides guidance on security control baselines for national security systems.
38
The baseline security controls contained in Appendix D are not necessarily absolutes in that the guidance described
in Section 3.2 provides organizations with the ability to tailor controls in accordance with the terms and conditions
established by their authorizing officials and documented in their respective security plans.
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2.4 SECURITY CONTROL DESIGNATIONS
There are three distinct types of designations related to the security controls in Appendix F that
define: (i) the scope of applicability for the control; (ii) the shared nature of the control; and (iii)
the responsibility for control development, implementation, assessment, and authorization. These
designations include common controls, system-specific controls, and hybrid controls.
Common controls are security controls whose implementation results in a security capability that
is inheritable by one or more organizational information systems. Security controls are deemed
inheritable by information systems or information system components when the systems or
components receive protection from the implemented controls but the controls are developed,
implemented, assessed, authorized, and monitored by entities other than those responsible for the
systems or components—entities internal or external to the organizations where the systems or
components reside. Security capabilities provided by common controls can be inherited from
many sources including, for example, organizations, organizational mission/business lines, sites,
enclaves, environments of operation, or other information systems. Many of the controls needed
to protect organizational information systems (e.g., security awareness training, incident response
plans, physical access to facilities, rules of behavior) are excellent candidates for common control
status. In addition, there can also be a variety of technology-based common controls (e.g., Public
Key Infrastructure [PKI], authorized secure standard configurations for clients/servers, access
control systems, boundary protection, cross-domain solutions). By centrally managing and
documenting the development, implementation, assessment, authorization, and monitoring of
common controls, security costs can be amortized across multiple information systems.
The organization assigns responsibility for common controls to appropriate organizational
officials (i.e., common control providers) and coordinates the development, implementation,
assessment, authorization, and monitoring of the controls. 39 The identification of common
controls is most effectively accomplished as an organization-wide exercise with the active
involvement of chief information officers, senior information security officers, the risk executive
(function), authorizing officials, information owners/stewards, information system owners, and
information system security officers. The organization-wide exercise considers the security
categories of the information systems within the organization and the security controls necessary
to adequately mitigate the risks arising from the use of those systems (see baseline security
controls in Section 2.3). 40 Common control identification for the controls that impact multiple
information systems, but not all systems across the organization could benefit from taking a
similar approach. Key stakeholders collaborate to identify opportunities to effectively employ
common controls at the mission/business line, site, or enclave level.
When common controls protect multiple organizational information systems of differing impact
levels, the controls are implemented with regard to the highest impact level among the systems. If
the common controls are not implemented at the highest impact level of the information systems,
system owners will need to factor this situation into their assessments of risk and take appropriate
risk mitigation actions (e.g., adding security controls or control enhancements, changing assigned
values of security control parameters, implementing compensating controls, or changing certain
aspects of mission/business processes). Implementing common controls that are less than
39
The Chief Information Officer, Senior Information Security Officer, or other designated organizational officials at
the senior leadership level assign responsibility for the development, implementation, assessment, authorization, and
monitoring of common controls to appropriate entities (either internal or external to the organization).
40
Each common control identified by the organization is reviewed for applicability to each specific organizational
information system, typically by information system owners and authorizing officials.
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effective or that provide insufficient security capability for higher-impact information systems
can have a significant adverse impact on organizational missions or business functions.
Common controls are generally documented in the organization-wide information security
program plan unless implemented as part of a specific information system, in which case the
controls are documented in the security plan for that system. 41 Organizations have the flexibility
to describe common controls in a single document or in multiple documents with references or
pointers, as appropriate. In the case of multiple documents, the documents describing common
controls are included as attachments to the information security program plan. If the information
security program plan contains multiple documents, organizations specify in each document the
organizational officials responsible for development, implementation, assessment, authorization,
and monitoring of the respective common controls. For example, the organization may require
that the Facilities Management Office develop, implement, assess, authorize, and continuously
monitor physical and environmental protection controls from the PE family when such controls
are not associated with a particular information system but instead, support multiple systems.
When common controls are included in a separate security plan for an information system (e.g.,
security controls employed as part of an intrusion detection system providing boundary protection
inherited by one or more organizational information systems), the information security program
plan indicates which separate security plan contains a description of the common controls.
Implementation Tip
The selection of common controls is most effectively accomplished on an organization-wide basis
with the involvement of senior leadership (i.e., mission/business owners, authorizing officials, chief
information officers, senior information security officers, information system owners, information
owners/stewards, risk executives). These individuals have the collective knowledge to understand
organizational priorities, the importance of organizational operations and assets, and the importance
of the information systems that support those operations/assets. The senior leaders are also in the
best position to select the common controls for each security control baseline and assign specific
responsibilities for developing, implementing, assessing, authorizing, and monitoring those controls.
Common controls, whether employed in organizational information systems or environments of
operation, are authorized by senior officials with at least the same level of authority/responsibility
for managing risk as the authorization officials for information systems inheriting the controls.
Authorization results for common controls are shared with the appropriate information system
owners and authorizing officials. A plan of action and milestones is developed and maintained for
common controls that have been determined through independent assessments, to be less than
effective. Information system owners dependent on common controls that are less than effective
consider whether they are willing to accept the associated risk or if additional tailoring is required
to address the weaknesses or deficiencies in the controls. Such risk-based decisions are influenced
by available resources, the trust models employed by the organization, and the risk tolerance of
authorizing officials and the organization. 42
41
Information security program plans are described in Appendix G. Organizations ensure that any security capabilities
provided by common controls (i.e., security capabilities inheritable by other organizational entities) are described in
sufficient detail to facilitate adequate understanding of the control implementation by inheriting entities.
42
NIST Special Publication 800-39 provides guidance on trust models, including validated, direct historical, mediated,
and mandated trust models.
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Common controls are subject to the same assessment and monitoring requirements as systemspecific controls employed in individual organizational information systems. Because common
controls impact more than one system, a higher degree of confidence regarding the effectiveness
of those controls may be required.
Security controls not designated as common controls are considered system-specific or hybrid
controls. System-specific controls are the primary responsibility of information system owners
and their respective authorizing officials. Organizations assign a hybrid status to security controls
when one part of the control is common and another part of the control is system-specific. For
example, an organization may choose to implement the Incident Response Policy and Procedures
security control (IR-1) as a hybrid control with the policy portion of the control designated as
common and the procedures portion of the control designated as system-specific. Hybrid controls
may also serve as predefined templates for further control refinement. Organizations may choose,
for example, to implement the Contingency Planning security control (CP-2) as a predefined
template for a generalized contingency plan for all organizational information systems with
information system owners tailoring the plan, where appropriate, for system-specific uses.
Partitioning security controls into common, hybrid, and system-specific controls can result in
significant savings to organizations in implementation and assessment costs as well as a more
consistent application of security controls organization-wide. While security control partitioning
into common, hybrid, and system-specific controls is straightforward and intuitive conceptually,
the actual application takes a significant amount of planning and coordination. At the information
system level, determination of common, hybrid, or system-specific security controls follows the
development of a tailored baseline. It is necessary to first determine what security capability is
needed before organizations assign responsibility for how security controls are implemented,
operated, and maintained.
Security plans for individual information systems identify which security controls required for
those systems have been designated by organizations as common controls and which controls
have been designated as system-specific or hybrid controls. Information system owners are
responsible for any system-specific implementation details associated with common controls.
These implementation details are identified and described in the security plans for the individual
information systems. Senior information security officers for organizations coordinate with
common control providers (e.g., facility/site managers, human resources managers, intrusion
detection system owners) to ensure that the required controls are developed, implemented, and
assessed for effectiveness. Collectively, the security plans for individual information systems and
the organization-wide information security program plans provide complete coverage for all
security controls employed within organizations.
The determination as to whether a security control is a common, hybrid, or system-specific is
context-based. Security controls cannot be determined to be common, hybrid, or system-specific
simply based on reviewing the language of the control. For example, a control may be systemspecific for a particular information system, but at the same time that control could be a common
control for another system, which would inherit the control from the first system. One indicator of
whether a system-specific control may also be a common control for other information systems is
to consider who or what depends on the functionality of that particular control. If a certain part of
an information system or solution external to the system boundary depends on the control, then
that control may be a candidate for common control identification.
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Implementation Tip
•
Organizations consider the inherited risk from the use of common controls. Security plans,
security assessment reports, and plans of action and milestones for common controls (or a
summary of such information) are made available to information system owners (for systems
inheriting the controls) after the information is reviewed and approved by the senior official or
executive responsible and accountable for the controls.
•
Organizations ensure that common control providers keep control status information current
since the controls typically support multiple organizational information systems. Security plans,
security assessment reports, and plans of action and milestones for common controls are used
by authorizing officials to make risk-based decisions in the security authorization process for
their information systems and therefore, inherited risk from common controls is a significant
factor in such risk-based decisions.
•
Organizations ensure that common control providers have the capability to rapidly broadcast
changes in the status of common controls that adversely affect the protections being provided by
and expected of the common controls. Common control providers inform system owners when
problems arise in the inherited common controls (e.g., when an assessment or reassessment of
a common control indicates the control is flawed or deficient in some manner, or when a new
threat or attack method arises that renders the common control less than effective in protecting
against the new threat or attack method).
•
Organizations are encouraged to employ automated management systems to maintain records
of the specific common controls employed in each organizational information system to enhance
the ability of common control providers to rapidly communicate with system owners.
•
If common controls are provided to organizations by entities external to the organization (e.g.,
shared and/or external service providers), arrangements are made with the external/shared
service providers by the organization to obtain information on the effectiveness of the deployed
controls. Information obtained from external organizations regarding effectiveness of common
controls is factored into authorization decisions.
2.5 EXTERNAL SERVICE PROVIDERS
Organizations are becoming increasingly reliant on information system services provided by
external providers to conduct important missions and business functions. External information
system services are computing and information technology services implemented outside of the
traditional security authorization boundaries established by organizations for their information
systems. Those traditional authorization boundaries linked to physical space and control of assets,
are being extended (both physically and logically) with the growing use of external services. In
this context, external services can be provided by: (i) entities within the organization but outside
of the security authorization boundaries established for organizational information systems; (ii)
entities outside of the organization either in the public sector (e.g., federal agencies) or private
sector (e.g., commercial service providers); or (iii) some combination of the public and private
sector options. External information system services include, for example, the use of serviceoriented architectures (SOAs), cloud-based services (infrastructure, platform, software), or data
center operations. External information system services may be used by, but are typically not part
of, organizational information systems. In some situations, external information system services
may completely replace or heavily augment the routine functionality of internal organizational
information systems.
FISMA and OMB policies require that federal agencies using external service providers to
process, store, or transmit federal information or operate information systems on behalf of the
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federal government, assure that such use meets the same security requirements that federal
agencies are required to meet. Security requirements for external service providers including the
security controls for external information systems are expressed in contracts or other formal
agreements. 43 Organizations are responsible and accountable for the information security risk
incurred by the use of information system services provided by external providers. Such risk is
addressed by incorporating the Risk Management Framework (RMF) as part of the terms and
conditions of the contracts with external providers. Organizations can require external providers
to implement all steps in the RMF except the security authorization step, which remains an
inherent federal responsibility directly linked to managing the information security risk related to
the use of external information system services. 44 Organizations can also require external
providers to provide appropriate evidence to demonstrate that they have complied with the RMF
in protecting federal information. However, federal agencies take direct responsibility for the
overall security of such services by authorizing the information systems providing the services.
Relationships with external service providers are established in a variety of ways, for example,
through joint ventures, business partnerships, outsourcing arrangements (i.e., through contracts,
interagency agreements, lines of business arrangements, service-level agreements), licensing
agreements, and/or supply chain exchanges. The growing use of external service providers and
new relationships being forged with those providers present new and difficult challenges for
organizations, especially in the area of information system security. These challenges include:
•
Defining the types of external information system services provided to organizations;
•
Describing how those external services are protected in accordance with the information
security requirements of organizations; and
•
Obtaining the necessary assurances that the risk to organizational operations and assets,
individuals, other organizations, and the Nation arising from the use of the external services
is acceptable.
The degree of confidence that the risk from using external services is at an acceptable level
depends on the trust that organizations place in external service providers. In some cases, the
level of trust is based on the amount of direct control organizations are able to exert on external
service providers with regard to employment of security controls necessary for the protection of
the service/information and the evidence brought forth as to the effectiveness of those controls. 45
The level of control is usually established by the terms and conditions of the contracts or servicelevel agreements with the external service providers and can range from extensive control (e.g.,
negotiating contracts or agreements that specify detailed security requirements for the providers)
to very limited control (e.g., using contracts or service-level agreements to obtain commodity
43
Organizations consult the Federal Risk and Authorization Management Program (FedRAMP) when acquiring cloud
services from external providers. FedRAMP addresses required security controls and independent assessments for a
variety of cloud services. Additional information is available at http://www.fedramp.gov.
44
To effectively manage information security risk, organizations authorize information systems of external providers
that are part of the information technologies or services (e.g., infrastructure, platform, or software) provided to the
federal government. Security authorization requirements are expressed in the terms and conditions of contracts with
external providers of those information technologies and services.
45
The level of trust that organizations place in external service providers can vary widely, ranging from those who are
highly trusted (e.g., business partners in a joint venture that share a common business model and common goals) to
those who are less trusted and represent greater sources of risk (e.g., business partners in one endeavor who are also
competitors in another market sector). NIST Special Publication 800-39 describes different trust models that can be
employed by organizations when establishing relationships with external service providers.
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services such as commercial telecommunications services). 46 In other cases, levels of trust are
based on factors that convince organizations that required security controls have been employed
and that determinations of control effectiveness exist. For example, separately authorized external
information system services provided to organizations through well-established lines of business
relationships may provide degrees of trust in such services within the tolerable risk range of the
authorizing officials and organizations using the services.
The provision of services by external providers may result in certain services without explicit
agreements between organizations and the providers. Whenever explicit agreements are feasible
and practical (e.g., through contracts, service-level agreements), organizations develop such
agreements and require the use of the security controls in Appendix F of this publication. When
organizations are not in a position to require explicit agreements with external service providers
(e.g., services are imposed on organizations, services are commodity services), organizations
establish and document explicit assumptions about service capabilities with regard to security. In
situations where organizations are procuring information system services through centralized
acquisition vehicles (e.g., governmentwide contracts by the General Services Administration or
other preferred and/or mandatory acquisition organizations), it may be more efficient and costeffective for contract originators to establish and maintain stated levels of trust with external
service providers (including the definition of required security controls and level of assurance
with regard to the provision of such controls). Organizations subsequently acquiring information
system services from centralized contracts can take advantage of the negotiated levels of trust
established by the procurement originators and thus avoid costly repetition of activities necessary
to establish such trust. 47 Centralized acquisition vehicles (e.g., contracts) may also require the
active participation of organizations. For example, organizations may be required by provisions in
contracts or agreements to install public key encryption-enabled client software recommended by
external service providers.
Ultimately, the responsibility for adequately mitigating unacceptable risks arising from the use of
external information system services remains with authorizing officials. Organizations require
that appropriate chains of trust be established with external service providers when dealing with
the many issues associated with information system security. Organizations establish and retain a
level of trust that participating service providers in the potentially complex consumer-provider
relationship provide adequate protection for the services rendered to organizations. The chain of
trust can be complicated due to the number of entities participating in the consumer-provider
relationship and the types of relationships between the parties. External service providers may
also outsource selected services to other external entities, making the chain of trust more difficult
and complicated to manage. Depending on the nature of the services, organizations may find it
impossible to place significant trust in external providers. This situation is due not to any inherent
untrustworthiness on the part of providers, but to the intrinsic level of risk in the services. 48
46
Commercial providers of commodity-type services typically organize their business models and services around the
concept of shared resources and devices for a broad and diverse customer base. Therefore, unless organizations obtain
fully dedicated services from commercial service providers, there may be a need for greater reliance on compensating
security controls to provide the necessary protections for the information system that relies on those external services.
Organizational assessments of risk and risk mitigation activities reflect this situation.
47
For example, procurement originators could authorize information systems providing external services to the federal
government under the specific terms and conditions of the contracts. Federal agencies requesting such services under
the terms of the contracts would not be required to reauthorize the information systems when acquiring such services
(unless the request included services outside the scope of the original contracts).
48
There may also be risk in disallowing certain functionality because of security concerns. Security is merely one of
multiple considerations in an overall risk determination.
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Where a sufficient level of trust cannot be established in the external services and/or providers,
organizations can: (i) mitigate the risk by employing compensating controls; (ii) accept the risk
within the level of organizational risk tolerance; (iii) transfer risk by obtaining insurance to cover
potential losses; or (iv) avoid risk by choosing not to obtain the services from certain providers
(resulting in performance of missions/business operations with reduced levels of functionality or
possibly no functionality at all). 49 For example, in the case of cloud-based information systems
and/or services, organizations might require as a compensating control, that all information stored
in the cloud be encrypted for added security of the information. Alternatively, organizations may
require encrypting some of the information stored in the cloud (depending on the criticality or
sensitivity of such information)—accepting additional risk but limiting the risk of not storing all
information in an unencrypted form.
2.6 ASSURANCE AND TRUSTWORTHINESS
Assurance and trustworthiness of information systems, system components, and information
system services are becoming an increasingly important part of the risk management strategies
developed by organizations. Whether information systems are deployed to support, for example,
the operations of the national air traffic control system, a major financial institution, a nuclear
power plant providing electricity for a large city, or the military services and warfighters, the
systems must be reliable, trustworthy, and resilient in the face of increasingly sophisticated and
pervasive threats. To understand how organizations achieve trustworthy systems and the role
assurance plays in the trustworthiness factor, it is important to first define the term trust. Trust, in
general, is the belief that an entity will behave in a predictable manner while performing specific
functions, in specific environments, and under specified conditions or circumstances. The entity
may be a person, process, information system, system component, system-of-systems, or any
combination thereof.
From an information security perspective, trust is the belief that a security-relevant entity will
behave in a predictable manner when satisfying a defined set of security requirements under
specified conditions/circumstances and while subjected to disruptions, human errors, component
faults and failures, and purposeful attacks that may occur in the environment of operation. Trust
is usually determined relative to a specific security capability 50 and can be decided relative to an
individual system component or the entire information system. However, trust at the information
system level is not achieved as a result of composing a security capability from a set of trusted
system components—rather, trust at the system level is an inherently subjective determination
that is derived from the complex interactions among entities (i.e., technical components, physical
components, and individuals), taking into account the life cycle activities that govern, develop,
operate, and sustain the system. In essence, to have trust in a security capability requires that
there is a sufficient basis for trust, or trustworthiness, in the set of security-relevant entities that
are to be composed to provide such capability.
Trustworthiness with respect to information systems, expresses the degree to which the systems
can be expected to preserve with some degree of confidence, the confidentiality, integrity, and
availability of the information that is being processed, stored, or transmitted by the systems across
a range of threats. Trustworthy information systems are systems that are believed to be capable of
operating within a defined risk tolerance despite the environmental disruptions, human errors,
49
Alternative providers offering a higher basis for trust, usually at a higher cost, may be available.
50
A security capability is a combination of mutually reinforcing security controls (i.e., safeguards/countermeasures)
implemented by technical means (i.e., functionality in hardware, software, and firmware), physical means (i.e., physical
devices and protective measures), and/or procedural means (i.e., procedures performed by individuals).
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structural failures, and purposeful attacks that are expected to occur in the environments in which
the systems operate—systems that have the trustworthiness to successfully carry out assigned
missions/business functions under conditions of stress and uncertainty. 51
Security Capability
Organizations can consider defining a set of security capabilities as a precursor to the security
control selection process. The concept of security capability is a construct that recognizes that the
protection of information being processed, stored, or transmitted by information systems, seldom
derives from a single safeguard or countermeasure (i.e., security control). In most cases, such
protection results from the selection and implementation of a set of mutually reinforcing security
controls. For example, organizations may wish to define a security capability for secure remote
authentication. This capability can be achieved by the selection and implementation of a set of
security controls from Appendix F (e.g., IA-2[1], IA-2[2], IA-2[8], IA-2[9], and SC-8[1]). Moreover,
security capabilities can address a variety of areas that can include, for example, technical means,
physical means, procedural means, or any combination thereof. Thus, in addition to the above
functional capability for secure remote access, organizations may also need security capabilities that
address physical means such as tamper detection on a cryptographic module or anomaly
detection/analysis on an orbiting spacecraft.
As the number of security controls in Appendix F grows over time in response to an increasingly
sophisticated threat space, it is important for organizations to have the ability to describe key security
capabilities needed to protect core organizational missions/business functions, and to subsequently
define a set of security controls that if properly designed, developed, and implemented, produce
such capabilities. This simplifies how the protection problem is viewed conceptually. In essence,
using the construct of security capability provides a shorthand method of grouping security controls
that are employed for a common purpose or to achieve a common objective. This becomes an
important consideration, for example, when assessing security controls for effectiveness.
Traditionally, assessments have been conducted on a control-by-control basis producing results that
are characterized as pass (i.e., control satisfied) or fail (i.e., control not satisfied). However, the
failure of a single control or in some cases, the failure of multiple controls, may not affect the overall
security capability needed by an organization. Moreover, employing the broader construct of security
capability allows an organization to assess the severity of vulnerabilities discovered in its information
systems and determine if the failure of a particular security control (associated with a vulnerability) or
the decision not to deploy a certain control, affects the overall capability needed for mission/business
protection. It also facilitates conducting root cause analyses to determine if the failure of one security
control can be traced to the failure of other controls based on the established relationships among
controls. Ultimately, authorization decisions (i.e., risk acceptance decisions) are made based on the
degree to which the desired security capabilities have been effectively achieved and are meeting the
security requirements defined by an organization. These risk-based decisions are directly related to
organizational risk tolerance that is defined as part of an organization’s risk management strategy.
Two fundamental components affecting the trustworthiness of information systems are security
functionality and security assurance. Security functionality is typically defined in terms of the
security features, functions, mechanisms, services, procedures, and architectures implemented
within organizational information systems or the environments in which those systems operate.
Security assurance is the measure of confidence that the security functionality is implemented
correctly, operating as intended, and producing the desired outcome with respect to meeting the
security requirements for the system—thus possessing the capability to accurately mediate and
enforce established security policies. Security controls address both security functionality and
51
While information is the primary area of concern, trustworthiness applies to the protections for all assets deemed
critical by organizations. Furthermore, protections are provided by technology (i.e., hardware, software, firmware),
physical elements (i.e., doors, locks, surveillance), and human elements (i.e., people, processes, procedures).
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security assurance. Some controls focus primarily on security functionality (e.g., PE-3, Physical
Access Control; IA-2, Identification and Authentication; SC-13, Cryptographic Protection; AC-2,
Account Management). Other controls focus primarily on security assurance (e.g., CA-2, Security
Assessment; SA-17, Developer Security Architecture and Design; CM-3, Configuration Change
Control). Finally, certain security controls can support security functionality and assurance (e.g.,
RA-5, Vulnerability Scanning; SC-3, Security Function Isolation; AC-25, Reference Monitor).
Security controls related to functionality are combined to develop a security capability with the
assurance-related controls implemented to provide a degree of confidence in the capability within
the organizational risk tolerance.
Assurance Evidence—From Developmental and Operational Activities
Organizations obtain security assurance by the actions taken by information system developers,
implementers, operators, maintainers, and assessors. Actions by individuals and/or groups during
the development/operation of information systems produce security evidence that contributes to
the assurance, or measures of confidence, in the security functionality needed to deliver the
security capability. The depth and coverage of these actions (as described in Appendix E) also
contribute to the efficacy of the evidence and measures of confidence. The evidence produced by
developers, implementers, operators, assessors, and maintainers during the system development
life cycle (e.g., design/development artifacts, assessment results, warranties, and certificates of
evaluation/validation) contributes to the understanding of the security controls implemented by
organizations.
The strength of security functionality 52 plays an important part in being able to achieve the
needed security capability and subsequently satisfying the security requirements of organizations.
Information system developers can increase the strength of security functionality by employing as
part of the hardware/software/firmware development process: (i) well-defined security policies
and policy models; (ii) structured/rigorous design and development techniques; and (iii) sound
system/security engineering principles. The artifacts generated by these development activities
(e.g., functional specifications, high-level/low-level designs, implementation representations
[source code and hardware schematics], the results from static/dynamic testing and code analysis)
can provide important evidence that the information systems (including the components that
compose those systems) will be more reliable and trustworthy. Security evidence can also be
generated from security testing conducted by independent, accredited, third-party assessment
organizations (e.g., Common Criteria Testing Laboratories, Cryptographic/Security Testing
Laboratories, and other assessment activities by government and private sector organizations).53
In addition to the evidence produced in the development environment, organizations can produce
evidence from the operational environment that contributes to the assurance of functionality and
ultimately, security capability. Operational evidence includes, for example, flaw reports, records
of remediation actions, the results of security incident reporting, and the results of organizational
continuous monitoring activities. Such evidence helps to determine the effectiveness of deployed
security controls, changes to information systems and environments of operation, and compliance
with federal legislation, policies, directives, regulations, and standards. Security evidence,
52
The security strength of an information system component (i.e., hardware, software, or firmware) is determined by
the degree to which the security functionality implemented within that component is correct, complete, resistant to
direct attacks (strength of mechanism), and resistant to bypass or tampering.
53
For example, third-party assessment organizations assess cloud services and service providers in support of the
Federal Risk and Authorization Management Program (FedRAMP). Common Criteria Testing Laboratories test and
evaluate information technology products using ISO/IEC standard 15408. Cryptographic/Security Testing Laboratories
test cryptographic modules using the FIPS 140-2 standard.
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whether obtained from development or operational activities, provides a better understanding of
security controls implemented and used by organizations. Together, the actions taken during the
system development life cycle by developers, implementers, operators, maintainers, and assessors
and the evidence produced as part of those actions, help organizations to determine the extent to
which the security functionality within their information systems is implemented correctly,
operating as intended, and producing the desired outcome with respect to meeting stated security
requirements and enforcing or mediating established security policies—thus providing greater
confidence in the security capability.
The Compelling Argument for Assurance
Organizations specify assurance-related controls to define activities performed to generate relevant
and credible evidence about the functionality and behavior of organizational information systems and
to trace the evidence to the elements that provide such functionality/behavior. This evidence is used
to obtain a degree of confidence that the systems satisfy stated security requirements—and do so
while effectively supporting the organizational missions/business functions while being subjected to
threats in the intended environments of operation.
With regard to the security evidence produced, the depth and coverage of such evidence can
affect the level of assurance in the functionality implemented. Depth and coverage are attributes
associated with assessment methods and the generation of security evidence. Assessment methods
can be applied to developmental and operational assurance. For developmental assurance, depth
is associated with the rigor, level of detail, and formality of the artifacts produced during the
design and development of the hardware, software, and firmware components of information
systems (e.g., functional specifications, high-level design, low-level design, source code). The
level of detail available in development artifacts can affect the type of testing, evaluation, and
analysis conducted during the system development life cycle (e.g., black-box testing, gray-box
testing, white-box testing, static/dynamic analysis). For operational assurance, the depth attribute
addresses the number and types of assurance-related security controls selected and implemented.
In contrast, the coverage attribute is associated with the assessment methods employed during
development and operations, addressing the scope and breadth of assessment objects included in
the assessments (e.g., number/types of tests conducted on source code, number of software
modules reviewed, number of network nodes/mobile devices scanned for vulnerabilities, number
of individuals interviewed to check basic understanding of contingency responsibilities). 54
Addressing assurance-related controls during acquisition and system development can help
organizations to obtain sufficiently trustworthy information systems and components that are
more reliable and less likely to fail. These controls include ensuring that developers employ
sound systems security engineering principles and processes including, for example, providing a
comprehensive security architecture, and enforcing strict configuration management and control
of information system and software changes. Once information systems are deployed, assurancerelated controls can help organizations to continue to have confidence in the trustworthiness of
the systems. These controls include, for example, conducting integrity checks on software and
firmware components, conducting penetration testing to find vulnerabilities in organizational
54
NIST Special Publication 800-53A provides guidance on the generation of security evidence related to security
assessments conducted during the system development life cycle.
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information systems, monitoring established secure configuration settings, and developing
policies/procedures that support the operation and use of the systems.
The concepts described above, including security requirements, security capability, security
controls, security functionality, and security assurance, are brought together in a model for
trustworthiness for information systems and system components. Figure 3 illustrates the key
components in the model and the relationship among the components.
TRUSTWORTHINESS
Facilitates risk response to a variety of threats, including
hostile cyber attacks, natural disasters, structural failures,
and human errors, both intentional and unintentional.
(Systems and Components)
Enables
Security Requirements
Promotes Traceability from
Requirements to Capability to
Functionality with Degree of
Assurance
Derived from Mission/Business Needs, Laws, E.O.,
Policies, Directives, Instructions, Standards
Satisfies
Security Capability
Mutually Reinforcing Security Controls
(Technical, Physical, Procedural Means)
Produces
Security Functionality
Features, Functions, Services,
Mechanisms, Processes, Procedures
(Functionality-Related Controls)
Security Assurance
Provides
Confidence
In
Developmental/Operational Actions
(Assurance-Related Controls)
Generates
Security Evidence
Development Artifacts, Flaw Reports,
Assessment Results, Scan Results,
Integrity Checks, Configuration Settings
FIGURE 3: TRUSTWORTHINESS MODEL
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Developmental and Operational Activities to Achieve High Assurance
Raising the bar on assurance can be difficult and costly for organizations—but sometimes
essential for critical applications, missions, or business functions. Determining what parts of the
organization’s information technology infrastructure demand higher assurance of implemented
security functionality is a Tier 1/Tier 2 risk management activity (see Figure 1 in Chapter Two).
This type of activity occurs when organizations determine the security requirements necessary to
protect organizational operations (i.e., mission, functions, image, and reputation), organizational
assets, individuals, other organizations, and the Nation. Determining security requirements and
the associated security capabilities needed to generate the appropriate protection is an integral
part of the organizational risk management process described in NIST Special Publication 80039—specifically, in the development of the risk response strategy following the risk framing and
risk assessment steps (where organizations establish priorities, assumptions, constraints, risk
tolerance and assess threats, vulnerabilities, mission/business impacts, and likelihood of threat
occurrence). After the security requirements and security capabilities are determined at Tiers 1
and 2 (including the necessary assurance requirements to provide measures of confidence in the
desired capabilities), those requirements/capabilities are reflected in the design of the enterprise
architecture, the associated mission/business processes, and the organizational information
systems that are needed to support those processes. Organizations can use the Risk Management
Framework (RMF), described in NIST Special Publication 800-37, to ensure that the appropriate
assurance levels are achieved for the information systems and system components deployed to
carry out core missions and business functions. This is primarily a Tier 3 activity but can have
some overlap with Tiers 1 and 2, for example, in the area of common control selection.
Trustworthy information systems are difficult to build from a software and systems development
perspective. However, there are a number of design, architectural, and implementation principles
that, if used, can result in more trustworthy systems. These core security principles include, for
example, simplicity, modularity, layering, domain isolation, least privilege, least functionality,
and resource isolation/encapsulation. Information technology products and systems exhibiting a
higher degree of trustworthiness (i.e., products/systems having the requisite security functionality
and security assurance) are expected to exhibit a lower rate of latent design/implementation flaws
and a higher degree of penetration resistance against a range of threats including, for example,
sophisticated cyber attacks, natural disasters, accidents, and intentional/unintentional errors. 55 The
vulnerability and susceptibility of organizational missions/business functions and supporting
information systems to known threats, the environments of operation where those systems are
deployed, and the maximum acceptable level of information security risk, guide the degree of
trustworthiness needed.
Appendix E describes the minimum assurance requirements for federal information systems and
organizations and highlights the assurance-related controls in the security control baselines in
Appendix D needed to ensure that the requirements are satisfied. 56
55
Organizations also rely to a great extent on security assurance from an operational perspective as illustrated by the
assurance-related controls in Tables E-1 through E-3. Operational assurance is obtained by other than developmental
actions including for example, defining and applying security configuration settings on information technology
products, establishing policies and procedures, assessing security controls, and conducting a rigorous continuous
monitoring program. In some situations, to achieve the necessary security capability with weak or deficient information
technology, organizations compensate by increasing their operational assurance.
56
CNSS Instruction 1253 designates security control baselines for national security systems. Therefore, the assurancerelated controls in the baselines established for the national security community, if so designated, may differ from those
controls designated for non-national security systems.
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Why Assurance Matters
The importance of security assurance can be described by using the example of a light switch on a
wall in the living room of your house. Individuals can observe that by simply turning the switch on and
off, the switch appears to be performing according to its functional specification. This is analogous to
conducting black-box testing of security functionality in an information system or system component.
However, the more important questions might be—
•
Does the light switch do anything else besides what it is supposed to do?
•
What does the light switch look like from behind the wall?
•
What types of components were used to construct the light switch and how was the switch
assembled?
•
Did the switch manufacturer follow industry best practices in the development process?
This example is analogous to the many developmental activities that address the quality of the
security functionality in an information system or system component including, for example, design
principles, coding techniques, code analysis, testing, and evaluation.
The security assurance requirements and associated assurance-related controls in Appendix E
address the light switch problem from the front of the wall perspective, and potentially from the
behind the wall perspective, depending on the measure of confidence needed about the component
in question. For organizational missions/business functions that are less critical (i.e., low impact),
lower levels of assurance might be appropriate. However, as missions/business functions become
more important (i.e., moderate or high impact) and information systems and organizations become
susceptible to advanced persistent threats by high-end adversaries, increased levels of assurance
may be required. In addition, as organizations become more dependent on external information
system services and providers, assurance becomes more important—providing greater insight and
measures of confidence to organizations in understanding and verifying the security capability of
external providers and the services provided to the federal government. Thus, when the potential
impact to organizational operations and assets, individuals, other organizations, or the Nation is
great, an increasing level of effort must be directed at what is happening behind the wall.
2.7 REVISIONS AND EXTENSIONS
The security controls listed in this publication represent the state-of-the-practice safeguards and
countermeasures for federal information systems and organizations. The security controls 57 will
be carefully reviewed and revised periodically to reflect:
•
Experience gained from using the controls;
•
New federal legislation, Executive Orders, directives, regulations, or policies;
•
Changing security requirements;
•
Emerging threats, vulnerabilities, and attack methods; and
•
Availability of new technologies.
The security controls in the security control catalog are expected to change over time, as controls
are withdrawn, revised, and added. The security controls defined in the low, moderate, and high
baselines are also expected to change over time as the level of security and due diligence for
mitigating risks within organizations changes. In addition to the need for change, the need for
stability is addressed by requiring that proposed modifications to security controls go through a
57
The privacy controls listed in Appendix J will also be updated on a regular basis using similar criteria.
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rigorous public review process to obtain both public and private sector feedback and to build
consensus for such change. This provides over time, a stable, flexible, and technically sound set
of security controls for the federal government, contractors, and any other organizations using the
security control catalog.
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CHAPTER THREE
THE PROCESS
SELECTION AND SPECIFICATION OF SECURITY CONTROLS
T
his chapter describes the process of selecting and specifying security controls and control
enhancements for organizational information systems to include: (i) selecting appropriate
security control baselines; (ii) tailoring the baselines; (iii) documenting the security control
selection process; and (iv) applying the control selection process to new development and legacy
systems.
3.1 SELECTING SECURITY CONTROL BASELINES
In preparation for selecting and specifying the appropriate security controls for organizational
information systems and their respective environments of operation, organizations first determine
the criticality and sensitivity of the information to be processed, stored, or transmitted by those
systems. This process, known as security categorization, is described in FIPS Publication 199. 58
The security categorization standard is based on a simple and well-established concept—that is,
determining the potential adverse impact for organizational information systems. The results of
security categorization help guide and inform the selection of appropriate security controls (i.e.,
safeguards and countermeasures) to adequately protect those information systems. The security
controls selected for information systems are commensurate with the potential adverse impact on
organizational operations and assets, individuals, other organizations, or the Nation if there is a
loss of confidentiality, integrity, or availability. FIPS Publication 199 requires organizations to
categorize information systems as low-impact, moderate-impact, or high-impact for the stated
security objectives of confidentiality, integrity, and availability (RMF Step 1). The potential
impact values assigned to the security objectives are the highest values (i.e., high water mark)
from the security categories that have been determined for each type of information processed,
stored, or transmitted by those information systems. 59 The generalized format for expressing the
security category (SC) of an information system is:
SC information system
= {(confidentiality, impact), (integrity, impact), (availability, impact)},
where the acceptable values for potential impact are low, moderate, or high.
Since the potential impact values for confidentiality, integrity, and availability may not always be
the same for a particular information system, the high water mark concept (introduced in FIPS
Publication 199) is used in FIPS Publication 200 to determine the impact level of the information
system for the express purpose of selecting the applicable security control baseline from one of
the three baselines identified in Appendix D. 60 Thus, a low-impact system is defined as an
information system in which all three of the security objectives are low. A moderate-impact
system is an information system in which at least one of the security objectives is moderate and
58
CNSS Instruction 1253 provides security categorization guidance for national security systems.
59
NIST Special Publication 800-60, Guide for Mapping Types of Information and Information Systems to Security
Categories, provides guidance on the assignment of security categories to information systems.
60
The high water mark concept is employed because there are significant dependencies among the security objectives
of confidentiality, integrity, and availability. In most cases, a compromise in one security objective ultimately affects
the other security objectives as well. Accordingly, security controls are not categorized by security objective. Rather,
the security controls are grouped into baselines to provide a general protection capability for classes of information
systems based on impact level.
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no security objective is greater than moderate. Finally, a high-impact system is an information
system in which at least one security objective is high.
Implementation Tip
To determine the impact level of an information system:
•
•
•
•
First, determine the different types of information that are processed, stored, or transmitted by the
information system. NIST Special Publication 800-60 provides common information types.
Second, using the impact values in FIPS Publication 199 and the recommendations of NIST
Special Publication 800-60, categorize the confidentiality, integrity, and availability of each
information type.
Third, determine the information system security categorization, that is, the highest impact value
for each security objective (confidentiality, integrity, availability) from among the categorizations
for the information types associated with the information system.
Fourth, determine the overall impact level of the information system from the highest impact value
among the three security objectives in the system security categorization.
Note: For national security systems, organizations use CNSSI 1253 for security categorization.
Once the impact level of the information system is determined, organizations begin the security
control selection process (RMF Step 2). The first step in selecting and specifying security controls
for the information system is to choose the appropriate security control baseline. 61 The selection
of the security control baseline is based on the FIPS 200 impact level of the information system
as determined by the security categorization process described above. The organization selects
one of three security control baselines from Appendix D corresponding to the low-impact,
moderate-impact, or high-impact rating of the information system. 62 Note that not all security
controls are assigned to baselines, as indicated in Table D-2 by the phrase not selected. Similarly,
as illustrated in Tables D-3 through D-19, not all control enhancements are assigned to baselines.
Those control enhancements that are assigned to baselines are so indicated by an “x” in the low,
moderate, or high columns. The use of the term baseline is intentional. The security controls and
control enhancements in the baselines are a starting point from which controls/enhancements may
be removed, added, or specialized based on the tailoring guidance in Section 3.2.
The security control baselines in Appendix D address the security needs of a broad and diverse
set of constituencies (including individual users and organizations). Some assumptions that
generally underlie the baselines in Appendix D include, for example: (i) the environments in
which organizational information systems operate; (ii) the nature of operations conducted by
organizations; (iii) the functionality employed within information systems; (iv) the types of
threats facing organizations, missions/business processes, and information systems; and (v) the
type of information processed, stored, or transmitted by information systems. Articulating the
underlying assumptions is a key element in the initial risk framing step of the risk management
process described in NIST Special Publication 800-39. Some of the assumptions that underlie the
baselines in Appendix D include:
61
The general security control selection process may be augmented or further detailed by additional sector-specific
guidance as described in Section 3.3, Creating Overlays, and Appendix I, template for developing overlays.
62
CNSS Instruction 1253 provides security control baselines for national security systems.
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•
Information systems are located in physical facilities;
•
User data/information in organizational information systems is relatively persistent; 63
•
Information systems are multi-user (either serially or concurrently) in operation;
•
Some user data/information in organizational information systems is not shareable with other
users who have authorized access to the same systems;
•
Information systems exist in networked environments;
•
Information systems are general purpose in nature; and
•
Organizations have the necessary structure, resources, and infrastructure to implement the
controls. 64
If one or more of these assumptions is not valid, then some of the security controls assigned to the
initial baselines in Appendix D may not be applicable—a situation that can be readily addressed
by applying the tailoring guidance in Section 3.2 and the results of organizational assessments of
risk. Conversely, there are also some possible situations that are specifically not addressed in the
baselines. These include:
•
Insider threats exist within organizations;
•
Classified data/information is processed, stored, or transmitted by information systems;
•
Advanced persistent threats (APTs) exist within organizations;
•
Selected data/information requires specialized protection based on federal legislation,
directives, regulations, or policies; and
•
Information systems need to communicate with other systems across different security
domains.
If any of the above assumptions apply, then additional security controls from Appendix F would
likely be needed to ensure adequate protection—a situation that can also be effectively addressed
by applying the tailoring guidance in Section 3.2 (specifically, security control supplementation)
and the results of organizational assessments of risk.
3.2 TAILORING BASELINE SECURITY CONTROLS
After selecting the applicable security control baseline from Appendix D, organizations initiate
the tailoring process to modify appropriately and align the controls more closely with the specific
conditions within the organization (i.e., conditions related to organizational missions/business
functions, information systems, or environments of operation). The tailoring process includes:
•
Identifying and designating common controls in initial security control baselines;
•
Applying scoping considerations to the remaining baseline security controls;
•
Selecting compensating security controls, if needed;
63
Persistent data/information refers to data/information with utility for a relatively long duration (e.g., days, weeks).
64
In general, federal departments and agencies will satisfy this assumption. The assumption becomes more of an issue
for nonfederal entities such as municipalities, first responders, and small (business) contractors. Such entities may not
be large enough or sufficiently resourced to have elements dedicated to providing the range of security capabilities that
are assumed by the baselines. Organizations consider such factors in their risk-based decisions.
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•
Assigning specific values to organization-defined security control parameters via explicit
assignment and selection statements;
•
Supplementing baselines with additional security controls and control enhancements, if
needed; and
•
Providing additional specification information for control implementation, if needed.
The tailoring process, as an integral part of security control selection and specification, is part of a
comprehensive organizational risk management process—framing, assessing, responding to, and
monitoring information security risk. Organizations use risk management guidance to facilitate
risk-based decision making regarding the applicability of security controls in the security control
baselines. Ultimately, organizations use the tailoring process to achieve cost-effective, risk-based
security that supports organizational mission/business needs. Tailoring activities are approved by
authorizing officials in coordination with selected organizational officials (e.g., risk executive
[function], chief information officers, senior information security officers, information system
owners, common control providers) prior to implementing the security controls. Organizations
have the flexibility to perform the tailoring process at the organization level for all information
systems (either as a required tailored baseline or as the starting point for system-specific tailoring
activities), in support of a particular line of business or mission/business process, at the individual
information system level, or by using a combination of the above. 65
Conversely, organizations do not remove security controls for operational convenience. Tailoring
decisions regarding security controls should be defensible based on mission/business needs and
accompanied by explicit risk-based determinations. 66 Tailoring decisions, including the specific
rationale for those decisions, are documented in the security plans for organizational information
systems. Every security control from the applicable security control baseline is accounted for
either by the organization (e.g., common control provider) or by the information system owner. If
certain security controls are tailored out, then the associated rationale is recorded in security plans
(or references/pointers to other relevant documentation are provided) for the information systems
and approved by the responsible organizational officials as part of the security plan approval
process. 67
Documenting significant risk management decisions in the security control selection process is
imperative in order for authorizing officials to have the necessary information to make credible,
risk-based decisions with regard to the authorization of information systems. Since information
systems, environments of operation, and personnel associated with the system development life
cycle are subject to change, providing the assumptions, constraints, and rationale supporting those
important risk decisions allows for a better understanding in the future of the security state of the
information systems or environments of operation at the time the original risk decisions were
made and facilitates identifying changes, when previous risk decisions are revisited.
65
See also Section 3.3, Creating Overlays, and Appendix I, template for developing overlays.
66
Tailoring decisions can also be based on timing and applicability of selected security controls under certain defined
conditions. That is, security controls may not apply in every situation or the parameter values for assignment statements
may change under certain circumstances. Overlays can define these special situations, conditions, or timing-related
considerations.
67
The level of detail required in documenting tailoring decisions in the security control selection process is at the
discretion of organizations and reflects the impact levels of the respective information systems implementing or
inheriting the controls.
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Identifying and Designating Common Controls
Common controls are controls that may be inherited by one or more organizational information
systems. If an information system inherits a common control, then that system does not need to
explicitly implement that control—that is, the security capability is being provided by another
entity. Therefore, when the security controls in Appendix F call for an information system to
implement or perform a particular security function, it should not be interpreted to mean that all
systems that are part of larger, more complex systems or all components of a particular system
need to implement the control or function. Organizational decisions on which security controls
are designated as common controls may greatly affect the responsibilities of individual system
owners with regard to the implementation of controls in a particular baseline. Common control
selection can also affect the overall resource expenditures by organizations (i.e., the greater the
number of common controls implemented, the greater potential cost savings).
Applying Scoping Considerations
Scoping considerations, when applied in conjunction with risk management guidance, provide
organizations with a more granular foundation with which to make risk-based decisions. 68 The
application of scoping considerations can eliminate unnecessary security controls from the initial
security control baselines and help to ensure that organizations select only those controls that are
needed to provide the appropriate level of protection for organizational information systems—
protection based on the missions and business functions being supported by those systems and the
environments in which the systems operate. Organizations may apply the scoping considerations
described below to assist with making risk-based decisions regarding security control selection
and specification—decisions that can potentially affect how the baseline security controls are
applied and implemented by organizations:
•
CONTROL ALLOCATION AND PLACEMENT CONSIDERATIONS—
The term information system can refer to systems at multiple levels of abstraction ranging
from system-of-systems to individual single-user systems. The growing complexity of many
information systems requires careful analysis in the allocation/placement of security controls
within the three tiers in the risk management hierarchy (organization level, mission/business
process level, and information system level) without imposing any specific architectural
views or solutions. 69 Security controls in the initial baselines represent an information
system-wide set of controls that may not be applicable to every component in the system.
Security controls are applicable only to information system components that provide or
support the information security capability addressed by the controls.70 Organizations make
explicit risk-based decisions about where to apply or allocate specific security controls in
organizational information systems in order to achieve the needed security capability and to
satisfy security requirements. 71 An example of this type of allocation is applying the
68
The scoping considerations listed in this section are exemplary and not intended to limit organizations in rendering
risk-based decisions based on other organization-defined considerations with appropriate rationale.
69
This is especially true with the advent of service-oriented architectures where specific services are provided to
implement a single function.
70
For example, auditing controls are typically applied to components of an information system that provide auditing
capability (e.g., servers, etc.) and are not necessarily applied to every user-level workstation within the organization.
Organizations should carefully assess the inventory of components that compose their information systems to
determine which security controls are applicable to the various components.
71
As information technology advances, more powerful and diverse functionality can be found in smart phones, tablets,
and other types of mobile devices. While tailor guidance may support not allocating a particular security control to a
specific technology or device, any residual risk associated with the absence of that control must be addressed in risk
assessments to adequately protect organizational operations and assets, individuals, other organizations, and the Nation.
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requirement from AC-18(1) (i.e., protecting wireless access to information systems using
authentication/encryption) to all wireless access except for wireless access to visitor
subnetworks which are not connected to other system components.
•
OPERATIONAL/ENVIRONMENTAL-RELATED CONSIDERATIONS—
Several of the security controls in the baselines are based on the assumption of the existence
of certain operational/environmental factors. Where these factors are absent or significantly
diverge from the baseline assumptions, it is justifiable to tailor the baseline. Some of the more
common operational/environmental factors include:
-
Mobility
The mobility of physical hosting environments can impact the security controls selected
for organizational information systems. As noted above, the set of security controls
assigned to each baseline in Appendix D assumes the operation of information systems in
fixed facilities and nonmobile locations. If those information systems operate primarily in
mobile environments, the security control baseline should be tailored appropriately to
account for the differences in mobility and accessibility of the specific locations where
the systems reside. For example, many of the security controls in the Physical and
Environmental Protection (PE) family that are selected in all three baselines reflect the
assumption that the information systems reside in physical facilities/complexes that
require appropriate physical protections. Such controls would likely not provide added
value for mobile environments such as ships, aircraft, automobiles, vans, or space-based
systems. 72
-
Single-User Systems and Operations
For information systems that are designed to operate as single-user systems (e.g., smart
phones), several of the security controls that address sharing among users may not be
needed. A single-user system or device refers to a system/device that is only intended to
be used by a single individual over time (i.e., exclusive use). Systems or devices that are
shared by multiple users over time are not considered single-user. Security controls such
as AC-10, Concurrent Session Control, SC-4, Information in Shared Resources, and AC3, Access Enforcement 73 may not be required in single-user systems/operations and could
reasonably be tailored out of the baseline at the discretion of organizations.
-
Data Connectivity and Bandwidth
While many information systems are interconnected, there are some systems which for
security or operational reasons, lack networking capabilities—that is, the systems are air
gapped from the network. For nonnetworked systems, security controls such as AC-17,
Remote Access, SC-8, Transmission Confidentiality and Integrity, and SC-7, Boundary
Protection, are not applicable and may be tailored out of the security control baselines at
the discretion of organizations. In addition to nonnetworked information systems, there
are systems that have very limited or sporadic bandwidth (e.g., tactical systems that
support warfighter or law enforcement missions). For such systems, the application of
security controls would need to be examined carefully as the limited and/or sporadic
bandwidth could impact the practicality of implementing those controls and the viability
of adversaries staging cyber attacks over the limited bandwidth.
72
The mobile nature of devices means that it is possible that, for some period of time, the devices may reside in fixed
facilities or complexes in fixed locations. During that time, the PE controls would likely apply.
73
Organizations consider whether individual users have administrator privileges before removing AC-3 from security
control baselines.
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-
Limited Functionality Systems or System Components
What constitutes an information system under the E-Government Act of 2002 is quite
broad. Fax machines, printers, scanners, pagers, smart phones, tablets, E-readers, and
digital cameras can all be categorized as information systems (or system components).
These types of systems and components may lack the general processing capabilities
assumed in the security control baselines. The nature of these constraints may limit the
types of threats that these systems face, and hence the appropriateness of some of the
security controls. Thus, a control such as SI-3, Malicious Code Protection (required in all
control baselines) may not be practical for information systems or components that are
not capable of executing code (e.g., text-only pagers). However, because there is often no
clear delineation between these types of information systems or components (e.g., smart
phones combine the digital capabilities of telephones, cameras, and computers), it is
important that the application of security controls to limited functionality systems or
components be done judiciously and always take into account the intended use of the
systems, system capabilities, and the risk of compromise.
-
Information and System Non-Persistence
There is often an assumption that user information within organizational information
systems is persistent for a considerable period of time. However, for some applications
and environments of operation (e.g., tactical systems, industrial control systems), the
persistence of user information is often very limited in duration. For information systems
processing, storing, or transmitting such non-persistent information, several security
controls in the Contingency Planning (CP) family such as CP-6, Alternate Storage Site,
CP-7, Alternate Processing Site, and CP-9, Information System Backup, may not be
practical and can be tailored out at the discretion of organizations. For similar reasons,
controls such as MP-6, Media Sanitization, and SC-28, Protection of Information at Rest,
are good candidates for removal through tailoring. 74 In addition to the non-persistence of
information, the information systems/services may be non-persistent as well. This can be
achieved by the use of virtualization techniques to establish non-persistent instantiations
of operating systems and applications. Depending on the duration of the instantiations,
some baseline controls might not be applicable.
-
Public Access
When public access to organizational information systems is allowed, security controls
should be applied with discretion since some security controls from the specified control
baselines (e.g., identification and authentication, personnel security controls) may not be
applicable for public access. Thus, in the case of the general public accessing federal
government websites (e.g., to download publically accessible information such as forms,
emergency preparedness information), security controls such as AC-7, Unsuccessful
Logon Attempts, AC-17, Remote Access, IA-2, Identification and Authentication, IA-4,
Identifier Management, and IA-5, Authenticator Management, typically would not be
relevant for validating access authorizations or privileges. However, many of these
controls would still be needed for identifying and authenticating organizational personnel
that maintain and support information systems providing such public access websites and
services. Similarly, many of the security controls may still be required for users accessing
nonpublic information systems through such public interfaces, for example, to access or
change personal information.
74
Organizations balance information persistence with the sensitivity of the information. Non-persistent information
may still require sanitization after deletion. In addition, organizations consider the duration of information sensitivity—
some information may be persistent, but only be sensitive for a limited time.
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•
SECURITY OBJECTIVE-RELATED CONSIDERATIONS—
Security controls that support only one or two of the confidentiality, integrity, or availability
security objectives may be downgraded to the corresponding control in a lower baseline (or
modified or eliminated if not defined in a lower baseline) only if the downgrading action: (i)
reflects the FIPS Publication 199 security category for the supported security objective(s)
before moving to the FIPS Publication 200 impact level (i.e., high water mark); 75 (ii) is
supported by an organizational assessment of risk; and (iii) does not adversely affect the level
of protection for the security-relevant information within the information system. 76 For
example, if an information system is categorized as moderate impact using the high water
mark concept because confidentiality and/or integrity are moderate but availability is low,
there are several controls that only support the availability security objective and that
potentially could be downgraded to low baseline requirements—that is, it may be appropriate
not to implement CP-2(1) because the control enhancement supports only availability and is
selected in the moderate baseline but not in the low baseline. The following security controls
and control enhancements are potential candidates for downgrading: 77
•
-
Confidentiality: AC-21, MA-3(3), MP-3, MP-4, MP-5, MP-5(4), MP-6(1), MP-6(2), PE4, PE-5, SC-4, SC-8, SC-8(1);
-
Integrity: CM-5, CM-5(1), CM-5(3), SC-8, SC-8(1), SI-7, SI-7(1), SI-7(5), SI-10; and
-
Availability: CP-2(1), CP-2(2), CP-2(3), CP-2(4), CP-2(5), CP-2(8), CP-3(1), CP-4(1),
CP-4(2), CP-6, CP-6(1), CP-6(2), CP-6(3), CP-7, CP-7(1), CP-7(2), CP-7(3), CP-7(4),
CP-8, CP-8(1), CP-8(2), CP-8(3), CP-8(4), CP-9(1), CP-9(2), CP-9(3), CP-9(5), CP10(2), CP-10(4), MA-6, PE-9, PE-10, PE-11, PE-11(1), PE-13(1), PE-13(2), PE-13(3),
PE-15(1).
TECHNOLOGY-RELATED CONSIDERATIONS—
Security controls that refer to specific technologies (e.g., wireless, cryptography, public key
infrastructure) are applicable only if those technologies are employed or are required to be
employed within organizational information systems. Security controls that can be explicitly
or implicitly supported by automated mechanisms do not require the development of such
mechanisms if the mechanisms do not already exist or are not readily available in commercial
or government off-the-shelf products. If automated mechanisms are not readily available,
75
When applying the high water mark in Section 3.1, some of the original FIPS Publication 199 confidentiality,
integrity, or availability security objectives may have been upgraded to a higher security control baseline. As part of
this process, security controls that uniquely support the confidentiality, integrity, or availability security objectives may
have been upgraded unnecessarily. Consequently, it is recommended that organizations consider appropriate and
allowable downgrading actions to ensure cost-effective, risk-based application of security controls.
76
Information that is security-relevant at the information system level (e.g., password files, network routing tables,
cryptographic key management information) is distinguished from user-level information within the same system.
Certain security controls are used to support the security objectives of confidentiality and integrity for both user-level
and system-level information. Caution should be exercised in downgrading confidentiality or integrity-related security
controls to ensure that downgrading actions do not result in insufficient protection for the security-relevant information
within the information system. Security-relevant information must be protected at the high water mark in order to
achieve a similar level of protection for any of the security objectives related to user-level information.
77
Downgrading actions apply only to the moderate and high baselines. Security controls that are uniquely attributable
to confidentiality, integrity, or availability that would ordinarily be considered as potential candidates for downgrading
(e.g., AC-16, AU-10, IA-7, PE-12, PE-14, SC-5, SC-13, SC-16) are eliminated from consideration because the controls
are either selected for use in all baselines and have no enhancements that could be downgraded, or the controls are
optional and not selected for use in any baseline. Organizations should exercise caution when downgrading security
controls that do not appear in the list in Section 3.2 to ensure that downgrading actions do not affect security objectives
other than the objectives targeted for downgrading.
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cost-effective, or technically feasible, compensating security controls, implemented through
nonautomated mechanisms or procedures, are used to satisfy specified security controls or
control enhancements (see terms and conditions for applying compensating controls below).
•
MISSION REQUIREMENTS-RELATED CONSIDERATIONS—
Some security controls may not be applicable (or appropriate) if implementing those controls
has the potential to degrade, debilitate, or otherwise hamper critical organizational missions
and/or business functions. For example, if the mission requires that an uninterrupted display
of mission-critical information be available at an operator console (e.g., air traffic controller
console), the implementation of AC-11, Session Lock, or SC-10, Network Disconnect, may
not be appropriate.
Selecting Compensating Security Controls
Organizations may find it necessary on occasion to employ compensating security controls.
Compensating controls are alternative security controls employed by organizations in lieu of
specific controls in the low, moderate, or high baselines described in Appendix D—controls that
provide equivalent or comparable protection for organizational information systems and the
information processed, stored, or transmitted by those systems. 78 This may occur, for example,
when organizations are unable to effectively implement specific security controls in the baselines
or when, due to the specific nature of the information systems or environments of operation, the
controls in the baselines are not a cost-effective means of obtaining the needed risk mitigation.
Compensating controls are typically selected after applying the scoping considerations in the
tailoring guidance to the applicable security control baseline. Compensating controls may be
employed by organizations under the following conditions:
•
•
•
Organizations select compensating controls from Appendix F; if appropriate compensating
controls are not available, organizations adopt suitable compensating controls from other
sources; 79
Organizations provide supporting rationale for how compensating controls provide equivalent
security capabilities for organizational information systems and why the baseline security
controls could not be employed; and
Organizations assess and accept the risk associated with implementing compensating controls
in organizational information systems.
Assigning Security Control Parameter Values
Security controls and control enhancements containing embedded parameters (i.e., assignment
and selection statements) give organizations the flexibility to define certain portions of controls
and enhancements to support specific organizational requirements. After the initial application of
scoping considerations and the selection of compensating controls, organizations review the
security controls and control enhancements for assignment/selection statements and determine
appropriate organization-defined values for the identified parameters. Parameter values may be
prescribed by applicable federal laws, Executive Orders, directives, regulations, policies, or
standards. Once organizations define the parameter values for security controls and control
78
More than one compensating control may be required to provide the equivalent protection for a particular security
control in Appendix F. For example, organizations with significant staff limitations may compensate for the separation
of duty security control by strengthening the audit, accountability, and personnel security controls.
79
Organizations should make every attempt to select compensating controls from the security control catalog in
Appendix F. Organization-defined compensating controls are employed only when organizations determine that the
security control catalog does not contain suitable compensating controls.
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enhancements, the assignments and selections become a part of the control and enhancement. 80
Organizations may choose to specify the values for security control parameters before selecting
compensating controls since the specification of the parameters completes the control definitions
and may affect compensating control requirements. There can also be significant benefits in
collaborating on the development of parameter values. For organizations that work together on a
frequent basis, it may be useful for those organizations to develop a mutually agreeable set of
uniform values for security control parameters. Doing so may assist organizations in achieving a
greater degree of reciprocity when depending upon the information systems and/or services
offered by other organizations.
Supplementing Security Control Baselines
The final determination of the appropriate set of security controls necessary to provide adequate
security for organizational information systems and the environments in which those systems
operate is a function of the assessment of risk and what is required to sufficiently mitigate the
risks to organizational operations and assets, individuals, other organizations, and the Nation. 81
In many cases, additional security controls or control enhancements (beyond those controls and
enhancements contained in the baselines in Appendix D) will be required to address specific
threats to and vulnerabilities in organizations, mission/business processes, and/or information
systems and to satisfy the requirements of applicable federal laws, Executive Orders, directives,
policies, standards, or regulations. 82 The risk assessment in the security control selection process
provides essential information in determining the necessity and sufficiency of the security
controls and control enhancements in the initial baselines. Organizations are encouraged to make
maximum use of Appendix F to facilitate the process of supplementing the initial baselines with
additional security controls and/or control enhancements. 83
Situations Requiring Potential Baseline Supplementation
Organizations may be subject to conditions that, from an operational, environmental, or threat
perspective, warrant the selection and implementation of additional (supplemental) controls to
achieve adequate protection of organizational missions/business functions and the information
systems supporting those missions/functions. Examples of conditions and additional controls that
might be required are provided below.
•
ADVANCED PERSISTENT THREAT
Security control baselines do not assume that the current threat environment is one where
adversaries have achieved a significant foothold and presence within organizations and
organizational information systems—that is, organizations are dealing with an advanced
persistent threat (APT). Adversaries continue to attack organizational information systems
and the information technology infrastructure and are successful in some aspects of such
attacks. To more fully address the advanced persistent threat, concepts such as insider threat
80
CNSS Instruction 1253 provides assignment of minimum values for organization-defined variables applicable to
national security systems. Parameter values can also be defined as part of overlays described in Section 3.4.
81
Considerations for potential national-level impacts and impacts to other organizations in categorizing organizational
information systems derive from the USA PATRIOT Act and Homeland Security Presidential Directives.
82
In previous versions of Special Publication 800-53, tailoring referred only to the removal of security controls from
baselines and supplementation referred only to the addition of controls to baselines. In this document, the term tailoring
has been redefined to include both the addition of security controls to baselines (i.e., tailoring up) and the removal of
controls from baselines (i.e., tailoring down).
83
Security controls and control enhancements selected to supplement baselines are allocated to appropriate information
system components in the same manner as the control allocations carried out by organizations in the initial baselines.
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protection (CM-5(4)), heterogeneity (SC-29), deception (SC-26 and SC-30), non-persistence
(SC-25 and SC-34), and segmentation (SC-7(13)) can be considered.
•
CROSS-DOMAIN SERVICES
Security control baselines do not assume that information systems have to operate across
multiple security domains. The baselines assume a flat view of information flows (i.e., the
same security policies in different domains when information moves across authorization
boundaries). To address cross-domain services and transactions, some subset of the AC-4
security control enhancements can be considered to ensure adequate protection of information
when transferred between information systems with different security policies.
•
MOBILITY
The use of mobile devices might result in the need for additional security controls and control
enhancements not selected in the initial baselines. For example, AC-7(2), which requires the
purging/wiping of information after an organization-defined number of unsuccessful logon
attempts, or MP-6 (8), which requires the capability for remote purging/wiping, could be
selected in order to address the threat of theft or loss of mobile devices.
•
CLASSIFIED INFORMATION
In some environments, classified and sensitive information 84 may be resident on national
security systems without all users having the necessary authorizations to access all of the
information. In those situations, additional security controls are required to ensure that
information requiring strict separation is not accessed by unauthorized users. More stringent
access controls include, for example, AC-3(3) and AC-16. When classified information is
being processed, stored, or transmitted on information systems that are jointly owned by
multiple entities (e.g., coalition partners in military alliances), more restrictive controls for
maintenance personnel may be required including, for example, MA-5(4).
Processes for Identifying Additional Needed Security Controls
Organizations can employ a requirements definition approach or a gap analysis approach in
selecting security controls and control enhancements to supplement initial baselines. In the
requirements definition approach, organizations obtain specific and credible threat 85 information
(or make reasonable assumptions) about the activities of adversaries with certain capabilities or
attack potential (e.g., skill levels, expertise, available resources). To effectively withstand cyber
attacks from adversaries with the stated capabilities or attack potential, organizations strive to
achieve a certain level of defensive capability or cyber preparedness. Organizations can select
additional security controls and control enhancements from Appendix F to obtain such defensive
capability or level of preparedness. In contrast to the requirements definition approach, the gap
analysis approach begins with an organizational assessment of its current defensive capability or
level of cyber preparedness. From that initial capability assessment, organizations determine the
types of threats they can reasonably expect to counter. If the current organizational defensive
capabilities or levels of cyber preparedness are insufficient, the gap analysis determines the
required capabilities and levels of preparedness. Organizations subsequently define the security
controls and control enhancements from Appendix F needed to achieve the desired capabilities or
cyber-preparedness levels. Both of the approaches described above require timely and accurate
84
The example is illustrative only. CNSS Instruction 1253 provides specific guidance regarding security controls
required for national security systems.
85
While this example focuses on threats to information systems from purposeful attacks, the threat space of concern to
organizations also includes environmental disruptions and human errors.
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threat information. It is essential that organizations work with the appropriate threat identification
component to obtain such information.
During the tailoring process, organizations consider reevaluating the priority codes from the
security control baselines to determine if any changes to those priorities are appropriate. This is
especially important when adding security controls that are not included in any of the baselines,
because those controls have priority codes of P0. The reevaluation of priority codes can be based
on organizational assessments of risk or design/developmental decisions related to the security
architecture or the systems and security engineering process that may require certain sequencing
in security control implementation.
Enhancing Information Security without Changing Control Selection
There may be situations in which organizations cannot apply sufficient security controls within
their information systems to adequately reduce or mitigate risk (e.g., when using certain types of
information technologies or employing certain computing paradigms). Therefore, alternative
strategies are needed to prevent organizational missions/business functions from being adversely
affected— strategies that consider the mission and business risks resulting from an aggressive use
of information technology. Restrictions on the types of technologies used and how organizational
information systems are employed provide an alternative method to reduce or mitigate risk that
may be used in conjunction with, or instead of, supplemental security controls. Restrictions on the
use of information systems and specific information technologies may be, in some situations, the
only practical or reasonable actions organizations can take in order to have the capability to carry
out assigned missions/business functions in the face of determined adversaries. Examples of use
restrictions include:
•
Limiting the information that information systems can process, store, or transmit or the
manner in which organizational missions/business functions are automated;
•
Prohibiting external access to organizational information by removing selected information
system components from networks (i.e., air gapping); and
•
Prohibiting moderate- or high-impact information on organizational information system
components to which the public has access, unless an explicit risk determination is made
authorizing such access.
Providing Additional Specification Information for Control Implementation
Since security controls are statements of security capability at higher levels of abstraction, the
controls may lack sufficient information for successful implementation. Therefore, additional
detail may be necessary to fully define the intent of a given security control for implementation
purposes and to ensure that the security requirements related to that control are satisfied. For
example, additional information may be provided as part of the process of moving from control to
specification requirement, and may involve refinement of implementation details, refinement of
scope, or iteration to apply the same control differently to different scopes. Organizations ensure
that if existing security control information (e.g., selection and assignment statements) is not
sufficient to fully define the intended application of the control, such information is provided.
Organizations have the flexibility to determine whether additional detail is included as a part of
the control statement, in supplemental guidance, or in a separate control addendum section. When
providing additional detail, organizations are cautioned not to change the intent of the security
control or modify the original language in the control. The additional implementation information
can be documented either in security plans or systems and security engineering plans. The type of
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additional detail that might be necessary to fully specify a security control for implementation
purposes is provided in the SI-7(6) example below:
SI-7
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
(6)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CRYPTOGRAPHIC PROTECTION
The information system implements cryptographic mechanisms to detect unauthorized changes to
software, firmware, and information.
Supplemental Guidance: Cryptographic mechanisms used for the protection of integrity include,
for example, digital signatures and the computation and application of signed hashes using
asymmetric cryptography, protecting the confidentiality of the key used to generate the hash,
and using the public key to verify the hash information. Related control: SC-13.
Additional implementation detail for SI-7(6):
Digital signatures are applied to all traffic for which non-repudiation is required employing
SHA-256 or another approved NIST algorithm demonstrably of at least the same strength of
mechanism.
3.3 CREATING OVERLAYS
The previous sections described the process of tailoring security control baselines to achieve a
more focused and relevant security capability for organizations. In certain situations, it may be
beneficial for organizations to apply tailoring guidance to the baselines to develop a set of
security controls for community-wide use or to address specialized requirements, technologies, or
unique missions/environments of operation. 86 For example, the federal government may decide to
establish a governmentwide set of security controls and implementation guidance for: (i) public
key infrastructure (PKI) systems that could be uniformly applied to all PKI systems implemented
within federal agencies; (ii) cloud-based information systems that are uniformly applied to all
federal agencies procuring or implementing cloud services; or (iii) industrial control systems
(ICSs) at federal facilities producing electric power or controlling environmental systems in
federal facilities. Alternatively, to address particular communities of interest with specialized
requirements, the Department of Defense, for example, may decide to establish a set of security
controls and implementation guidance for its tactical operations and environments by applying
the tailoring guidance to the standard security control baselines for national security systems to
achieve more specialized solutions. In each of the above examples, tailored baselines can be
developed for each information technology area or for the unique circumstances/environments
and promulgated to large communities of interest—thus achieving standardized security
capabilities, consistency of implementation, and cost-effective security solutions.
To address the need for developing community-wide and specialized sets of security controls for
information systems and organizations, the concept of overlay is introduced. An overlay is a fully
specified set of security controls, control enhancements, and supplemental guidance derived from
the application of tailoring guidance in Section 3.2 to security control baselines in Appendix D. 87
Overlays complement the initial security control baselines by: (i) providing the opportunity to add
or eliminate controls; (ii) providing security control applicability and interpretations for specific
information technologies, computing paradigms, environments of operation, types of information
systems, types of missions/operations, operating modes, industry sectors, and statutory/regulatory
requirements; (iii) establishing community-wide parameter values for assignment and/or selection
statements in security controls and control enhancements; and (iv) extending the supplemental
guidance for security controls, where necessary. Organizations typically use the overlay concept
86
This type of tailoring can be conducted at the federal level or by individual organizations.
87
CNSS Instruction 1253 provides tailoring guidance and security control baselines for national security systems.
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when there is divergence from the basic assumptions used to create the initial security control
baselines (see Section 3.1). If organizations are not divergent from the basic assumptions for the
initial baselines, there is likely no need to create an overlay. Alternatively, the baselines may be
missing key assumptions which would justify creating an overlay with additional assumptions.
The full range of tailoring activities can be employed by organizations to provide a disciplined
and structured approach for developing tailored baselines supporting the areas described above.
Overlays provide an opportunity to build consensus across communities of interest and develop
security plans for organizational information systems that have broad-based support for very
specific circumstances, situations, and/or conditions. Categories of overlays that may be useful
include, for example:
•
Communities of interest, industry sectors, or coalitions/partnerships (e.g., healthcare, law
enforcement, intelligence, financial, transportation, energy, allied collaboration/sharing);
•
Information technologies/computing paradigms (e.g., cloud/mobile, PKI, Smart Grid, crossdomain solutions);
•
Environments of operation (e.g., space, tactical);
•
Types of information systems and operating modes (e.g., industrial/process control systems,
weapons systems, single-user systems, standalone systems);
•
Types of missions/operations (e.g., counterterrorism, first responders, research, development,
test, and evaluation); and
•
Statutory/regulatory requirements (e.g., Foreign Intelligence Surveillance Act, Health
Insurance Portability and Accountability Act, Privacy Act).
Organizations can effectively use the risk management concepts defined in NIST Special
Publication 800-39 when developing overlays. The successful development of overlays requires
the involvement of: (i) information security professionals who understand the specific subject
area that is the focus of the overlay development effort; and (ii) subject matter experts in the
overlay area who understand the security controls in Appendix F and the initial baselines in
Appendix D. The format and structure for developing overlays is provided in Appendix I.
Multiple overlays can be applied to a single security control baseline. The tailored baselines that
result from the overlay development process may be more or less stringent than the original
security control baselines. Risk assessments provide information necessary to determine if the
risk from implementing the tailored baselines falls within the risk tolerance of the organizations
or communities of interest developing the overlays. If multiple overlays are employed, it is
possible that there could be a conflict between the overlays. If the use of multiple overlays results
in conflicts between the application or removal of security controls, the authorizing official (or
designee), in coordination with the mission/business owner and/or information owner/steward,
can resolve the conflict. In general, overlays are intended to reduce the need for ad hoc tailoring
of baselines by organizations through the selection of a set of controls and control enhancements
that more closely correspond to common circumstances, situations, and/or conditions. However,
the use of overlays does not preclude organizations from performing further tailoring to reflect
organization-specific needs, assumptions, or constraints. Tailoring of overlays is accomplished
within the constraints defined within the overlay and may require the concurrence/approval of the
authorizing official or other organization-designated individuals. For example, an overlay created
for an industrial control system (ICS) may require tailoring for applicability to a specific type of
ICS and its environment of operation. But it is anticipated that the use of overlays would greatly
reduce the number and extent of organization-specific ad hoc tailoring.
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3.4 DOCUMENTING THE CONTROL SELECTION PROCESS
Organizations document the relevant decisions taken during the security control selection process,
providing a sound rationale for those decisions. This documentation is essential when examining
the security considerations for organizational information systems with respect to the potential
mission/business impact. The resulting set of security controls and the supporting rationale for the
selection decisions (including any information system use restrictions required by organizations)
are documented in the security plans. Documenting significant risk management decisions in the
security control selection process is imperative so that authorizing officials can have access to the
necessary information to make informed authorization decisions for organizational information
systems. 88 Without such information, the understanding, assumptions, constraints, and rationale
supporting those risk management decisions will, in all likelihood, not be available when the state
of the information systems or environments of operation change, and the original risk decisions
are revisited. Figure 4 summarizes the security control selection process, including the selection
of initial baselines and the tailoring of the baselines by applying the guidance in Section 3.2.
Tailoring Guidance
INITIAL
SECURITY
CONTROL
BASELINE
(Low, Mod, High)
•
•
•
•
•
•
Identifying and Designating Common Controls
Applying Scoping Considerations
Selecting Compensating Controls
Assigning Security Control Parameter Values
Supplementing Baseline Security Controls
Providing Additional Specification Information
for Implementation
TAILORED
SECURITY
CONTROL
BASELINE
(Low, Mod, High)
Creating Overlays
Before Tailoring
After Tailoring
Assessment of Organizational Risk
DOCUMENT SECURITY CONTROL DECISIONS
Rationale that the agreed-upon set of security controls for the information system provide adequate
protection of organizational operations and assets, individuals, other organizations, and the Nation.
FIGURE 4: SECURITY CONTROL SELECTION PROCESS
Iterative and Dynamic Nature of Security Control Tailoring
The security control tailoring process described above, while appearing to be sequential in nature,
can also have an iterative aspect. Organizations may choose to execute the tailoring steps in any
order based on organizational needs and the information generated from risk assessments. For
example, some organizations may establish the parameter values for security controls in the initial
baselines prior to selecting compensating controls. Other organizations may delay completing
assignment and selection statements in the controls until after the supplementation activities have
been completed. Organizations may also discover that when fully specifying security controls for
the intended environments of operation, there may be difficulties that arise which may trigger the
need for additional (supplemental) controls. Finally, the security control tailoring process is not
static—that is, organizations revisit the tailoring step as often as needed based on ongoing
organizational assessments of risk.
88
The security control selection process also applies to common control providers and the authorizing officials
rendering authorization decisions for common controls deployed within organizations.
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In addition to the iterative and dynamic nature of the security control tailoring process, there may
also be side effects as controls are added and removed from the baselines. Security controls in
Appendix F can have some degree of dependency and functional overlap with other controls. In
many cases, security controls work together to achieve a security capability. Thus, removing a
particular security control from a baseline during the tailoring process may have unintended side
effects (and potentially adverse impacts) on the remaining controls. Alternatively, adding a new
security control to a baseline during the tailoring process may eliminate or reduce the need for
certain specific controls because the new control provides a better security capability than the
capability provided by other controls. For example, if organizations implement SC-30(2) using
virtualization techniques to randomly/frequently deploy diverse and changing operating systems
and applications, this approach could potentially limit the requirement to update the security
configurations in CM-2(2). Therefore, the addition or removal of security controls is viewed with
regard to the totality of the information security needs of the organization and its information
systems, and not simply with regard to the controls being added or removed.
Implementation Tip
In diverging from the security control baselines during the tailoring process, organizations consider
some very important linkages between various controls and control enhancements. These linkages
are captured in the selection of controls and enhancements in the baselines and are especially
significant when developing overlays (described in Section 3.3 and Appendix I). In some instances,
the linkages are such that it is not meaningful to include a security control or control enhancement
without some other control or enhancement. The totality of the controls and enhancements provide a
required security capability. Some linkages are obvious such as the linkage between Mandatory
Access Control enhancement (AC-3(3)) and Security Attributes (AC-16). But other linkages may be
more subtle. This is especially true in the case where the linkage is between security functionalityrelated controls and security assurance-related controls as described in Appendix E. For example, it
is not particularly meaningful to implement AC-3(3) without also implementing a Reference Monitor
(AC-25). Organizations are encouraged to pay careful attention to the related controls section of the
Supplemental Guidance for the security controls to help in identifying such linkages.
Other Considerations
Organizational tailoring decisions are not carried out in a vacuum. While such decisions are
rightly focused on information security considerations, it is important that the decisions be
aligned with other risk factors that organizations address routinely. Risk factors such as cost,
schedule, and performance are considered in the overall determination of which security controls
to employ in organizational information systems and environments of operation. For example, in
military command and control systems in which lives may be at stake, the adoption of security
controls is balanced with operational necessity. With respect to the air traffic control system and
consoles used by air traffic controllers, the need to access the consoles in real time to control the
air space outweighs the security need for an AC-11, Session Lock. In short, the security control
selection process (to include tailoring activities described in Section 3.2) should be integrated into
the overall risk management process as described in NIST Special Publication 800-39.
Finally, organizations factor scalability into the security control selection process—that is,
controls are scalable with regard to the extent/rigor of the implementation. Scalability is guided
by the FIPS Publication 199 security categorizations and the associated FIPS Publication 200
impact levels of the information systems where the controls are to be applied. For example,
contingency plans for high-impact information systems may contain significant amounts of
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implementation detail and be quite lengthy. In contrast, contingency plans for low-impact systems
may contain considerably less detail and be quite succinct. Organizations use discretion in
applying the security controls to organizational information systems, giving consideration to the
scalability factors in particular operational environments. Scaling controls to the appropriate
system impact level facilitates a more cost-effective, risk-based approach to security control
implementation—expending only the level of resources necessary to achieve sufficient risk
mitigation and adequate security.
Implementation Tip
Maintaining a record of security control selection and control status can be addressed in one or
multiple documents or security plans. If using multiple documents, consider providing references to
the necessary information in the relevant documents rather than requiring duplication of information.
Using references to relevant documentation reduces the amount of time and resources needed by
organizations to generate such information. Other benefits include greater security awareness and
understanding of the information system capabilities. Increased security awareness/understanding
supports more effective integration of information security into organizational information systems.
3.5 NEW DEVELOPMENT AND LEGACY SYSTEMS
The security control selection process described in this section can be applied to organizational
information systems from two different perspectives: (i) new development; and (ii) legacy. For
new development systems, the security control selection process is applied from a requirements
definition perspective since the systems do not yet exist and organizations are conducting initial
security categorizations. The security controls included in the security plans for the information
systems serve as a security specification and are expected to be incorporated into the systems
during the development and implementation phases of the system development life cycle. In
contrast, for legacy information systems, the security control selection process is applied from a
gap analysis perspective when organizations are anticipating significant changes to the systems
(e.g., during major upgrades, modifications, or outsourcing). Since the information systems
already exist, organizations in all likelihood have completed the security categorization and
security control selection processes resulting in the establishment of previously agreed-upon
security controls in the respective security plans and the implementation of those controls within
the information systems. Therefore, the gap analysis can be applied in the following manner:
•
First, reconfirm or update as necessary, the security category and impact level for the
information system based on the types of information that are currently being processed,
stored, or transmitted by the system.
•
Second, review the existing security plan that describes the security controls that are currently
employed considering any updates to the security category and information system impact
level as well as any changes to the organization, mission/business processes, the system, or
the operational environment. Reassess the risk and revise the security plan as necessary,
including documenting any additional security controls that would be needed by the system to
ensure that the risk to organizational operations, organizational assets, individuals, other
organizations, and the Nation, remains at an acceptable level.
•
Third, implement the security controls described in the updated security plan, document in the
plan of action and milestones any controls not implemented, and continue with the remaining
steps in the Risk Management Framework in the same manner as a new development system.
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Applying Gap Analyses to External Service Providers
The gap analysis perspective is also applied when interacting with external service providers. As
described in Section 2.5, organizations are becoming increasingly reliant on external providers for
information system services. Using the steps in the gap analysis described above, organizations
can effectively use the acquisition process and appropriate contractual vehicles to require external
providers to carry out the security categorization and security control selection steps in the RMF.
The resulting information can help determine what security controls the external provider either
has in place or intends to implement for the information system services that are to be provided.
If a security control deficit exists, the responsibility for adequately mitigating unacceptable risks
arising from the use of external information system services remains with authorizing officials. In
such situations, organizations can reduce the organizational risk to an acceptable level by:
•
Using the existing contractual vehicle to require the external provider to meet the additional
security control requirements established by the organization;
•
Negotiating with the provider for additional security controls if the existing contractual
vehicle does not provide for such added requirements;
•
Approving the use of compensating controls by the provider; or
•
Employing alternative risk mitigation actions 89 within the organizational information system
when a contract either does not exist or the contract does not provide the necessary leverage
for organizations to obtain the needed security controls.
Implementation Tip
Many organizations operate and maintain complex information systems, often referred to as a
system-of-systems. Enterprise architecture plays a key part in the security control selection process
for these types of information systems. Organizations can address the complex system problem by
dividing the system into two or more subsystems and applying the FIPS 199 security categorization
and FIPS 200 impact level determination to each subsystem. Applying separate impact levels to
each subsystem does not change the overall impact level of the information system; rather, it allows
constituent subsystems to receive a separate allocation of security controls instead of deploying
higher-impact controls across every subsystem. It is not valid to treat the subsystems as entirely
independent entities, however, since the subsystems are interdependent and interconnected.
Organizations develop security architectures to allocate security controls among subsystems
including monitoring and controlling communications at key internal boundaries within the system
and provide system-wide controls that meet or exceed the highest information system impact level of
the constituent subsystems inheriting security capabilities from those controls. Organizations also
consider that replicated subsystems within complex systems may exhibit common vulnerabilities that
can be exploited by common threat sources—thereby negating the redundancy that might be relied
upon as a risk mitigation measure. The impact due to a security incident against one constituent
subsystem might cascade and impact many subsystems at the same time.
89
For example, local policies, procedures, and/or compensating controls could be established by organizations to serve
as alternative mitigation actions for risks identified in a gap analysis.
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APPENDIX A
REFERENCES
LAWS, POLICIES, DIRECTIVES, REGULATIONS, MEMORANDA, STANDARDS, AND GUIDELINES
LEGISLATION AND EXECUTIVE ORDERS
1.
E-Government Act [includes FISMA] (P.L. 107-347), December 2002.
2.
Federal Information Security Management Act (P.L. 107-347, Title III), December 2002.
3.
Paperwork Reduction Act (P.L. 104-13), May 1995.
4.
USA PATRIOT Act (P.L. 107-56), October 2001.
5.
6.
Privacy Act of 1974 (P.L. 93-579), December 1974.
Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public Law No.
104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996.
7.
Health Insurance Portability and Accountability Act (P.L. 104-191), August 1996.
8.
9.
The Atomic Energy Act of 1954 (P.L. 83-703), August 1954.
Executive Order 13556, Controlled Unclassified Information, November 2010.
10.
Executive Order 13587, Structural Reforms to Improve the Security of Classified
Networks and the Responsible Sharing and Safeguarding of Classified Information,
October 2011.
POLICIES, DIRECTIVES, INSTRUCTIONS, REGULATIONS, AND MEMORANDA
1.
Presidential Memorandum, National Insider Threat Policy and Minimum Standards for
Executive Branch Insider Threat Programs, November 2012.
2.
Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106,
Designation of Public Trust Positions and Investigative Requirements (5 C.F.R. 731.106).
3.
Code of Federal Regulations, Part 5 Administrative Personnel, Subpart C—Employees
Responsible for the Management or Use of Federal Computer Systems, Section 930.301
through 930.305 (5 C.F.R. 930.301-305).
4.
Committee on National Security Systems Policy (CNSSP) No. 11, National Policy
Governing the Acquisition of Information Assurance (IA) and IA-Enabled Information
Technology (IT) Products, July 2003.
5.
Committee on National Security Systems Policy (CNSSP) No. 12, National Information
Assurance Policy for Space Systems Used to Support National Security Missions, March
2007.
6.
Committee on National Security Systems (CNSS) Instruction 4009, National Information
Assurance Glossary, April 2010.
7.
Committee on National Security Systems (CNSS) Instruction 1253, Version 2, Security
Categorization and Control Selection for National Security Systems, March 2012.
8.
Committee on National Security Systems Directive (CNSSD) No. 504, Directive on
Protecting National Security Systems from Insider Threat, January 2012.
9.
Department of Homeland Security, National Infrastructure Protection Plan (NIPP), 2009.
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and Organizations
________________________________________________________________________________________________
10.
Intelligence Community Directive (ICD) 705, Sensitive Compartmented Information
Facilities, May 2010.
11.
Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity
Program and Requirements, February 2008.
12.
Executive Office of the President of the United States and Federal CIO Council, Federal
Identity, Credential, and Access Management (FICAM) Roadmap and Implementation
Guidance, December 2011.
13.
Homeland Security Presidential Directive 7, Critical Infrastructure Identification,
Prioritization, and Protection, December 2003.
14.
Homeland Security Presidential Directive 12, Policy for a Common Identification
Standard for Federal Employees and Contractors, August 2004.
15.
Homeland Security Presidential Directive 20 (National Security Presidential Directive 51),
National Continuity Policy, May 2007.
16.
Intelligence Community Directive Number 704, Personnel Security Standards and
Procedures Governing Eligibility For Access To Sensitive Compartmented Information
And Other Controlled Access Program Information, October 2008.
17.
National Communications System (NCS) Directive 3-10, Minimum Requirements for
Continuity Communications Capabilities, July 2007.
18.
National Security Telecommunications and Information Systems Security Instruction
(NSTISSI) 7003, Protective Distribution Systems (PDS), December 1996.
19.
Office of Management and Budget Circular A-130, Appendix III, Transmittal
Memorandum #4, Management of Federal Information Resources, November 2000.
20.
Office of Management and Budget, Federal Enterprise Architecture Program Management
Office, FEA Consolidated Reference Model Document, Version 2.3, October 2007.
21.
Office of Management and Budget, Federal Segment Architecture Methodology (FSAM),
January 2009.
22.
Office of Management and Budget Memorandum 01-05, Guidance on Inter-Agency
Sharing of Personal Data - Protecting Personal Privacy, December 2000.
23.
Office of Management and Budget Memorandum 02-01, Guidance for Preparing and
Submitting Security Plans of Action and Milestones, October 2001.
24.
Office of Management and Budget Memorandum 03-19, Reporting Instructions for the
Federal Information Security Management Act and Updated Guidance on Quarterly IT
Security Reporting, August 2003.
25.
Office of Management and Budget Memorandum 03-22, OMB Guidance for Implementing
the Privacy Provisions of the E-Government Act of 2002, September 2003.
26.
Office of Management and Budget Memorandum 04-04, E-Authentication Guidance for
Federal Agencies, December 2003.
27.
Office of Management and Budget Memorandum 04-26, Personal Use Policies and File
Sharing Technology, September 2004.
28.
Office of Management and Budget Memorandum 05-08, Designation of Senior Agency
Officials for Privacy, February 2005.
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and Organizations
________________________________________________________________________________________________
29.
Office of Management and Budget Memorandum 05-24, Implementation of Homeland
Security Presidential Directive (HSPD) 12—Policy for a Common Identification Standard
for Federal Employees and Contractors, August 2005.
30.
Office of Management and Budget Memorandum 06-15, Safeguarding Personally
Identifiable Information, May 2006.
31.
Office of Management and Budget Memorandum 06-16, Protection of Sensitive
Information, June 2006.
32.
Office of Management and Budget Memorandum 06-19, Reporting Incidents Involving
Personally Identifiable Information and Incorporating the Cost for Security in Agency
Information Technology Investments, July 2006.
33.
Office of Management and Budget Memorandum, Recommendations for Identity Theft
Related Data Breach Notification Guidance, September 2006.
34.
Office of Management and Budget Memorandum 07-11, Implementation of Commonly
Accepted Security Configurations for Windows Operating Systems, March 2007.
35.
Office of Management and Budget Memorandum 07-16, Safeguarding Against and
Responding to the Breach of Personally Identifiable Information, May 2007.
36.
Office of Management and Budget Memorandum 07-18, Ensuring New Acquisitions
Include Common Security Configurations, June 2007.
37.
Office of Management and Budget Memorandum 08-22, Guidance on the Federal Desktop
Core Configuration (FDCC), August 2008.
38.
Office of Management and Budget Memorandum 08-23, Securing the Federal
Government’s Domain Name System Infrastructure, August 2008.
39.
The White House, Office of the Press Secretary, Designation and Sharing of Controlled
Unclassified Information (CUI), May 2008.
40.
The White House, Office of the Press Secretary, Classified Information and Controlled
Unclassified Information, May 2009.
41.
Office of Management and Budget Memorandum 11-11, Continued Implementation of
Homeland Security Presidential Directive (HSPD) 12– Policy for a Common
Identification Standard for Federal Employees and Contractors, February 2011.
42.
Office of Management and Budget Memorandum, Requirements for Accepting ExternallyIssued Identity Credentials, October 2011.
43.
Office of Management and Budget Memorandum 11-33, FY 2011 Reporting Instructions
for the Federal Information Security Management Act and Agency Privacy Management,
September 2011.
STANDARDS
1.
International Organization for Standardization/International Electrotechnical Commission
27001:2005, Security techniques -- Information security management systems -Requirements.
2.
International Organization for Standardization/International Electrotechnical Commission
15408-1:2009, Information technology -- Security techniques -- Evaluation criteria for IT
security -- Part 1: Introduction and general model.
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and Organizations
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3.
International Organization for Standardization/International Electrotechnical Commission
15408-2:2008, Information technology -- Security techniques -- Evaluation criteria for IT
security -- Part 2: Security functional requirements.
4.
International Organization for Standardization/International Electrotechnical Commission
15408-3:2008, Information technology -- Security techniques -- Evaluation criteria for IT
security -- Part 3: Security assurance requirements.
5.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 140-2, Security Requirements for Cryptographic Modules, May 2001.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 140-3 (Draft), Security Requirements for Cryptographic Modules, December
2009.
6.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 180-4, Secure Hash Standard (SHS), March 2012.
7.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 186-3, Digital Signature Standard (DSS), June 2009.
8.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 188, Standard Security Label for Information Transfer, September 1994.
9.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 190, Guideline for the Use of Advanced Authentication Technology
Alternatives, September 1994.
10.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 197, Advanced Encryption Standard (AES), November 2001.
11.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 198-1, The Keyed-Hash Message Authentication Code (HMAC), July 2008.
12.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 199, Standards for Security Categorization of Federal Information and
Information Systems, February 2004.
13.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 200, Minimum Security Requirements for Federal Information and
Information Systems, March 2006.
14.
National Institute of Standards and Technology Federal Information Processing Standards
Publication 201-1, Personal Identity Verification (PIV) of Federal Employees and
Contractors, March 2006.
GUIDELINES AND INTERAGENCY REPORTS
1.
National Institute of Standards and Technology Special Publication 800-12, An
Introduction to Computer Security: The NIST Handbook, October 1995.
2.
National Institute of Standards and Technology Special Publication 800-13,
Telecommunications Security Guidelines for Telecommunications Management Network,
October 1995.
3.
National Institute of Standards and Technology Special Publication 800-14, Generally
Accepted Principles and Practices for Securing Information Technology Systems,
September 1996.
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and Organizations
________________________________________________________________________________________________
4.
National Institute of Standards and Technology Special Publication 800-15, Minimum
Interoperability Specification for PKI Components (MISPC), Version 1, January 1998.
5.
National Institute of Standards and Technology Special Publication 800-16, Information
Security Training Requirements: A Role- and Performance-Based Model, April 1998.
6.
National Institute of Standards and Technology Special Publication 800-17, Modes of
Operation Validation System (MOVS): Requirements and Procedures, February 1998.
7.
National Institute of Standards and Technology Special Publication 800-18, Revision 1,
Guide for Developing Security Plans for Federal Information Systems, February 2006.
8.
National Institute of Standards and Technology Special Publication 800-19, Mobile Agent
Security, October 1999.
9.
National Institute of Standards and Technology Special Publication 800-20, Modes of
Operation Validation System for the Triple Data Encryption Algorithm (TMOVS):
Requirements and Procedures, October 1999.
10.
National Institute of Standards and Technology Special Publication 800-21-1, Second
Edition, Guideline for Implementing Cryptography in the Federal Government, December
2005.
11.
National Institute of Standards and Technology Special Publication 800-22, Revision 1a, A
Statistical Test Suite for Random and Pseudorandom Number Generators for
Cryptographic Applications, April 2010.
12.
National Institute of Standards and Technology Special Publication 800-23, Guidelines to
Federal Organizations on Security Assurance and Acquisition/Use of Tested/Evaluated
Products, August 2000.
13.
National Institute of Standards and Technology Special Publication 800-24, PBX
Vulnerability Analysis: Finding Holes in Your PBX Before Someone Else Does, August
2000.
14.
National Institute of Standards and Technology Special Publication 800-25, Federal
Agency Use of Public Key Technology for Digital Signatures and Authentication, October
2000.
15.
National Institute of Standards and Technology Special Publication 800-27, Revision A,
Engineering Principles for Information Technology Security (A Baseline for Achieving
Security), June 2004.
16.
National Institute of Standards and Technology Special Publication 800-28, Version 2,
Guidelines on Active Content and Mobile Code, March 2008.
17.
National Institute of Standards and Technology Special Publication 800-29, A Comparison
of the Security Requirements for Cryptographic Modules in FIPS 140-1 and FIPS 140-2,
June 2001.
18.
National Institute of Standards and Technology Special Publication 800-30, Revision 1,
Guide for Conducting Risk Assessments, September 2012.
19.
National Institute of Standards and Technology Special Publication 800-32, Introduction
to Public Key Technology and the Federal PKI Infrastructure, February 2001.
20.
National Institute of Standards and Technology Special Publication 800-33, Underlying
Technical Models for Information Technology Security, December 2001.
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and Organizations
________________________________________________________________________________________________
21.
National Institute of Standards and Technology Special Publication 800-34, Revision 1,
Contingency Planning Guide for Federal Information Systems, May 2010.
22.
National Institute of Standards and Technology Special Publication 800-35, Guide to
Information Technology Security Services, October 2003.
23.
National Institute of Standards and Technology Special Publication 800-36, Guide to
Selecting Information Security Products, October 2003.
24.
National Institute of Standards and Technology Special Publication 800-37, Revision 1,
Guide for Applying the Risk Management Framework to Federal Information Systems: A
Security Life Cycle Approach, February 2010.
25.
National Institute of Standards and Technology Special Publication 800-38A—Addendum,
Recommendation for Block Cipher Modes of Operation: Three Variants of Ciphertext
Stealing for CBC Mode, October 2010.
26.
National Institute of Standards and Technology Special Publication 800-38B,
Recommendation for Block Cipher Modes of Operation: The CMAC Mode for
Authentication, May 2005.
27.
National Institute of Standards and Technology Special Publication 800-38C,
Recommendation for Block Cipher Modes of Operation: the CCM Mode for
Authentication and Confidentiality, May 2004.
28.
National Institute of Standards and Technology Special Publication 800-38D,
Recommendation for Block Cipher Modes of Operation: Galois/Counter Mode (GCM) and
GMAC, November 2007.
29.
National Institute of Standards and Technology Special Publication 800-38E,
Recommendation for Block Cipher Modes of Operation: The XTS-AES Mode for
Confidentiality on Storage Devices, January 2010.
30.
National Institute of Standards and Technology Special Publication 800-38F,
Recommendation for Block Cipher Modes of Operation: Methods for Key Wrapping,
December 2012.
31.
National Institute of Standards and Technology Special Publication 800-39, Managing
Information Security Risk: Organization, Mission, and Information System View, March
2011.
32.
National Institute of Standards and Technology Special Publication 800-40, Version 2,
Creating a Patch and Vulnerability Management Program, November 2005.
33.
National Institute of Standards and Technology Special Publication 800-41, Revision 1,
Guidelines on Firewalls and Firewall Policy, September 2009.
34.
National Institute of Standards and Technology Special Publication 800-43, Systems
Administration Guidance for Windows 2000 Professional System, November 2002.
35.
National Institute of Standards and Technology Special Publication 800-44, Version 2,
Guidelines on Securing Public Web Servers, September 2007.
36.
National Institute of Standards and Technology Special Publication 800-45, Version 2,
Guidelines on Electronic Mail Security, February 2007.
37.
National Institute of Standards and Technology Special Publication 800-46, Revision 1,
Guide to Enterprise Telework and Remote Access Security, June 2009.
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and Organizations
________________________________________________________________________________________________
38.
National Institute of Standards and Technology Special Publication 800-47, Security
Guide for Interconnecting Information Technology Systems, August 2002.
39.
National Institute of Standards and Technology Special Publication 800-48, Revision 1,
Guide to Securing Legacy IEEE 802.11 Wireless Networks, July 2008.
40.
National Institute of Standards and Technology Special Publication 800-49, Federal
S/MIME V3 Client Profile, November 2002.
41.
National Institute of Standards and Technology Special Publication 800-50, Building an
Information Technology Security Awareness and Training Program, October 2003.
42.
National Institute of Standards and Technology Special Publication 800-51, Revision 1,
Guide to Using Vulnerability Naming Schemes, February 2011.
43.
National Institute of Standards and Technology Special Publication 800-52, Revision 1
(Draft), Guidelines for the Selection, Configuration, and Use of Transport Layer Security
(TLS) Implementations, September 2013.
44.
National Institute of Standards and Technology Special Publication 800-53A, Revision 1,
Guide for Assessing the Security Controls in Federal Information Systems and
Organizations: Building Effective Security Assessment Plans, June 2010.
45.
National Institute of Standards and Technology Special Publication 800-54, Border
Gateway Protocol Security, July 2007.
46.
National Institute of Standards and Technology Special Publication 800-55, Revision 1,
Performance Measurement Guide for Information Security, July 2008.
47.
National Institute of Standards and Technology Special Publication 800-56A (Revised),
Recommendation for Pair-Wise Key Establishment Schemes Using Discrete Logarithm
Cryptography, March 2007.
48.
National Institute of Standards and Technology Special Publication 800-57 Revision 3,
Recommendation for Key Management, July 2012.
49.
National Institute of Standards and Technology Special Publication 800-58, Security
Considerations for Voice Over IP Systems, January 2005.
50.
National Institute of Standards and Technology Special Publication 800-59, Guideline for
Identifying an Information System as a National Security System, August 2003.
51.
National Institute of Standards and Technology Special Publication 800-60, Revision 1,
Guide for Mapping Types of Information and Information Systems to Security Categories,
August 2008.
52.
National Institute of Standards and Technology Special Publication 800-61, Revision 2,
Computer Security Incident Handling Guide, August 2012.
53.
National Institute of Standards and Technology Special Publication 800-63-1, Electronic
Authentication Guideline, December 2011.
54.
National Institute of Standards and Technology Special Publication 800-64, Revision 2,
Security Considerations in the System Development Life Cycle, October 2008.
55.
National Institute of Standards and Technology Special Publication 800-65, Integrating IT
Security into the Capital Planning and Investment Control Process, January 2005.
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and Organizations
________________________________________________________________________________________________
56.
National Institute of Standards and Technology Special Publication 800-66, Revision 1, An
Introductory Resource Guide for Implementing the Health Insurance Portability and
Accountability Act (HIPAA) Security Rule, October 2008.
57.
National Institute of Standards and Technology Special Publication 800-67, Revision 1,
Recommendation for the Triple Data Encryption Algorithm (TDEA) Block Cipher, January
2012.
58.
National Institute of Standards and Technology Special Publication 800-68, Revision 1,
Guide to Securing Microsoft Windows XP Systems for IT Professionals: A NIST Security
Configuration Checklist, October 2008.
59.
National Institute of Standards and Technology Special Publication 800-69, Guidance for
Securing Microsoft Windows XP Home Edition: A NIST Security Configuration Checklist,
September 2006.
60.
National Institute of Standards and Technology Special Publication 800-70, Revision 2,
National Checklist Program for IT Products--Guidelines for Checklist Users and
Developers, February 2011.
61.
National Institute of Standards and Technology Special Publication 800-72, Guidelines on
PDA Forensics, November 2004.
62.
National Institute of Standards and Technology Special Publication 800-73-3, Interfaces
for Personal Identity Verification, February 2010.
63.
National Institute of Standards and Technology Special Publication 800-76-1, Biometric
Data Specification for Personal Identity Verification, January 2007.
64.
National Institute of Standards and Technology Special Publication 800-77, Guide to
IPsec VPNs, December 2005.
65.
National Institute of Standards and Technology Special Publication 800-78-3,
Cryptographic Algorithms and Key Sizes for Personal Identity Verification (PIV),
December 2010.
66.
National Institute of Standards and Technology Special Publication 800-79-1, Guidelines
for the Accreditation of Personal Identity Verification Card Issuers, June 2008.
67.
National Institute of Standards and Technology Special Publication 800-81, Secure
Domain Name System (DNS) Deployment Guide, Revision 1, April 2010.
68.
National Institute of Standards and Technology Special Publication 800-82, Revision 1,
Guide to Industrial Control Systems (ICS) Security, April 2013.
69.
National Institute of Standards and Technology Special Publication 800-83, Guide to
Malware Incident Prevention and Handling, November 2005.
70.
National Institute of Standards and Technology Special Publication 800-84, Guide to Test,
Training, and Exercise Programs for IT Plans and Capabilities, September 2006.
71.
National Institute of Standards and Technology Special Publication 800-85A-2, PIV Card
Application and Middleware Interface Test Guidelines (SP 800-73-3 Compliance), July
2010.
72.
National Institute of Standards and Technology Special Publication 800-85B-1, (Draft)
PIV Data Model Test Guidelines, September 2009.
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and Organizations
________________________________________________________________________________________________
73.
National Institute of Standards and Technology Special Publication 800-86, Guide to
Integrating Forensic Techniques into Incident Response, August 2006.
74.
National Institute of Standards and Technology Special Publication 800-87, Revision 1,
Codes for the Identification of Federal and Federally-Assisted Organizations, April 2008.
75.
National Institute of Standards and Technology Special Publication 800-88, Guidelines for
Media Sanitization, September 2006.
76.
National Institute of Standards and Technology Special Publication 800-89,
Recommendation for Obtaining Assurances for Digital Signature Applications, November
2006.
77.
National Institute of Standards and Technology Special Publication 800-90A,
Recommendation for Random Number Generation Using Deterministic Random Bit
Generators, January 2012.
78.
National Institute of Standards and Technology Special Publication 800-92, Guide to
Computer Security Log Management, September 2006.
79.
National Institute of Standards and Technology Special Publication 800-94, Guide to
Intrusion Detection and Prevention Systems (IDPS), February 2007.
80.
National Institute of Standards and Technology Special Publication 800-95, Guide to
Secure Web Services, August 2007.
81.
National Institute of Standards and Technology Special Publication 800-96, PIV Card /
Reader Interoperability Guidelines, September 2006.
82.
National Institute of Standards and Technology Special Publication 800-97, Establishing
Robust Security Networks: A Guide to IEEE 802.11i, February 2007.
83.
National Institute of Standards and Technology Special Publication 800-98, Guidelines for
Securing Radio Frequency Identification (RFID) Systems, April 2007.
84.
National Institute of Standards and Technology Special Publication 800-100, Information
Security Handbook: A Guide for Managers, October 2006.
85.
National Institute of Standards and Technology Special Publication 800-101, Guidelines
on Cell Phone Forensics, May 2007.
86.
National Institute of Standards and Technology Special Publication 800-103 (Draft), An
Ontology of Identity Credentials, Part I: Background and Formulation, October 2006.
87.
National Institute of Standards and Technology Special Publication 800-104, A Scheme for
PIV Visual Card Topography, June 2007.
88.
National Institute of Standards and Technology Special Publication 800-106, Randomized
Hashing Digital Signatures, February 2009.
89.
National Institute of Standards and Technology Special Publication 800-107,
Recommendation for Applications Using Approved Hash Algorithms, August 2012.
90.
National Institute of Standards and Technology Special Publication 800-108,
Recommendation for Key Derivation Using Pseudorandom Functions, October 2009.
91.
National Institute of Standards and Technology Special Publication 800-111, Guide to
Storage Encryption Technologies for End User Devices, November 2007.
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92.
National Institute of Standards and Technology Special Publication 800-113, Guide to SSL
VPNs, July 2008.
93.
National Institute of Standards and Technology Special Publication 800-114, User's Guide
to Securing External Devices for Telework and Remote Access, November 2007.
94.
National Institute of Standards and Technology Special Publication 800-115, Technical
Guide to Information Security Testing and Assessment, September 2008.
95.
National Institute of Standards and Technology Special Publication 800-116, A
Recommendation for the Use of PIV Credentials in Physical Access Control Systems
(PACS), November 2008.
96.
National Institute of Standards and Technology Special Publication 800-117, Version
1.0, Guide to Adopting and Using the Security Content Automation Protocol (SCAP), July
2010.
97.
National Institute of Standards and Technology Special Publication 800-118
(Draft), Guide to Enterprise Password Management, April 2009.
98.
National Institute of Standards and Technology Special Publication 800-121, Revision 1,
Guide to Bluetooth Security, June 2012.
99.
National Institute of Standards and Technology Special Publication 800-122, Guide to
Protecting the Confidentiality of Personally Identifiable Information (PII), April 2010.
100. National Institute of Standards and Technology Special Publication 800-123, Guide to
General Server Security, July 2008.
101. National Institute of Standards and Technology Special Publication 800-124, Guidelines
on Cell Phone and PDA Security, October 2008.
102. National Institute of Standards and Technology Special Publication 800-125, Guide to
Security for Full Virtualization Technologies, January 2011.
103. National Institute of Standards and Technology Special Publication 800-126, Revision 2,
The Technical Specification for the Security Content Automation Protocol (SCAP): SCAP
Version 1.2, September 2011.
104. National Institute of Standards and Technology Special Publication 800-127, Guide to
Securing WiMAX Wireless Communications, September 2010.
105. National Institute of Standards and Technology Special Publication 800-128, Guide for
Security-Focused Configuration Management of Information Systems, August 2011.
106. National Institute of Standards and Technology Special Publication 800-133,
Recommendation for Cryptographic Key Generation, December 2012.
107. National Institute of Standards and Technology Special Publication 800-137, Information
Security Continuous Monitoring for Federal Information Systems and Organizations,
September 2011.
108. National Institute of Standards and Technology Special Publication 800-142, Practical
Combinatorial Testing, October 2010.
109. National Institute of Standards and Technology Special Publication 800-144, Guidelines
for Security and Privacy in Public Cloud Computing, December 2011.
110. National Institute of Standards and Technology Special Publication 800-145, The NIST
Definition of Cloud Computing, September 2011.
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111. National Institute of Standards and Technology Special Publication 800-146, Cloud
Computing Synopsis and Recommendations, May 2012.
112. National Institute of Standards and Technology Special Publication 800-147, Basic
Input/Output System (BIOS) Protection Guidelines, April 2011.
113. National Institute of Standards and Technology Special Publication 800-153, Guidelines
for Securing Wireless Local Area Networks (WLANs), September 2011.
114. National Institute of Standards and Technology Interagency Report 7622, Notional Supply
Chain Risk Management Practices for Federal Information Systems, October 2012.
APPENDIX A
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APPENDIX B
GLOSSARY
COMMON TERMS AND DEFINITIONS
Appendix B provides definitions for security terminology used within Special Publication 800-53.
Unless specifically defined in this glossary, all terms used in this publication are consistent with
the definitions contained in CNSS Instruction 4009, National Information Assurance Glossary.
Adequate Security
[OMB Circular A-130,
Appendix III, Adapted]
Security commensurate with the risk resulting from the loss,
misuse, or unauthorized access to or modification of information.
Advanced Persistent
Threat
An adversary that possesses sophisticated levels of expertise and
significant resources which allow it to create opportunities to
achieve its objectives by using multiple attack vectors (e.g.,
cyber, physical, and deception). These objectives typically
include establishing and extending footholds within the
information technology infrastructure of the targeted
organizations for purposes of exfiltrating information,
undermining or impeding critical aspects of a mission, program,
or organization; or positioning itself to carry out these objectives
in the future. The advanced persistent threat: (i) pursues its
objectives repeatedly over an extended period of time; (ii) adapts
to defenders’ efforts to resist it; and (iii) is determined to maintain
the level of interaction needed to execute its objectives.
Agency
See Executive Agency.
All Source Intelligence
Intelligence products and/or organizations and activities that
incorporate all sources of information, most frequently including
human resources intelligence, imagery intelligence, measurement
and signature intelligence, signals intelligence, and open source
data in the production of finished intelligence.
[Department of Defense,
Joint Publication 1-02]
Assessment
See Security Control Assessment.
Assessor
See Security Control Assessor.
Assurance
Measure of confidence that the security features, practices,
procedures, and architecture of an information system accurately
mediates and enforces the security policy.
[CNSSI 4009]
Assurance Case
[Software Engineering
Institute, Carnegie Mellon
University]
Audit Log
A structured set of arguments and a body of evidence showing
that an information system satisfies specific claims with respect
to a given quality attribute.
[CNSSI 4009]
A chronological record of information system activities, including
records of system accesses and operations performed in a given
period.
Audit Record
An individual entry in an audit log related to an audited event.
APPENDIX B
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Audit Reduction Tools
[CNSSI 4009]
Audit Trail
[CNSSI 4009]
Authentication
[FIPS 200]
Preprocessors designed to reduce the volume of audit records to
facilitate manual review. Before a security review, these tools can
remove many audit records known to have little security
significance. These tools generally remove records generated by
specified classes of events, such as records generated by nightly
backups.
A chronological record that reconstructs and examines the
sequence of activities surrounding or leading to a specific
operation, procedure, or event in a security-relevant transaction
from inception to final result.
Verifying the identity of a user, process, or device, often as a
prerequisite to allowing access to resources in an information
system.
Authenticator
The means used to confirm the identity of a user, processor, or
device (e.g., user password or token).
Authenticity
The property of being genuine and being able to be verified and
trusted; confidence in the validity of a transmission, a message, or
message originator. See Authentication.
Authorization
(to operate)
The official management decision given by a senior
organizational official to authorize operation of an information
system and to explicitly accept the risk to organizational
operations (including mission, functions, image, or reputation),
organizational assets, individuals, other organizations, and the
Nation based on the implementation of an agreed-upon set of
security controls.
Authorization Boundary
All components of an information system to be authorized for
operation by an authorizing official and excludes separately
authorized systems, to which the information system is
connected.
Authorize Processing
See Authorization.
Authorizing Official
A senior (federal) official or executive with the authority to
formally assume responsibility for operating an information
system at an acceptable level of risk to organizational operations
(including mission, functions, image, or reputation),
organizational assets, individuals, other organizations, and the
Nation.
Availability
Ensuring timely and reliable access to and use of information.
[44 U.S.C., Sec. 3542]
Baseline Configuration
APPENDIX B
A documented set of specifications for an information system, or
a configuration item within a system, that has been formally
reviewed and agreed on at a given point in time, and which can be
changed only through change control procedures.
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Blacklisting
The process used to identify: (i) software programs that are not
authorized to execute on an information system; or (ii) prohibited
Universal Resource Locators (URL)/websites.
Boundary Protection
Monitoring and control of communications at the external
boundary of an information system to prevent and detect
malicious and other unauthorized communications, through the
use of boundary protection devices (e.g., gateways, routers,
firewalls, guards, encrypted tunnels).
Boundary Protection
Device
A device with appropriate mechanisms that: (i) facilitates the
adjudication of different interconnected system security policies
(e.g., controlling the flow of information into or out of an
interconnected system); and/or (ii) provides information system
boundary protection.
Central Management
The organization-wide management and implementation of selected
security controls and related processes. Central management includes
planning, implementing, assessing, authorizing, and monitoring the
organization-defined, centrally managed security controls and processes.
Chief Information Officer
Agency official responsible for:
(i) Providing advice and other assistance to the head of the
executive agency and other senior management personnel of the
agency to ensure that information technology is acquired and
information resources are managed in a manner that is consistent
with laws, Executive Orders, directives, policies, regulations, and
priorities established by the head of the agency;
(ii) Developing, maintaining, and facilitating the implementation
of a sound and integrated information technology architecture for
the agency; and
(iii) Promoting the effective and efficient design and operation of
all major information resources management processes for the
agency, including improvements to work processes of the agency.
[PL 104-106, Sec. 5125(b)]
Note: Organizations subordinate to federal agencies may use the term Chief
Information Officer to denote individuals filling positions with similar security
responsibilities to agency-level Chief Information Officers.
Chief Information Security
Officer
See Senior Agency Information Security Officer.
Chief Privacy Officer
See Senior Agency Official for Privacy.
Classified Information
Information that has been determined: (i) pursuant to Executive
Order 12958 as amended by Executive Order 13526, or any
predecessor Order, to be classified national security information;
or (ii) pursuant to the Atomic Energy Act of 1954, as amended, to
be Restricted Data (RD).
APPENDIX B
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Commodity Service
An information system service (e.g., telecommunications service)
provided by a commercial service provider typically to a large
and diverse set of consumers. The organization acquiring and/or
receiving the commodity service possesses limited visibility into
the management structure and operations of the provider, and
while the organization may be able to negotiate service-level
agreements, the organization is typically not in a position to
require that the provider implement specific security controls.
Common Carrier
In a telecommunications context, a telecommunications company
that holds itself out to the public for hire to provide
communications transmission services.
Note: In the United States, such companies are usually subject to regulation by
federal and state regulatory commissions.
Common Control
[NIST SP 800-37; CNSSI
4009]
Common Control Provider
[NIST SP 800-37]
Common Criteria
[CNSSI 4009]
A security control that is inheritable by one or more
organizational information systems. See Security Control
Inheritance.
An organizational official responsible for the development,
implementation, assessment, and monitoring of common controls
(i.e., security controls inheritable by information systems).
Governing document that provides a comprehensive, rigorous
method for specifying security function and assurance
requirements for products and systems.
Common Secure
Configuration
A recognized standardized and established benchmark that
stipulates specific secure configuration settings for a given
information technology platform.
Compensating Security
Controls
The security controls employed in lieu of the recommended
controls in the security control baselines described in NIST
Special Publication 800-53 and CNSS Instruction 1253 that
provide equivalent or comparable protection for an information
system or organization.
[CNSSI 4009, Adapted]
Computer Matching
Agreement
APPENDIX B
An agreement entered into by an organization in connection with
a computer matching program to which the organization is a
party, as required by the Computer Matching and Privacy
Protection Act of 1988. With certain exceptions, a computer
matching program is any computerized comparison of two or
more automated systems of records or a system of records with
nonfederal records for the purpose of establishing or verifying the
eligibility of, or continuing compliance with, statutory and
regulatory requirements by, applicants for, recipients or
beneficiaries of, participants in, or providers of services with
respect to cash or in-kind assistance or payments under federal
benefit programs or computerized comparisons of two or more
automated federal personnel or payroll systems of records or a
system of federal personnel or payroll records with non-federal
records.
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Confidentiality
[44 U.S.C., Sec. 3542]
Configuration Control
[CNSSI 4009]
Preserving authorized restrictions on information access and
disclosure, including means for protecting personal privacy and
proprietary information.
Process for controlling modifications to hardware, firmware,
software, and documentation to protect the information system
against improper modifications before, during, and after system
implementation.
Configuration Item
An aggregation of information system components that is
designated for configuration management and treated as a single
entity in the configuration management process.
Configuration
Management
A collection of activities focused on establishing and maintaining
the integrity of information technology products and information
systems, through control of processes for initializing, changing,
and monitoring the configurations of those products and systems
throughout the system development life cycle.
Configuration Settings
The set of parameters that can be changed in hardware, software,
or firmware that affect the security posture and/or functionality of
the information system.
Controlled Area
Any area or space for which an organization has confidence that
the physical and procedural protections provided are sufficient to
meet the requirements established for protecting the information
and/or information system.
Controlled Interface
A boundary with a set of mechanisms that enforces the security
policies and controls the flow of information between
interconnected information systems.
[CNSSI 4009]
Controlled Unclassified
Information
[E.O. 13556]
Countermeasures
[CNSSI 4009]
Covert Channel Analysis
[CNSSI 4009]
Covert Storage Channel
[CNSSI 4009]
APPENDIX B
A categorical designation that refers to unclassified information
that does not meet the standards for National Security
Classification under Executive Order 12958, as amended, but is
(i) pertinent to the national interests of the United States or to the
important interests of entities outside the federal government, and
(ii) under law or policy requires protection from unauthorized
disclosure, special handling safeguards, or prescribed limits on
exchange or dissemination.
Actions, devices, procedures, techniques, or other measures that
reduce the vulnerability of an information system. Synonymous
with security controls and safeguards.
Determination of the extent to which the security policy model
and subsequent lower-level program descriptions may allow
unauthorized access to information.
Covert channel involving the direct or indirect writing to a
storage location by one process and the direct or indirect reading
of the storage location by another process. Covert storage
channels typically involve a finite resource (e.g., sectors on a
disk) that is shared by two subjects at different security levels.
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Covert Timing Channel
[CNSSI 4009]
Cross Domain Solution
[CNSSI 4009]
Cyber Attack
[CNSSI 4009]
Cyber Security
[CNSSI 4009]
Cyberspace
[CNSSI 4009]
Covert channel in which one process signals information to
another process by modulating its own use of system resources
(e.g., central processing unit time) in such a way that this
manipulation affects the real response time observed by the
second process.
A form of controlled interface that provides the ability to
manually and/or automatically access and/or transfer information
between different security domains.
An attack, via cyberspace, targeting an enterprise’s use of
cyberspace for the purpose of disrupting, disabling, destroying, or
maliciously controlling a computing environment/infrastructure;
or destroying the integrity of the data or stealing controlled
information.
The ability to protect or defend the use of cyberspace from cyber
attacks.
A global domain within the information environment consisting
of the interdependent network of information systems
infrastructures including the Internet, telecommunications
networks, computer systems, and embedded processors and
controllers.
Data Mining/Harvesting
An analytical process that attempts to find correlations or patterns
in large data sets for the purpose of data or knowledge discovery.
Defense-in-Breadth
A planned, systematic set of multidisciplinary activities that seek
to identify, manage, and reduce risk of exploitable vulnerabilities
at every stage of the system, network, or subcomponent life cycle
(system, network, or product design and development;
manufacturing; packaging; assembly; system integration;
distribution; operations; maintenance; and retirement).
[CNSSI 4009]
Defense-in-Depth
Information security strategy integrating people, technology, and
operations capabilities to establish variable barriers across
multiple layers and missions of the organization.
Developer
A general term that includes: (i) developers or manufacturers of
information systems, system components, or information system
services; (ii) systems integrators; (iii) vendors; and (iv) product
resellers. Development of systems, components, or services can
occur internally within organizations (i.e., in-house development)
or through external entities.
Digital Media
A form of electronic media where data are stored in digital (as
opposed to analog) form.
APPENDIX B
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Discretionary Access
Control
[CNSSI 4009]
Domain
[CNSSI 4009]
Enterprise
[CNSSI 4009]
Enterprise Architecture
[44 U.S.C. Sec. 3601]
Environment of Operation
An access control policy that is enforced over all subjects and
objects in an information system where the policy specifies that a
subject that has been granted access to information can do one or
more of the following: (i) pass the information to other subjects
or objects; (ii) grant its privileges to other subjects; (iii) change
security attributes on subjects, objects, information systems, or
system components; (iv) choose the security attributes to be
associated with newly-created or revised objects; or (v) change
the rules governing access control. Mandatory access controls
restrict this capability.
A means of restricting access to objects (e.g., files, data entities)
based on the identity and need-to-know of subjects (e.g., users,
processes) and/or groups to which the object belongs. The
controls are discretionary in the sense that a subject with a certain
access permission is capable of passing that permission (perhaps
indirectly) on to any other subject (unless restrained by
mandatory access control).
An environment or context that includes a set of system resources
and a set of system entities that have the right to access the
resources as defined by a common security policy, security
model, or security architecture. See Security Domain.
An organization with a defined mission/goal and a defined
boundary, using information systems to execute that mission, and
with responsibility for managing its own risks and performance.
An enterprise may consist of all or some of the following
business aspects: acquisition, program management, financial
management (e.g., budgets), human resources, security, and
information systems, information and mission management. See
Organization.
A strategic information asset base, which defines the mission; the
information necessary to perform the mission; the technologies
necessary to perform the mission; and the transitional processes
for implementing new technologies in response to changing
mission needs; and includes a baseline architecture; a target
architecture; and a sequencing plan.
[NIST SP 800-37]
The physical surroundings in which an information system
processes, stores, and transmits information.
Event
Any observable occurrence in an information system.
[CNSSI 4009, Adapted]
Executive Agency
[41 U.S.C., Sec. 403]
Exfiltration
APPENDIX B
An executive department specified in 5 U.S.C., Sec. 101; a
military department specified in 5 U.S.C., Sec. 102; an
independent establishment as defined in 5 U.S.C., Sec. 104(1);
and a wholly owned Government corporation fully subject to the
provisions of 31 U.S.C., Chapter 91.
The unauthorized transfer of information from an information
system.
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External Information
System (or Component)
An information system or component of an information system
that is outside of the authorization boundary established by the
organization and for which the organization typically has no
direct control over the application of required security controls or
the assessment of security control effectiveness.
External Information
System Service
An information system service that is implemented outside of the
authorization boundary of the organizational information system
(i.e., a service that is used by, but not a part of, the organizational
information system) and for which the organization typically has
no direct control over the application of required security controls
or the assessment of security control effectiveness.
External Information
System Service Provider
A provider of external information system services to an
organization through a variety of consumer-producer
relationships including but not limited to: joint ventures; business
partnerships; outsourcing arrangements (i.e., through contracts,
interagency agreements, lines of business arrangements);
licensing agreements; and/or supply chain exchanges.
External Network
A network not controlled by the organization.
Failover
The capability to switch over automatically (typically without
human intervention or warning) to a redundant or standby
information system upon the failure or abnormal termination of
the previously active system.
Fair Information Practice
Principles
Principles that are widely accepted in the United States and
internationally as a general framework for privacy and that are
reflected in various federal and international laws and policies. In
a number of organizations, the principles serve as the basis for
analyzing privacy risks and determining appropriate mitigation
strategies.
Federal Agency
See Executive Agency.
Federal Enterprise
Architecture
A business-based framework for governmentwide improvement
developed by the Office of Management and Budget that is
intended to facilitate efforts to transform the federal government
to one that is citizen-centered, results-oriented, and market-based.
[FEA Program Management
Office]
Federal Information
System
[40 U.S.C., Sec. 11331]
FIPS-Validated
Cryptography
APPENDIX B
An information system used or operated by an executive agency,
by a contractor of an executive agency, or by another
organization on behalf of an executive agency.
A cryptographic module validated by the Cryptographic Module
Validation Program (CMVP) to meet requirements specified in
FIPS Publication 140-2 (as amended). As a prerequisite to CMVP
validation, the cryptographic module is required to employ a
cryptographic algorithm implementation that has successfully
passed validation testing by the Cryptographic Algorithm
Validation Program (CAVP). See NSA-Approved Cryptography.
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Firmware
[CNSSI 4009]
Guard (System)
[CNSSI 4009, Adapted]
Hardware
[CNSSI 4009]
High-Impact System
[FIPS 200]
Hybrid Security Control
[CNSSI 4009]
Computer programs and data stored in hardware - typically in
read-only memory (ROM) or programmable read-only memory
(PROM) - such that the programs and data cannot be dynamically
written or modified during execution of the programs.
A mechanism limiting the exchange of information between
information systems or subsystems.
The physical components of an information system. See Software
and Firmware.
An information system in which at least one security objective
(i.e., confidentiality, integrity, or availability) is assigned a FIPS
Publication 199 potential impact value of high.
A security control that is implemented in an information system
in part as a common control and in part as a system-specific
control. See Common Control and System-Specific Security
Control.
Impact
The effect on organizational operations, organizational assets,
individuals, other organizations, or the Nation (including the
national security interests of the United States) of a loss of
confidentiality, integrity, or availability of information or an
information system.
Impact Value
The assessed potential impact resulting from a compromise of the
confidentiality, integrity, or availability of information expressed
as a value of low, moderate or high.
Incident
An occurrence that actually or potentially jeopardizes the
confidentiality, integrity, or availability of an information system
or the information the system processes, stores, or transmits or
that constitutes a violation or imminent threat of violation of
security policies, security procedures, or acceptable use policies.
[FIPS 200]
Industrial Control System
An information system used to control industrial processes such
as manufacturing, product handling, production, and distribution.
Industrial control systems include supervisory control and data
acquisition (SCADA) systems used to control geographically
dispersed assets, as well as distributed control systems (DCSs)
and smaller control systems using programmable logic controllers
to control localized processes.
Information
Any communication or representation of knowledge such as facts,
data, or opinions in any medium or form, including textual,
numerical, graphic, cartographic, narrative, or audiovisual.
An instance of an information type.
[CNSSI 4009]
[FIPS 199]
Information Leakage
The intentional or unintentional release of information to an
untrusted environment.
Information Owner
Official with statutory or operational authority for specified
information and responsibility for establishing the controls for its
generation, collection, processing, dissemination, and disposal.
[CNSSI 4009]
APPENDIX B
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Information Resources
[44 U.S.C., Sec. 3502]
Information Security
[44 U.S.C., Sec. 3542]
Information and related resources, such as personnel, equipment,
funds, and information technology.
The protection of information and information systems from
unauthorized access, use, disclosure, disruption, modification, or
destruction in order to provide confidentiality, integrity, and
availability.
Information Security
Architecture
An embedded, integral part of the enterprise architecture that
describes the structure and behavior for an enterprise’s security
processes, information security systems, personnel and
organizational subunits, showing their alignment with the
enterprise’s mission and strategic plans.
Information Security
Policy
Aggregate of directives, regulations, rules, and practices that
prescribes how an organization manages, protects, and distributes
information.
[CNSSI 4009]
Information Security
Program Plan
Formal document that provides an overview of the security
requirements for an organization-wide information security
program and describes the program management controls and
common controls in place or planned for meeting those
requirements.
Information Security Risk
The risk to organizational operations (including mission,
functions, image, reputation), organizational assets, individuals,
other organizations, and the Nation due to the potential for
unauthorized access, use, disclosure, disruption, modification, or
destruction of information and/or information systems.
Information Steward
An agency official with statutory or operational authority for
specified information and responsibility for establishing the
controls for its generation, collection, processing, dissemination,
and disposal.
[CNSSI 4009]
Information System
[44 U.S.C., Sec. 3502]
A discrete set of information resources organized for the
collection, processing, maintenance, use, sharing, dissemination,
or disposition of information.
Note: Information systems also include specialized systems such as
industrial/process controls systems, telephone switching and private branch
exchange (PBX) systems, and environmental control systems.
Information System
Boundary
See Authorization Boundary.
Information System
Component
A discrete, identifiable information technology asset (e.g.,
hardware, software, firmware) that represents a building block of
an information system. Information system components include
commercial information technology products.
[NIST SP 800-128, Adapted]
Information System Owner Official responsible for the overall procurement, development,
(or Program Manager)
integration, modification, or operation and maintenance of an
information system.
APPENDIX B
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Information System
Resilience
The ability of an information system to continue to: (i) operate
under adverse conditions or stress, even if in a degraded or
debilitated state, while maintaining essential operational
capabilities; and (ii) recover to an effective operational posture in
a time frame consistent with mission needs.
Information System
Security Officer
[CNSSI 4009]
Individual with assigned responsibility for maintaining the
appropriate operational security posture for an information
system or program.
Information System
Service
A capability provided by an information system that facilitates
information processing, storage, or transmission.
Information SystemRelated Security Risks
Risks that arise through the loss of confidentiality, integrity, or
availability of information or information systems and that
considers impacts to the organization (including assets, mission,
functions, image, or reputation), individuals, other organizations,
and the Nation. See Risk.
Information Technology
Any equipment or interconnected system or subsystem of
equipment that is used in the automatic acquisition, storage,
manipulation, management, movement, control, display,
switching, interchange, transmission, or reception of data or
information by the executive agency. For purposes of the
preceding sentence, equipment is used by an executive agency if
the equipment is used by the executive agency directly or is used
by a contractor under a contract with the executive agency which:
(i) requires the use of such equipment; or (ii) requires the use, to a
significant extent, of such equipment in the performance of a
service or the furnishing of a product. The term information
technology includes computers, ancillary equipment, software,
firmware, and similar procedures, services (including support
services), and related resources.
[40 U.S.C., Sec. 1401]
Information Technology
Product
See Information System Component.
Information Type
A specific category of information (e.g., privacy, medical,
proprietary, financial, investigative, contractor-sensitive, security
management) defined by an organization or in some instances, by
a specific law, Executive Order, directive, policy, or regulation.
[FIPS 199]
Insider
[Presidential Memorandum,
National Insider Threat
Policy and Minimum
Standards for Executive
Branch Insider Threat
Programs]
APPENDIX B
Any person with authorized access to any U.S. Government
resource, to include personnel, facilities, information, equipment,
networks, or systems.
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Insider Threat
[Presidential Memorandum,
National Insider Threat
Policy and Minimum
Standards for Executive
Branch Insider Threat
Programs]
The threat that an insider will use her/his authorized access,
wittingly or unwittingly, to do harm to the security of United
States. This threat can include damage to the United States
through espionage, terrorism, unauthorized disclosure of national
security information, or through the loss or degradation of
departmental resources or capabilities.
[CNSSI 4009]
An entity with authorized access (i.e., within the security domain)
that has the potential to harm an information system or enterprise
through destruction, disclosure, modification of data, and/or
denial of service.
Insider Threat Program
A coordinated group of capabilities under centralized
management that is organized to detect and prevent the
unauthorized disclosure of sensitive information. At a minimum,
for departments and agencies that handle classified information,
an insider threat program shall consist of capabilities that provide
access to information; centralized information integration,
analysis, and response; employee insider threat awareness
training; and the monitoring of user activity on government
computers. For department and agencies that do not handle
classified information, these can be employed effectively for
safeguarding information that is unclassified but sensitive.
[Presidential Memorandum,
National Insider Threat
Policy and Minimum
Standards for Executive
Branch Insider Threat
Programs]
Integrity
[44 U.S.C., Sec. 3542]
Guarding against improper information modification or
destruction, and includes ensuring information non-repudiation
and authenticity.
Internal Network
A network where: (i) the establishment, maintenance, and
provisioning of security controls are under the direct control of
organizational employees or contractors; or (ii) cryptographic
encapsulation or similar security technology implemented
between organization-controlled endpoints, provides the same
effect (at least with regard to confidentiality and integrity). An
internal network is typically organization-owned, yet may be
organization-controlled while not being organization-owned.
Label
See Security Label.
Line of Business
The following OMB-defined process areas common to virtually
all federal agencies: Case Management, Financial Management,
Grants Management, Human Resources Management, Federal
Health Architecture, Information Systems Security, Budget
Formulation and Execution, Geospatial, and IT Infrastructure.
Local Access
Access to an organizational information system by a user (or
process acting on behalf of a user) communicating through a
direct connection without the use of a network.
APPENDIX B
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Logical Access Control
System
[FICAM Roadmap and
Implementation Guidance]
Low-Impact System
[FIPS 200]
An automated system that controls an individual’s ability to
access one or more computer system resources such as a
workstation, network, application, or database. A logical access
control system requires validation of an individual’s identity
through some mechanism such as a PIN, card, biometric, or other
token. It has the capability to assign different access privileges to
different persons depending on their roles and responsibilities in
an organization.
An information system in which all three security objectives (i.e.,
confidentiality, integrity, and availability) are assigned a FIPS
Publication 199 potential impact value of low.
Malicious Code
Software or firmware intended to perform an unauthorized
process that will have adverse impact on the confidentiality,
integrity, or availability of an information system. A virus, worm,
Trojan horse, or other code-based entity that infects a host.
Spyware and some forms of adware are also examples of
malicious code.
Malware
See Malicious Code.
Managed Interface
An interface within an information system that provides boundary
protection capability using automated mechanisms or devices.
Mandatory Access Control
An access control policy that is uniformly enforced across all
subjects and objects within the boundary of an information
system. A subject that has been granted access to information is
constrained from doing any of the following: (i) passing the
information to unauthorized subjects or objects; (ii) granting its
privileges to other subjects; (iii) changing one or more security
attributes on subjects, objects, the information system, or system
components; (iv) choosing the security attributes to be associated
with newly-created or modified objects; or (v) changing the rules
governing access control. Organization-defined subjects may
explicitly be granted organization-defined privileges (i.e., they are
trusted subjects) such that they are not limited by some or all of
the above constraints.
A means of restricting access to objects based on the sensitivity
(as represented by a security label) of the information contained
in the objects and the formal authorization (i.e., clearance, formal
access approvals, and need-to-know) of subjects to access
information of such sensitivity. Mandatory Access Control is a
type of nondiscretionary access control.
[CNSSI 4009]
Marking
See Security Marking.
Media
Physical devices or writing surfaces including, but not limited to,
magnetic tapes, optical disks, magnetic disks, Large-Scale
Integration (LSI) memory chips, and printouts (but not including
display media) onto which information is recorded, stored, or
printed within an information system.
[FIPS 200]
APPENDIX B
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Metadata
Information describing the characteristics of data including, for
example, structural metadata describing data structures (e.g., data
format, syntax, and semantics) and descriptive metadata
describing data contents (e.g., information security labels).
Mobile Code
Software programs or parts of programs obtained from remote
information systems, transmitted across a network, and executed
on a local information system without explicit installation or
execution by the recipient.
Mobile Code Technologies
Software technologies that provide the mechanisms for the
production and use of mobile code (e.g., Java, JavaScript,
ActiveX, VBScript).
Mobile Device
A portable computing device that: (i) has a small form factor such
that it can easily be carried by a single individual; (ii) is designed
to operate without a physical connection (e.g., wirelessly transmit
or receive information); (iii) possesses local, non-removable or
removable data storage; and (iv) includes a self-contained power
source. Mobile devices may also include voice communication
capabilities, on-board sensors that allow the devices to capture
information, and/or built-in features for synchronizing local data
with remote locations. Examples include smart phones, tablets,
and E-readers.
Moderate-Impact System
An information system in which at least one security objective
(i.e., confidentiality, integrity, or availability) is assigned a FIPS
Publication 199 potential impact value of moderate and no
security objective is assigned a FIPS Publication 199 potential
impact value of high.
[FIPS 200]
Multifactor Authentication
Authentication using two or more different factors to achieve
authentication. Factors include: (i) something you know (e.g.,
password/PIN); (ii) something you have (e.g., cryptographic
identification device, token); or (iii) something you are (e.g.,
biometric). See Authenticator.
Multilevel Security
Concept of processing information with different classifications
and categories that simultaneously permits access by users with
different security clearances and denies access to users who lack
authorization.
[CNSSI 4009]
Multiple Security Levels
[CNSSI 4009]
National Security
Emergency Preparedness
Telecommunications
Services
[47 C.F.R., Part 64, App A]
APPENDIX B
Capability of an information system that is trusted to contain, and
maintain separation between, resources (particularly stored data)
of different security domains.
Telecommunications services that are used to maintain a state of
readiness or to respond to and manage any event or crisis (local,
national, or international) that causes or could cause injury or
harm to the population, damage to or loss of property, or degrade
or threaten the national security or emergency preparedness
posture of the United States.
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National Security System
[44 U.S.C., Sec. 3542]
Network
[CNSSI 4009]
Any information system (including any telecommunications
system) used or operated by an agency or by a contractor of an
agency, or other organization on behalf of an agency—(i) the
function, operation, or use of which involves intelligence
activities; involves cryptologic activities related to national
security; involves command and control of military forces;
involves equipment that is an integral part of a weapon or
weapons system; or is critical to the direct fulfillment of military
or intelligence missions (excluding a system that is to be used for
routine administrative and business applications, for example,
payroll, finance, logistics, and personnel management
applications); or (ii) is protected at all times by procedures
established for information that have been specifically authorized
under criteria established by an Executive Order or an Act of
Congress to be kept classified in the interest of national defense
or foreign policy.
Information system(s) implemented with a collection of
interconnected components. Such components may include
routers, hubs, cabling, telecommunications controllers, key
distribution centers, and technical control devices.
Network Access
Access to an information system by a user (or a process acting on
behalf of a user) communicating through a network (e.g., local
area network, wide area network, Internet).
Nondiscretionary Access
Control
See Mandatory Access Control.
Nonlocal Maintenance
Maintenance activities conducted by individuals communicating
through a network, either an external network (e.g., the Internet)
or an internal network.
Non-Organizational User
A user who is not an organizational user (including public users).
Non-repudiation
Protection against an individual falsely denying having performed
a particular action. Provides the capability to determine whether a
given individual took a particular action such as creating
information, sending a message, approving information, and
receiving a message.
NSA-Approved
Cryptography
Cryptography that consists of: (i) an approved algorithm; (ii) an
implementation that has been approved for the protection of
classified information and/or controlled unclassified information
in a particular environment; and (iii) a supporting key
management infrastructure.
Object
Passive information system-related entity (e.g., devices, files,
records, tables, processes, programs, domains) containing or
receiving information. Access to an object (by a subject) implies
access to the information it contains. See Subject.
APPENDIX B
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Operations Security
[CNSSI 4009]
Organization
[FIPS 200, Adapted]
Systematic and proven process by which potential adversaries can
be denied information about capabilities and intentions by
identifying, controlling, and protecting generally unclassified
evidence of the planning and execution of sensitive activities. The
process involves five steps: identification of critical information,
analysis of threats, analysis of vulnerabilities, assessment of risks,
and application of appropriate countermeasures.
An entity of any size, complexity, or positioning within an
organizational structure (e.g., a federal agency or, as appropriate,
any of its operational elements).
Organizational User
An organizational employee or an individual the organization
deems to have equivalent status of an employee including, for
example, contractor, guest researcher, individual detailed from
another organization. Policy and procedures for granting
equivalent status of employees to individuals may include needto-know, relationship to the organization, and citizenship.
Overlay
A specification of security controls, control enhancements,
supplemental guidance, and other supporting information
employed during the tailoring process, that is intended to
complement (and further refine) security control baselines. The
overlay specification may be more stringent or less stringent than
the original security control baseline specification and can be
applied to multiple information systems.
Penetration Testing
A test methodology in which assessors, typically working under
specific constraints, attempt to circumvent or defeat the security
features of an information system.
Personally Identifiable
Information
Information which can be used to distinguish or trace the identity
of an individual (e.g., name, social security number, biometric
records, etc.) alone, or when combined with other personal or
identifying information which is linked or linkable to a specific
individual (e.g., date and place of birth, mother’s maiden name,
etc.).
[OMB Memorandum 07-16]
Physical Access Control
System
[FICAM Roadmap and
Implementation Guidance]
Plan of Action and
Milestones
[OMB Memorandum 02-01]
Portable Storage Device
APPENDIX B
An automated system that manages the passage of people or
assets through an opening(s) in a secure perimeter(s) based on a
set of authorization rules.
A document that identifies tasks needing to be accomplished. It
details resources required to accomplish the elements of the plan,
any milestones in meeting the tasks, and scheduled completion
dates for the milestones.
An information system component that can be inserted into and
removed from an information system, and that is used to store
data or information (e.g., text, video, audio, and/or image data).
Such components are typically implemented on magnetic, optical,
or solid state devices (e.g., floppy disks, compact/digital video
disks, flash/thumb drives, external hard disk drives, and flash
memory cards/drives that contain non-volatile memory).
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Potential Impact
[FIPS 199]
The loss of confidentiality, integrity, or availability could be
expected to have: (i) a limited adverse effect (FIPS Publication
199 low); (ii) a serious adverse effect (FIPS Publication 199
moderate); or (iii) a severe or catastrophic adverse effect (FIPS
Publication 199 high) on organizational operations,
organizational assets, or individuals.
Privacy Act Statement
A disclosure statement required by Section (e)(3) of the Privacy
Act of 1974, as amended, to appear on documents used by
organizations to collect personally identifiable information from
individuals to be maintained in a Privacy Act System of Records
(SORN).
Privacy Impact
Assessment
An analysis of how information is handled: (i) to ensure handling
conforms to applicable legal, regulatory, and policy requirements
regarding privacy; (ii) to determine the risks and effects of
collecting, maintaining, and disseminating information in
identifiable form in an electronic information system; and (iii) to
examine and evaluate protections and alternative processes for
handling information to mitigate potential privacy risks.
[OMB Memorandum 03-22]
Privileged Account
An information system account with authorizations of a
privileged user.
Privileged Command
A human-initiated command executed on an information system
involving the control, monitoring, or administration of the system
including security functions and associated security-relevant
information.
Privileged User
A user that is authorized (and therefore, trusted) to perform
security-relevant functions that ordinary users are not authorized
to perform.
[CNSSI 4009]
Protective Distribution
System
Wire line or fiber optic system that includes adequate safeguards
and/or countermeasures (e.g., acoustic, electric, electromagnetic,
and physical) to permit its use for the transmission of unencrypted
information.
Provenance
The records describing the possession of, and changes to,
components, component processes, information, systems,
organization, and organizational processes. Provenance enables
all changes to the baselines of components, component processes,
information, systems, organizations, and organizational
processes, to be reported to specific actors, functions, locales, or
activities.
Public Key Infrastructure
The framework and services that provide for the generation,
production, distribution, control, accounting, and destruction of
public key certificates. Components include the personnel,
policies, processes, server platforms, software, and workstations
used for the purpose of administering certificates and publicprivate key pairs, including the ability to issue, maintain, recover,
and revoke public key certificates.
[CNSSI 4009]
APPENDIX B
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Purge
Rendering sanitized data unrecoverable by laboratory attack
methods.
Reciprocity
Mutual agreement among participating organizations to accept
each other’s security assessments in order to reuse information
system resources and/or to accept each other’s assessed security
posture in order to share information.
[CNSSI 4009]
Records
The recordings (automated and/or manual) of evidence of
activities performed or results achieved (e.g., forms, reports, test
results), which serve as a basis for verifying that the organization
and the information system are performing as intended. Also used
to refer to units of related data fields (i.e., groups of data fields
that can be accessed by a program and that contain the complete
set of information on particular items).
Red Team Exercise
An exercise, reflecting real-world conditions, that is conducted as
a simulated adversarial attempt to compromise organizational
missions and/or business processes to provide a comprehensive
assessment of the security capability of the information system
and organization.
Reference Monitor
A set of design requirements on a reference validation mechanism
which as key component of an operating system, enforces an
access control policy over all subjects and objects. A reference
validation mechanism must be: (i) always invoked (i.e., complete
mediation); (ii) tamperproof; and (iii) small enough to be subject
to analysis and tests, the completeness of which can be assured
(i.e., verifiable).
Remote Access
Access to an organizational information system by a user (or a
process acting on behalf of a user) communicating through an
external network (e.g., the Internet).
Remote Maintenance
Maintenance activities conducted by individuals communicating
through an external network (e.g., the Internet).
Resilience
See Information System Resilience.
Restricted Data
All data concerning (i) design, manufacture, or utilization of
atomic weapons; (ii) the production of special nuclear material; or
(iii) the use of special nuclear material in the production of
energy, but shall not include data declassified or removed from
the Restricted Data category pursuant to Section 142 [of the
Atomic Energy Act of 1954].
[Atomic Energy Act of 1954]
APPENDIX B
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Risk
[FIPS 200, Adapted]
A measure of the extent to which an entity is threatened by a
potential circumstance or event, and typically a function of: (i)
the adverse impacts that would arise if the circumstance or event
occurs; and (ii) the likelihood of occurrence.
Information system-related security risks are those risks that arise
from the loss of confidentiality, integrity, or availability of
information or information systems and reflect the potential
adverse impacts to organizational operations (including mission,
functions, image, or reputation), organizational assets,
individuals, other organizations, and the Nation.
Risk Assessment
The process of identifying risks to organizational operations
(including mission, functions, image, reputation), organizational
assets, individuals, other organizations, and the Nation, resulting
from the operation of an information system.
Part of risk management, incorporates threat and vulnerability
analyses, and considers mitigations provided by security controls
planned or in place. Synonymous with risk analysis.
Risk Executive (Function)
An individual or group within an organization that helps to ensure
that: (i) security risk-related considerations for individual
information systems, to include the authorization decisions for
those systems, are viewed from an organization-wide perspective
with regard to the overall strategic goals and objectives of the
organization in carrying out its missions and business functions;
and (ii) managing risk from individual information systems is
consistent across the organization, reflects organizational risk
tolerance, and is considered along with other organizational risks
affecting mission/business success.
[CNSSI 4009]
Risk Management
[CNSSI 4009, adapted]
Risk Mitigation
[CNSSI 4009]
The program and supporting processes to manage information
security risk to organizational operations (including mission,
functions, image, reputation), organizational assets, individuals,
other organizations, and the Nation, and includes: (i) establishing
the context for risk-related activities; (ii) assessing risk; (iii)
responding to risk once determined; and (iv) monitoring risk over
time.
Prioritizing, evaluating, and implementing the appropriate riskreducing controls/countermeasures recommended from the risk
management process.
Risk Monitoring
Maintaining ongoing awareness of an organization’s risk
environment, risk management program, and associated activities
to support risk decisions.
Risk Response
Accepting, avoiding, mitigating, sharing, or transferring risk to
organizational operations (i.e., mission, functions, image, or
reputation), organizational assets, individuals, other
organizations, or the Nation.
APPENDIX B
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Role-Based Access
Control
Access control based on user roles (i.e., a collection of access
authorizations a user receives based on an explicit or implicit
assumption of a given role). Role permissions may be inherited
through a role hierarchy and typically reflect the permissions
needed to perform defined functions within an organization. A
given role may apply to a single individual or to several
individuals.
Safeguards
Protective measures prescribed to meet the security requirements
(i.e., confidentiality, integrity, and availability) specified for an
information system. Safeguards may include security features,
management constraints, personnel security, and security of
physical structures, areas, and devices. Synonymous with security
controls and countermeasures.
[CNSSI 4009]
Sanitization
Actions taken to render data written on media unrecoverable by
both ordinary and, for some forms of sanitization, extraordinary
means.
Process to remove information from media such that data
recovery is not possible. It includes removing all classified labels,
markings, and activity logs.
Scoping Considerations
A part of tailoring guidance providing organizations with specific
considerations on the applicability and implementation of security
controls in the security control baseline. Areas of consideration
include policy/regulatory, technology, physical infrastructure,
system component allocation, operational/environmental, public
access, scalability, common control, and security objective.
Security
A condition that results from the establishment and maintenance
of protective measures that enable an enterprise to perform its
mission or critical functions despite risks posed by threats to its
use of information systems. Protective measures may involve a
combination of deterrence, avoidance, prevention, detection,
recovery, and correction that should form part of the enterprise’s
risk management approach.
[CNSSI 4009]
Security Assessment
See Security Control Assessment.
Security Assessment Plan
The objectives for the security control assessment and a detailed
roadmap of how to conduct such an assessment.
Security Assurance
See Assurance.
Security Attribute
An abstraction representing the basic properties or characteristics
of an entity with respect to safeguarding information; typically
associated with internal data structures (e.g., records, buffers,
files) within the information system and used to enable the
implementation of access control and flow control policies,
reflect special dissemination, handling or distribution instructions,
or support other aspects of the information security policy.
APPENDIX B
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Security Authorization
See Authorization.
Security Authorization
Boundary
See Authorization Boundary.
Security Capability
A combination of mutually-reinforcing security controls (i.e.,
safeguards and countermeasures) implemented by technical
means (i.e., functionality in hardware, software, and firmware),
physical means (i.e., physical devices and protective measures),
and procedural means (i.e., procedures performed by individuals).
Security Categorization
The process of determining the security category for information
or an information system. Security categorization methodologies
are described in CNSS Instruction 1253 for national security
systems and in FIPS Publication 199 for other than national
security systems. See Security Category.
Security Category
The characterization of information or an information system
based on an assessment of the potential impact that a loss of
confidentiality, integrity, or availability of such information or
information system would have on organizational operations,
organizational assets, individuals, other organizations, and the
Nation.
[FIPS 199, Adapted; CNSSI
4009]
Security Control
[FIPS 199, Adapted]
Security Control
Assessment
[CNSSI 4009, Adapted]
A safeguard or countermeasure prescribed for an information
system or an organization designed to protect the confidentiality,
integrity, and availability of its information and to meet a set of
defined security requirements.
The testing or evaluation of security controls to determine the
extent to which the controls are implemented correctly, operating
as intended, and producing the desired outcome with respect to
meeting the security requirements for an information system or
organization.
Security Control Assessor
The individual, group, or organization responsible for conducting
a security control assessment.
Security Control Baseline
The set of minimum security controls defined for a low-impact,
moderate-impact, or high-impact information system that
provides a starting point for the tailoring process.
[FIPS 200, Adapted]
Security Control
Enhancement
Augmentation of a security control to: (i) build in additional, but
related, functionality to the control; (ii) increase the strength of
the control; or (iii) add assurance to the control.
Security Control
Inheritance
A situation in which an information system or application
receives protection from security controls (or portions of security
controls) that are developed, implemented, assessed, authorized,
and monitored by entities other than those responsible for the
system or application; entities either internal or external to the
organization where the system or application resides. See
Common Control.
[CNSSI 4009]
Security Control Overlay
APPENDIX B
See Overlay.
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Security Domain
[CNSSI 4009]
A domain that implements a security policy and is administered
by a single authority.
Security Functionality
The security-related features, functions, mechanisms, services,
procedures, and architectures implemented within organizational
information systems or the environments in which those systems
operate.
Security Functions
The hardware, software, and/or firmware of the information
system responsible for enforcing the system security policy and
supporting the isolation of code and data on which the protection
is based.
Security Impact Analysis
[CNSSI 4009]
The analysis conducted by an organizational official to determine
the extent to which changes to the information system have
affected the security state of the system.
Security Incident
See Incident.
Security Kernel
Hardware, firmware, and software elements of a trusted
computing base implementing the reference monitor concept.
Security kernel must mediate all accesses, be protected from
modification, and be verifiable as correct.
[CNSSI 4009]
Security Label
The means used to associate a set of security attributes with a
specific information object as part of the data structure for that
object.
Security Marking
The means used to associate a set of security attributes with
objects in a human-readable form, to enable organizational
process-based enforcement of information security policies.
Security Objective
Confidentiality, integrity, or availability.
[FIPS 199]
Security Plan
Formal document that provides an overview of the security
requirements for an information system or an information security
program and describes the security controls in place or planned
for meeting those requirements.
See System Security Plan or Information Security Program Plan.
Security Policy
A set of criteria for the provision of security services.
[CNSSI 4009]
Security Policy Filter
APPENDIX B
A hardware and/or software component that performs one or
more of the following functions: (i) content verification to ensure
the data type of the submitted content; (ii) content inspection,
analyzing the submitted content to verify it complies with a
defined policy (e.g., allowed vs. disallowed file constructs and
content portions); (iii) malicious content checker that evaluates
the content for malicious code; (iv) suspicious activity checker
that evaluates or executes the content in a safe manner, such as in
a sandbox/detonation chamber and monitors for suspicious
activity; or (v) content sanitization, cleansing, and transformation,
which modifies the submitted content to comply with a defined
policy.
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Security Requirement
[FIPS 200, Adapted]
A requirement levied on an information system or an organization
that is derived from applicable laws, Executive Orders, directives,
policies, standards, instructions, regulations, procedures, and/or
mission/business needs to ensure the confidentiality, integrity,
and availability of information that is being processed, stored, or
transmitted.
Note: Security requirements can be used in a variety of contexts from high-level
policy-related activities to low-level implementation-related activities in system
development and engineering disciplines.
Security Service
[CNSSI 4009]
A capability that supports one, or more, of the security
requirements (Confidentiality, Integrity, Availability). Examples
of security services are key management, access control, and
authentication.
Security-Relevant
Information
Any information within the information system that can
potentially impact the operation of security functions or the
provision of security services in a manner that could result in
failure to enforce the system security policy or maintain isolation
of code and data.
Senior Agency
Information Security
Officer
Official responsible for carrying out the Chief Information
Officer responsibilities under FISMA and serving as the Chief
Information Officer’s primary liaison to the agency’s authorizing
officials, information system owners, and information system
security officers.
[44 U.S.C., Sec. 3544]
Note: Organizations subordinate to federal agencies may use the term Senior
Information Security Officer or Chief Information Security Officer to denote
individuals filling positions with similar responsibilities to Senior Agency
Information Security Officers.
Senior Agency Official for
Privacy
The senior organizational official with overall organization-wide
responsibility for information privacy issues.
Senior Information
Security Officer
See Senior Agency Information Security Officer.
Sensitive Information
Information where the loss, misuse, or unauthorized access or
modification could adversely affect the national interest or the
conduct of federal programs, or the privacy to which individuals
are entitled under 5 U.S.C. Section 552a (the Privacy Act); that
has not been specifically authorized under criteria established by
an Executive Order or an Act of Congress to be kept classified in
the interest of national defense or foreign policy.
[CNSSI 4009, Adapted]
Sensitive Compartmented
Information
[CNSSI 4009]
Service-Oriented
Architecture
APPENDIX B
Classified information concerning or derived from intelligence
sources, methods, or analytical processes, which is required to be
handled within formal access control systems established by the
Director of National Intelligence.
A set of principles and methodologies for designing and
developing software in the form of interoperable services. These
services are well-defined business functions that are built as
software components (i.e., discrete pieces of code and/or data
structures) that can be reused for different purposes.
PAGE B-23
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and Organizations
________________________________________________________________________________________________
Software
[CNSSI 4009]
Computer programs and associated data that may be dynamically
written or modified during execution.
Spam
The abuse of electronic messaging systems to indiscriminately
send unsolicited bulk messages.
Special Access Program
A program established for a specific class of classified
information that imposes safeguarding and access requirements
that exceed those normally required for information at the same
classification level.
[CNSSI 4009]
Spyware
Software that is secretly or surreptitiously installed into an
information system to gather information on individuals or
organizations without their knowledge; a type of malicious code.
Subject
Generally an individual, process, or device causing information to
flow among objects or change to the system state. See Object.
Subsystem
A major subdivision or component of an information system
consisting of information, information technology, and personnel
that performs one or more specific functions.
Supplemental Guidance
Statements used to provide additional explanatory information for
security controls or security control enhancements.
Supplementation
The process of adding security controls or control enhancements
to a security control baseline as part of the tailoring process
(during security control selection) in order to adequately meet the
organization’s risk management needs.
Supply Chain
Linked set of resources and processes between multiple tiers of
developers that begins with the sourcing of products and services
and extends through the design, development, manufacturing,
processing, handling, and delivery of products and services to the
acquirer.
[ISO 28001, Adapted]
Supply Chain Element
An information technology product or product component that
contains programmable logic and that is critically important to the
functioning of an information system.
System
See Information System.
System of Records Notice
An official public notice of an organization’s system(s) of
records, as required by the Privacy Act of 1974, that identifies: (i)
the purpose for the system of records; (ii) the individuals covered
by information in the system of records; (iii) the categories of
records maintained about individuals; and (iv) the ways in which
the information is shared.
System Security Plan
Formal document that provides an overview of the security
requirements for an information system and describes the security
controls in place or planned for meeting those requirements.
[NIST SP 800-18]
APPENDIX B
PAGE B-24
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and Organizations
________________________________________________________________________________________________
System-Specific Security
Control
A security control for an information system that has not been
designated as a common security control or the portion of a
hybrid control that is to be implemented within an information
system.
Tailored Security Control
Baseline
A set of security controls resulting from the application of
tailoring guidance to a security control baseline. See Tailoring.
Tailoring
The process by which security control baselines are modified by:
(i) identifying and designating common controls; (ii) applying
scoping considerations on the applicability and implementation of
baseline controls; (iii) selecting compensating security controls;
(iv) assigning specific values to organization-defined security
control parameters; (v) supplementing baselines with additional
security controls or control enhancements; and (vi) providing
additional specification information for control implementation.
Threat
Any circumstance or event with the potential to adversely impact
organizational operations (including mission, functions, image, or
reputation), organizational assets, individuals, other
organizations, or the Nation through an information system via
unauthorized access, destruction, disclosure, modification of
information, and/or denial of service.
[CNSSI 4009, Adapted]
Threat Assessment
[CNSSI 4009]
Threat Source
[FIPS 200]
Formal description and evaluation of threat to an information
system.
The intent and method targeted at the intentional exploitation of a
vulnerability or a situation and method that may accidentally
trigger a vulnerability. Synonymous with threat agent.
Trusted Path
A mechanism by which a user (through an input device) can
communicate directly with the security functions of the
information system with the necessary confidence to support the
system security policy. This mechanism can only be activated by
the user or the security functions of the information system and
cannot be imitated by untrusted software.
Trustworthiness
The attribute of a person or enterprise that provides confidence to
others of the qualifications, capabilities, and reliability of that
entity to perform specific tasks and fulfill assigned
responsibilities.
[CNSSI 4009]
Trustworthiness
(Information System)
APPENDIX B
The degree to which an information system (including the
information technology components that are used to build the
system) can be expected to preserve the confidentiality, integrity,
and availability of the information being processed, stored, or
transmitted by the system across the full range of threats. A
trustworthy information system is a system that is believed to be
capable of operating within defined levels of risk despite the
environmental disruptions, human errors, structural failures, and
purposeful attacks that are expected to occur in its environment of
operation.
PAGE B-25
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and Organizations
________________________________________________________________________________________________
User
[CNSSI 4009, adapted]
Virtual Private Network
[CNSSI 4009]
Vulnerability
Individual, or (system) process acting on behalf of an individual,
authorized to access an information system.
See Organizational User and Non-Organizational User.
Protected information system link utilizing tunneling, security
controls, and endpoint address translation giving the impression
of a dedicated line.
[CNSSI 4009]
Weakness in an information system, system security procedures,
internal controls, or implementation that could be exploited or
triggered by a threat source.
Vulnerability Analysis
See Vulnerability Assessment.
Vulnerability Assessment
Systematic examination of an information system or product to
determine the adequacy of security measures, identify security
deficiencies, provide data from which to predict the effectiveness
of proposed security measures, and confirm the adequacy of such
measures after implementation.
[CNSSI 4009]
Whitelisting
APPENDIX B
The process used to identify: (i) software programs that are
authorized to execute on an information system; or (ii) authorized
Universal Resource Locators (URL)/websites.
PAGE B-26
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and Organizations
________________________________________________________________________________________________
APPENDIX C
ACRONYMS
COMMON ABBREVIATIONS
APT
Advanced Persistent Threat
CFR
Code of Federal Regulations
CIO
Chief Information Officer
CISO
Chief Information Security Officer
CAVP
Cryptographic Algorithm Validation Program
CMVP
Cryptographic Module Validation Program
CNSS
Committee on National Security Systems
CPO
Chief Privacy Officer
CUI
Controlled Unclassified Information
DCS
Distributed Control System
DNS
Domain Name System
DoD
Department of Defense
FAR
Federal Acquisition Regulation
FEA
Federal Enterprise Architecture
FICAM
Federal Identity, Credential, and Access Management
FIPP
Fair Information Practice Principles
FIPS
Federal Information Processing Standards
FISMA
Federal Information Security Management Act
HSPD
Homeland Security Presidential Directive
ICS
Industrial Control System
IEEE
Institute of Electrical and Electronics Engineers
IPsec
Internet Protocol Security
ISO/IEC
International Organization for Standardization/International Electrotechnical
Commission
ITL
Information Technology Laboratory
LACS
Logical Access Control System
LSI
Large-Scale Integration
NIST
National Institute of Standards and Technology
NISTIR
National Institute of Standards and Technology Interagency or Internal Report
NSA
National Security Agency
APPENDIX C
PAGE C-1
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and Organizations
________________________________________________________________________________________________
NSTISSI
National Security Telecommunications and Information System Security
Instruction
ODNI
Office of the Director of National Intelligence
OMB
Office of Management and Budget
OPSEC
Operations Security
PBX
Private Branch Exchange
PACS
Physical Access Control System
PIA
Privacy Impact Assessment
PII
Personally Identifiable Information
PIV
Personal Identity Verification
PKI
Public Key Infrastructure
RBAC
Role-Based Access Control
RD
Restricted Data
RMF
Risk Management Framework
SAISO
Senior Agency Information Security Officer
SAMI
Sources And Methods Information
SAOP
Senior Agency Official for Privacy
SAP
Special Access Program
SC
Security Category
SCADA
Supervisory Control and Data Acquisition
SCI
Sensitive Compartmented Information
SOA
Service-Oriented Architecture
SORN
System of Records Notice
SP
Special Publication
TCP/IP
Transmission Control Protocol/Internet Protocol
USB
Universal Serial Bus
VoIP
Voice over Internet Protocol
VPN
Virtual Private Network
APPENDIX C
PAGE C-2
Special Publication 800-53 Revision 4
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and Organizations
________________________________________________________________________________________________
APPENDIX D
SECURITY CONTROL BASELINES – SUMMARY
LOW-IMPACT, MODERATE-IMPACT, AND HIGH-IMPACT INFORMATION SYSTEMS
T
his appendix contains the security control baselines that represent the starting point in
determining the security controls for low-impact, moderate-impact, and high-impact
information systems. 90 The three security control baselines are hierarchical in nature with
regard to the security controls employed in those baselines. 91 If a security control is selected for
one of the baselines, the family identifier and control number are listed in the appropriate column.
If a security control is not used in a particular baseline, the entry is marked not selected. Security
control enhancements, when used to supplement security controls, are indicated by the number of
the enhancement. For example, the IR-2 (1) (2) entry in the high baseline for IR-2 indicates that
the second control from the Incident Response family has been selected along with control
enhancements (1) and (2). Some security controls and enhancements are not used in any of the
baselines in this appendix but are available for use by organizations if needed. This situation
occurs, for example, when the results of a risk assessment indicate the need for additional security
controls or control enhancements in order to adequately mitigate risk to organizational operations
and assets, individuals, other organizations, and the Nation.
Organizations can use the recommended priority code designation associated with each security
control in the baselines to assist in making sequencing decisions for control implementation (i.e.,
a Priority Code 1 [P1] control has a higher priority for implementation than a Priority Code 2 [P2]
control; a Priority Code 2 [P2] control has a higher priority for implementation than a Priority
Code 3 [P3] control, and a Priority Code 0 [P0] indicates the security control is not selected in
any baseline). This recommended sequencing prioritization helps ensure that security controls
upon which other controls depend are implemented first, thus enabling organizations to deploy
controls in a more structured and timely manner in accordance with available resources. The
implementation of security controls by sequence priority code does not imply any defined level of
risk mitigation until all controls in the security plan have been implemented. The priority codes
are used only for implementation sequencing, not for making security control selection decisions.
Table D-1 summarizes sequence priority codes for the baseline security controls in Table D-2.
TABLE D-1: SECURITY CONTROL PRIORITIZATION CODES
Priority Code
Sequencing
Action
Priority Code 1 (P1)
FIRST
Implement P1 security controls first.
Priority Code 2 (P2)
NEXT
Implement P2 security controls after implementation of P1 controls.
Priority Code 3 (P3)
LAST
Implement P3 security controls after implementation of P1 and P2 controls.
Unspecified Priority Code (P0)
NONE
Security control not selected in any baseline.
90
A complete description of all security controls is provided in Appendices F and G. In addition, separate documents
for individual security control baselines (listed as Annexes 1, 2, and 3) are available at http://csrc.nist.gov/publications.
An online version of the catalog of security controls is also available at http://web.nvd.nist.gov/view/800-53/home.
91
The hierarchical nature applies to the security requirements of each control (i.e., the base control plus all of its
enhancements) at the low-impact, moderate-impact, and high-impact level in that the control requirements at a
particular impact level (e.g., CP-4 Contingency Plan Testing—Moderate: CP-4(1)) meets a stronger set of security
requirements for that control than the next lower impact level of the same control (e.g., CP-4 Contingency Plan
Testing—Low: CP-4).
APPENDIX D
PAGE D-1
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and Organizations
________________________________________________________________________________________________
Table D-2 provides a summary of the security controls and control enhancements from Appendix
F that have been allocated to the initial security control baselines (i.e., low, moderate, and high).
The sequence priority codes for security control implementation and those security controls that
have been withdrawn from Appendix F are also indicated in Table D-2. In addition to Table D-2,
the sequence priority codes and security control baselines are annotated in a priority and baseline
allocation summary section below each security control in Appendix F.
CNTL
NO.
PRIORITY
TABLE D-2: SECURITY CONTROL BASELINES
CONTROL NAME
92
INITIAL CONTROL BASELINES
LOW
MOD
HIGH
Access Control
AC-1
Access Control Policy and Procedures
P1
AC-1
AC-1
AC-1
AC-2
Account Management
P1
AC-2
AC-2 (1) (2) (3)
(4)
AC-2 (1) (2) (3)
(4) (5) (11) (12)
(13)
AC-3
Access Enforcement
P1
AC-3
AC-3
AC-3
AC-4
Information Flow Enforcement
P1
Not Selected
AC-4
AC-4
AC-5
Separation of Duties
P1
Not Selected
AC-5
AC-5
AC-6
Least Privilege
P1
Not Selected
AC-6 (1) (2) (5)
(9) (10)
AC-6 (1) (2) (3)
(5) (9) (10)
AC-7
Unsuccessful Logon Attempts
P2
AC-7
AC-7
AC-7
AC-8
System Use Notification
P1
AC-8
AC-8
AC-8
AC-9
Previous Logon (Access) Notification
P0
Not Selected
Not Selected
Not Selected
AC-10
Concurrent Session Control
P3
Not Selected
Not Selected
AC-10
AC-11
Session Lock
P3
Not Selected
AC-11 (1)
AC-11 (1)
AC-12
Session Termination
P2
Not Selected
AC-12
AC-12
AC-13
Withdrawn
---
---
---
---
AC-14
Permitted Actions without Identification or
Authentication
P3
AC-14
AC-14
AC-14
AC-15
Withdrawn
---
---
---
---
AC-16
Security Attributes
P0
Not Selected
Not Selected
Not Selected
AC-17
Remote Access
P1
AC-17
AC-17 (1) (2)
(3) (4)
AC-17 (1) (2)
(3) (4)
AC-18
Wireless Access
P1
AC-18
AC-18 (1)
AC-18 (1) (4)
(5)
AC-19
Access Control for Mobile Devices
P1
AC-19
AC-19 (5)
AC-19 (5)
AC-20
Use of External Information Systems
P1
AC-20
AC-20 (1) (2)
AC-20 (1) (2)
AC-21
Information Sharing
P2
Not Selected
AC-21
AC-21
AC-22
Publicly Accessible Content
P3
AC-22
AC-22
AC-22
AC-23
Data Mining Protection
P0
Not Selected
Not Selected
Not Selected
AC-24
Access Control Decisions
P0
Not Selected
Not Selected
Not Selected
AC-25
Reference Monitor
P0
Not Selected
Not Selected
Not Selected
92
The security control baselines in Table D-2 are the initial baselines selected by organizations prior to conducting the
tailoring activities described in Section 3.2. The control baselines and priority codes are only applicable to non-national
security systems. Security control baselines for national security systems are included in CNSS Instruction 1253.
APPENDIX D
PAGE D-2
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
CNTL
NO.
PRIORITY
________________________________________________________________________________________________
CONTROL NAME
INITIAL CONTROL BASELINES
LOW
MOD
HIGH
Awareness and Training
AT-1
Security Awareness and Training Policy and
Procedures
P1
AT-1
AT-1
AT-1
AT-2
Security Awareness Training
P1
AT-2
AT-2 (2)
AT-2 (2)
AT-3
Role-Based Security Training
P1
AT-3
AT-3
AT-3
AT-4
Security Training Records
P3
AT-4
AT-4
AT-4
AT-5
Withdrawn
---
---
---
---
AU-1
Audit and Accountability
AU-1
Audit and Accountability Policy and
Procedures
P1
AU-1
AU-1
AU-2
Audit Events
P1
AU-2
AU-2 (3)
AU-2 (3)
AU-3
Content of Audit Records
P1
AU-3
AU-3 (1)
AU-3 (1) (2)
AU-4
Audit Storage Capacity
P1
AU-4
AU-4
AU-4
AU-5
Response to Audit Processing Failures
P1
AU-5
AU-5
AU-5 (1) (2)
AU-6
Audit Review, Analysis, and Reporting
P1
AU-6
AU-6 (1) (3)
AU-6 (1) (3) (5)
(6)
AU-7
Audit Reduction and Report Generation
P2
Not Selected
AU-7 (1)
AU-7 (1)
AU-8
Time Stamps
P1
AU-8
AU-8 (1)
AU-8 (1)
AU-9
Protection of Audit Information
P1
AU-9
AU-9 (4)
AU-9 (2) (3) (4)
AU-10
Non-repudiation
P2
Not Selected
Not Selected
AU-10
AU-11
Audit Record Retention
P3
AU-11
AU-11
AU-11
AU-12
Audit Generation
P1
AU-12
AU-12
AU-12 (1) (3)
AU-13
Monitoring for Information Disclosure
P0
Not Selected
Not Selected
Not Selected
AU-14
Session Audit
P0
Not Selected
Not Selected
Not Selected
AU-15
Alternate Audit Capability
P0
Not Selected
Not Selected
Not Selected
AU-16
Cross-Organizational Auditing
P0
Not Selected
Not Selected
Not Selected
Security Assessment and Authorization
CA-1
Security Assessment and Authorization
Policies and Procedures
P1
CA-1
CA-1
CA-1
CA-2
Security Assessments
P2
CA-2
CA-2 (1)
CA-2 (1) (2)
CA-3
System Interconnections
P1
CA-3
CA-3 (5)
CA-3 (5)
CA-4
Withdrawn
---
---
---
---
CA-5
Plan of Action and Milestones
P3
CA-5
CA-5
CA-5
CA-6
Security Authorization
P2
CA-6
CA-6
CA-6
CA-7
Continuous Monitoring
P2
CA-7
CA-7 (1)
CA-7 (1)
CA-8
Penetration Testing
P2
Not Selected
Not Selected
CA-8
CA-9
Internal System Connections
P2
CA-9
CA-9
CA-9
Configuration Management
CM-1
Configuration Management Policy and
Procedures
P1
CM-1
CM-1
CM-1
CM-2
Baseline Configuration
P1
CM-2
CM-2 (1) (3) (7)
CM-2 (1) (2) (3)
(7)
CM-3
Configuration Change Control
P1
Not Selected
CM-3 (2)
CM-3 (1) (2)
CM-4
Security Impact Analysis
P2
CM-4
CM-4
CM-4 (1)
CM-5
Access Restrictions for Change
P1
Not Selected
CM-5
CM-5 (1) (2) (3)
APPENDIX D
PAGE D-3
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
PRIORITY
________________________________________________________________________________________________
LOW
CM-6
Configuration Settings
P1
CM-6
CM-6
CM-6 (1) (2)
CM-7
Least Functionality
P1
CM-7
CM-7 (1) (2) (4)
CM-7 (1) (2) (5)
CM-8
Information System Component Inventory
P1
CM-8
CM-8 (1) (3) (5)
CM-8 (1) (2) (3)
(4) (5)
CNTL
NO.
CONTROL NAME
INITIAL CONTROL BASELINES
MOD
HIGH
CM-9
Configuration Management Plan
P1
Not Selected
CM-9
CM-9
CM-10
Software Usage Restrictions
P2
CM-10
CM-10
CM-10
CM-11
User-Installed Software
P1
CM-11
CM-11
CM-11
Contingency Planning
CP-1
Contingency Planning Policy and
Procedures
P1
CP-1
CP-1
CP-1
CP-2
Contingency Plan
P1
CP-2
CP-2 (1) (3) (8)
CP-2 (1) (2) (3)
(4) (5) (8)
CP-3
Contingency Training
P2
CP-3
CP-3
CP-3 (1)
CP-4
Contingency Plan Testing
P2
CP-4
CP-4 (1)
CP-4 (1) (2)
CP-5
Withdrawn
---
---
---
---
CP-6
Alternate Storage Site
P1
Not Selected
CP-6 (1) (3)
CP-6 (1) (2) (3)
CP-7
Alternate Processing Site
P1
Not Selected
CP-7 (1) (2) (3)
CP-7 (1) (2) (3)
(4)
CP-8
Telecommunications Services
P1
Not Selected
CP-8 (1) (2)
CP-8 (1) (2) (3)
(4)
CP-9
Information System Backup
P1
CP-9
CP-9 (1)
CP-9 (1) (2) (3)
(5)
CP-10
Information System Recovery and
Reconstitution
P1
CP-10
CP-10 (2)
CP-10 (2) (4)
CP-11
Alternate Communications Protocols
P0
Not Selected
Not Selected
Not Selected
CP-12
Safe Mode
P0
Not Selected
Not Selected
Not Selected
CP-13
Alternative Security Mechanisms
P0
Not Selected
Not Selected
Not Selected
Identification and Authentication
IA-1
Identification and Authentication Policy and
Procedures
P1
IA-1
IA-1
IA-1
IA-2
Identification and Authentication
(Organizational Users)
P1
IA-2 (1) (12)
IA-2 (1) (2) (3)
(8) (11) (12)
IA-2 (1) (2) (3)
(4) (8) (9) (11)
(12)
IA-3
Device Identification and Authentication
P1
Not Selected
IA-3
IA-3
IA-4
Identifier Management
P1
IA-4
IA-4
IA-4
IA-5
Authenticator Management
P1
IA-5 (1) (11)
IA-5 (1) (2) (3)
(11)
IA-5 (1) (2) (3)
(11)
IA-6
Authenticator Feedback
P2
IA-6
IA-6
IA-6
IA-7
Cryptographic Module Authentication
P1
IA-7
IA-7
IA-7
IA-8
Identification and Authentication (NonOrganizational Users)
P1
IA-8 (1) (2) (3)
(4)
IA-8 (1) (2) (3)
(4)
IA-8 (1) (2) (3)
(4)
IA-9
Service Identification and Authentication
P0
Not Selected
Not Selected
Not Selected
IA-10
Adaptive Identification and Authentication
P0
Not Selected
Not Selected
Not Selected
IA-11
Re-authentication
P0
Not Selected
Not Selected
Not Selected
Incident Response
IR-1
Incident Response Policy and Procedures
P1
IR-1
IR-1
IR-1
IR-2
Incident Response Training
P2
IR-2
IR-2
IR-2 (1) (2)
APPENDIX D
PAGE D-4
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
PRIORITY
________________________________________________________________________________________________
LOW
IR-3
Incident Response Testing
P2
Not Selected
IR-3 (2)
IR-3 (2)
IR-4
Incident Handling
P1
IR-4
IR-4 (1)
IR-4 (1) (4)
IR-5
Incident Monitoring
P1
IR-5
IR-5
IR-5 (1)
IR-6
Incident Reporting
P1
IR-6
IR-6 (1)
IR-6 (1)
IR-7
Incident Response Assistance
P2
IR-7
IR-7 (1)
IR-7 (1)
IR-8
Incident Response Plan
P1
IR-8
IR-8
IR-8
IR-9
Information Spillage Response
P0
Not Selected
Not Selected
Not Selected
IR-10
Integrated Information Security Analysis
Team
P0
Not Selected
Not Selected
Not Selected
CNTL
NO.
CONTROL NAME
INITIAL CONTROL BASELINES
MOD
HIGH
Maintenance
MA-1
System Maintenance Policy and Procedures
P1
MA-1
MA-1
MA-1
MA-2
Controlled Maintenance
P2
MA-2
MA-2
MA-2 (2)
MA-3
Maintenance Tools
P3
Not Selected
MA-3 (1) (2)
MA-3 (1) (2) (3)
MA-4
Nonlocal Maintenance
P2
MA-4
MA-4 (2)
MA-4 (2) (3)
MA-5
Maintenance Personnel
P2
MA-5
MA-5
MA-5 (1)
MA-6
Timely Maintenance
P2
Not Selected
MA-6
MA-6
Media Protection
MP-1
Media Protection Policy and Procedures
P1
MP-1
MP-1
MP-1
MP-2
Media Access
P1
MP-2
MP-2
MP-2
MP-3
Media Marking
P2
Not Selected
MP-3
MP-3
MP-4
Media Storage
P1
Not Selected
MP-4
MP-4
MP-5
Media Transport
P1
Not Selected
MP-5 (4)
MP-5 (4)
MP-6
Media Sanitization
P1
MP-6
MP-6
MP-6 (1) (2) (3)
MP-7
Media Use
P1
MP-7
MP-7 (1)
MP-7 (1)
MP-8
Media Downgrading
P0
Not Selected
Not Selected
Not Selected
PE-1
Physical and Environmental Protection
PE-1
Physical and Environmental Protection
Policy and Procedures
P1
PE-1
PE-1
PE-2
Physical Access Authorizations
P1
PE-2
PE-2
PE-2
PE-3
Physical Access Control
P1
PE-3
PE-3
PE-3 (1)
PE-4
Access Control for Transmission Medium
P1
Not Selected
PE-4
PE-4
PE-5
Access Control for Output Devices
P2
Not Selected
PE-5
PE-5
PE-6
Monitoring Physical Access
P1
PE-6
PE-6 (1)
PE-6 (1) (4)
PE-7
Withdrawn
---
---
---
---
PE-8
Visitor Access Records
P3
PE-8
PE-8
PE-8 (1)
PE-9
Power Equipment and Cabling
P1
Not Selected
PE-9
PE-9
PE-10
Emergency Shutoff
P1
Not Selected
PE-10
PE-10
PE-11
Emergency Power
P1
Not Selected
PE-11
PE-11 (1)
PE-12
Emergency Lighting
P1
PE-12
PE-12
PE-12
PE-13
Fire Protection
P1
PE-13
PE-13 (3)
PE-13 (1) (2)
(3)
PE-14
Temperature and Humidity Controls
P1
PE-14
PE-14
PE-14
PE-15
Water Damage Protection
P1
PE-15
PE-15
PE-15 (1)
PE-16
Delivery and Removal
P2
PE-16
PE-16
PE-16
APPENDIX D
PAGE D-5
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
PRIORITY
________________________________________________________________________________________________
LOW
PE-17
Alternate Work Site
P2
Not Selected
PE-17
PE-18
Location of Information System Components
P3
Not Selected
Not Selected
PE-18
PE-19
Information Leakage
P0
Not Selected
Not Selected
Not Selected
PE-20
Asset Monitoring and Tracking
P0
Not Selected
Not Selected
Not Selected
CNTL
NO.
CONTROL NAME
INITIAL CONTROL BASELINES
MOD
HIGH
PE-17
Planning
PL-1
Security Planning Policy and Procedures
P1
PL-1
PL-1
PL-1
PL-2
System Security Plan
P1
PL-2
PL-2 (3)
PL-2 (3)
PL-3
Withdrawn
---
---
---
---
PL-4
Rules of Behavior
P2
PL-4
PL-4 (1)
PL-4 (1)
PL-5
Withdrawn
---
---
---
---
PL-6
Withdrawn
---
---
---
---
PL-7
Security Concept of Operations
P0
Not Selected
Not Selected
Not Selected
PL-8
Information Security Architecture
P1
Not Selected
PL-8
PL-8
PL-9
Central Management
P0
Not Selected
Not Selected
Not Selected
Personnel Security
PS-1
Personnel Security Policy and Procedures
P1
PS-1
PS-1
PS-1
PS-2
Position Risk Designation
P1
PS-2
PS-2
PS-2
PS-3
Personnel Screening
P1
PS-3
PS-3
PS-3
PS-4
Personnel Termination
P1
PS-4
PS-4
PS-4 (2)
PS-5
Personnel Transfer
P2
PS-5
PS-5
PS-5
PS-6
Access Agreements
P3
PS-6
PS-6
PS-6
PS-7
Third-Party Personnel Security
P1
PS-7
PS-7
PS-7
PS-8
Personnel Sanctions
P3
PS-8
PS-8
PS-8
Risk Assessment
RA-1
Risk Assessment Policy and Procedures
P1
RA-1
RA-1
RA-1
RA-2
Security Categorization
P1
RA-2
RA-2
RA-2
RA-3
Risk Assessment
P1
RA-3
RA-3
RA-3
RA-4
Withdrawn
---
---
---
---
RA-5
Vulnerability Scanning
P1
RA-5
RA-5 (1) (2) (5)
RA-5 (1) (2) (4)
(5)
RA-6
Technical Surveillance Countermeasures
Survey
P0
Not Selected
Not Selected
Not Selected
System and Services Acquisition
SA-1
System and Services Acquisition Policy and
Procedures
P1
SA-1
SA-1
SA-1
SA-2
Allocation of Resources
P1
SA-2
SA-2
SA-2
SA-3
System Development Life Cycle
P1
SA-3
SA-3
SA-3
SA-4
Acquisition Process
P1
SA-4 (10)
SA-4 (1) (2) (9)
(10)
SA-4 (1) (2) (9)
(10)
SA-5
Information System Documentation
P2
SA-5
SA-5
SA-5
SA-6
Withdrawn
---
---
---
---
SA-7
Withdrawn
---
---
---
---
SA-8
Security Engineering Principles
P1
Not Selected
SA-8
SA-8
SA-9
External Information System Services
P1
SA-9
SA-9 (2)
SA-9 (2)
APPENDIX D
PAGE D-6
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
PRIORITY
________________________________________________________________________________________________
LOW
SA-10
Developer Configuration Management
P1
Not Selected
SA-11
Developer Security Testing and Evaluation
P1
Not Selected
SA-11
SA-12
Supply Chain Protection
P1
Not Selected
Not Selected
SA-12
SA-13
Trustworthiness
P0
Not Selected
Not Selected
Not Selected
SA-14
Criticality Analysis
P0
Not Selected
Not Selected
Not Selected
SA-15
Development Process, Standards, and
Tools
P2
Not Selected
Not Selected
SA-15
SA-16
Developer-Provided Training
P2
Not Selected
Not Selected
SA-16
SA-17
Developer Security Architecture and Design
P1
Not Selected
Not Selected
SA-17
SA-18
Tamper Resistance and Detection
P0
Not Selected
Not Selected
Not Selected
SA-19
Component Authenticity
P0
Not Selected
Not Selected
Not Selected
SA-20
Customized Development of Critical
Components
P0
Not Selected
Not Selected
Not Selected
SA-21
Developer Screening
P0
Not Selected
Not Selected
Not Selected
SA-22
Unsupported System Components
P0
Not Selected
Not Selected
Not Selected
SC-1
SC-1
CNTL
NO.
CONTROL NAME
INITIAL CONTROL BASELINES
MOD
HIGH
SA-10
SA-10
SA-11
System and Communications Protection
SC-1
System and Communications Protection
Policy and Procedures
P1
SC-1
SC-2
Application Partitioning
P1
Not Selected
SC-2
SC-2
SC-3
Security Function Isolation
P1
Not Selected
Not Selected
SC-3
SC-4
Information in Shared Resources
P1
Not Selected
SC-4
SC-4
SC-5
Denial of Service Protection
P1
SC-5
SC-5
SC-5
SC-6
Resource Availability
P0
Not Selected
Not Selected
Not Selected
SC-7
Boundary Protection
P1
SC-7
SC-7 (3) (4) (5)
(7)
SC-7 (3) (4) (5)
(7) (8) (18) (21)
SC-8
Transmission Confidentiality and Integrity
P1
Not Selected
SC-8 (1)
SC-8 (1)
SC-9
Withdrawn
---
---
---
---
SC-10
Network Disconnect
P2
Not Selected
SC-10
SC-10
SC-11
Trusted Path
P0
Not Selected
Not Selected
Not Selected
SC-12
Cryptographic Key Establishment and
Management
P1
SC-12
SC-12
SC-12 (1)
SC-13
Cryptographic Protection
P1
SC-13
SC-13
SC-13
SC-14
Withdrawn
---
---
---
---
SC-15
Collaborative Computing Devices
P1
SC-15
SC-15
SC-15
SC-16
Transmission of Security Attributes
P0
Not Selected
Not Selected
Not Selected
SC-17
Public Key Infrastructure Certificates
P1
Not Selected
SC-17
SC-17
SC-18
Mobile Code
P2
Not Selected
SC-18
SC-18
SC-19
Voice Over Internet Protocol
P1
Not Selected
SC-19
SC-19
SC-20
Secure Name /Address Resolution Service
(Authoritative Source)
P1
SC-20
SC-20
SC-20
SC-21
Secure Name /Address Resolution Service
(Recursive or Caching Resolver)
P1
SC-21
SC-21
SC-21
SC-22
Architecture and Provisioning for
Name/Address Resolution Service
P1
SC-22
SC-22
SC-22
SC-23
Session Authenticity
P1
Not Selected
SC-23
SC-23
SC-24
Fail in Known State
P1
Not Selected
Not Selected
SC-24
APPENDIX D
PAGE D-7
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
PRIORITY
________________________________________________________________________________________________
LOW
SC-25
Thin Nodes
P0
Not Selected
Not Selected
Not Selected
SC-26
Honeypots
P0
Not Selected
Not Selected
Not Selected
SC-27
Platform-Independent Applications
P0
Not Selected
Not Selected
Not Selected
SC-28
Protection of Information at Rest
P1
Not Selected
SC-28
SC-28
SC-29
Heterogeneity
P0
Not Selected
Not Selected
Not Selected
SC-30
Concealment and Misdirection
P0
Not Selected
Not Selected
Not Selected
SC-31
Covert Channel Analysis
P0
Not Selected
Not Selected
Not Selected
SC-32
Information System Partitioning
P0
Not Selected
Not Selected
Not Selected
SC-33
Withdrawn
---
---
---
---
SC-34
Non-Modifiable Executable Programs
P0
Not Selected
Not Selected
Not Selected
SC-35
Honeyclients
P0
Not Selected
Not Selected
Not Selected
SC-36
Distributed Processing and Storage
P0
Not Selected
Not Selected
Not Selected
SC-37
Out-of-Band Channels
P0
Not Selected
Not Selected
Not Selected
SC-38
Operations Security
P0
Not Selected
Not Selected
Not Selected
SC-39
Process Isolation
P1
SC-39
SC-39
SC-39
SC-40
Wireless Link Protection
P0
Not Selected
Not Selected
Not Selected
SC-41
Port and I/O Device Access
P0
Not Selected
Not Selected
Not Selected
SC-42
Sensor Capability and Data
P0
Not Selected
Not Selected
Not Selected
SC-43
Usage Restrictions
P0
Not Selected
Not Selected
Not Selected
SC-44
Detonation Chambers
P0
Not Selected
Not Selected
Not Selected
CNTL
NO.
CONTROL NAME
INITIAL CONTROL BASELINES
MOD
HIGH
System and Information Integrity
SI-1
System and Information Integrity Policy and
Procedures
P1
SI-1
SI-1
SI-1
SI-2
Flaw Remediation
P1
SI-2
SI-2 (2)
SI-2 (1) (2)
SI-3
Malicious Code Protection
P1
SI-3
SI-3 (1) (2)
SI-3 (1) (2)
SI-4
Information System Monitoring
P1
SI-4
SI-4 (2) (4) (5)
SI-4 (2) (4) (5)
SI-5
Security Alerts, Advisories, and Directives
P1
SI-5
SI-5
SI-5 (1)
SI-6
Security Function Verification
P1
Not Selected
Not Selected
SI-6
SI-7
Software, Firmware, and Information
Integrity
P1
Not Selected
SI-7 (1) (7)
SI-7 (1) (2) (5)
(7) (14)
SI-8
Spam Protection
P2
Not Selected
SI-8 (1) (2)
SI-8 (1) (2)
SI-9
Withdrawn
---
---
---
---
SI-10
Information Input Validation
P1
Not Selected
SI-10
SI-10
SI-11
Error Handling
P2
Not Selected
SI-11
SI-11
SI-12
Information Handling and Retention
P2
SI-12
SI-12
SI-12
SI-13
Predictable Failure Prevention
P0
Not Selected
Not Selected
Not Selected
SI-14
Non-Persistence
P0
Not Selected
Not Selected
Not Selected
SI-15
Information Output Filtering
P0
Not Selected
Not Selected
Not Selected
SI-16
Memory Protection
P1
Not Selected
SI-16
SI-16
SI-17
Fail-Safe Procedures
P0
Not Selected
Not Selected
Not Selected
APPENDIX D
PAGE D-8
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Tables D-3 through D-19 provide a more detailed summary of the security controls and control
enhancements in Appendix F. Each table focuses on a different security control family. Whereas
Table D-2 includes only those security controls and control enhancements allocated to the three
security control baselines, Tables D-3 through D-19 include all controls and enhancements for the
respective security control families. The tables include the following information: (i) the security
controls and control enhancements that have been selected for the security control baselines as
indicated by an “x” in the column for the selected baseline; 93 (ii) the security controls and control
enhancements that have not been selected for any security control baseline (i.e., the controls and
control enhancements available for selection to achieve greater protection) as indicated by blank
cells in the baseline columns; (iii) the security controls and control enhancements that have been
withdrawn from Appendix F as indicated by an “x” in the respective withdrawn column; and (iv)
the security controls and control enhancements that have assurance-related characteristics or
properties (i.e., assurance-related controls) as indicated by an “x” in the respective assurance
column. Assurance-related controls are discussed in greater detail in Appendix E to include the
allocation of such controls to security control baselines (see Tables E-1 through E-3).
93
The security control baselines in Tables D-3 through D-19 are only applicable to non-national security systems.
Security control baselines for national security systems are included in CNSS Instruction 1253.
APPENDIX D
PAGE D-9
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
AC-1
Access Control Policy and Procedures
AC-2
Account Management
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-3: SUMMARY — ACCESS CONTROLS
x
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
AC-2(1)
ACCOUNT MANAGEMENT | AUTOMATED SYSTEM ACCOUNT
MANAGEMENT
x
x
AC-2(2)
ACCOUNT MANAGEMENT | REMOVAL OF TEMPORARY / EMERGENCY
ACCOUNTS
x
x
AC-2(3)
ACCOUNT MANAGEMENT | DISABLE INACTIVE ACCOUNTS
x
x
AC-2(4)
ACCOUNT MANAGEMENT | AUTOMATED AUDIT ACTIONS
x
x
AC-2(5)
ACCOUNT MANAGEMENT | INACTIVITY LOGOUT
AC-2(6)
ACCOUNT MANAGEMENT | DYNAMIC PRIVILEGE MANAGEMENT
AC-2(7)
ACCOUNT MANAGEMENT | ROLE-BASED SCHEMES
AC-2(8)
ACCOUNT MANAGEMENT | DYNAMIC ACCOUNT CREATION
AC-2(9)
ACCOUNT MANAGEMENT | RESTRICTIONS ON USE OF SHARED /
GROUP ACCOUNTS
x
AC-2(10)
ACCOUNT MANAGEMENT | SHARED / GROUP ACCOUNT CREDENTIAL
TERMINATION
AC-2(11)
ACCOUNT MANAGEMENT | USAGE CONDITIONS
x
AC-2(12)
ACCOUNT MANAGEMENT | ACCOUNT MONITORING / ATYPICAL USAGE
x
AC-2(13)
ACCOUNT MANAGEMENT | DISABLE ACCOUNTS FOR HIGH-RISK
INDIVIDUALS
x
AC-3
x
Access Enforcement
AC-3(1)
ACCESS ENFORCEMENT | RESTRICTED ACCESS TO PRIVILEGED
FUNCTIONS
AC-3(2)
ACCESS ENFORCEMENT | DUAL AUTHORIZATION
AC-3(3)
ACCESS ENFORCEMENT | MANDATORY ACCESS CONTROL
AC-3(4)
ACCESS ENFORCEMENT | DISCRETIONARY ACCESS CONTROL
AC-3(5)
ACCESS ENFORCEMENT | SECURITY-RELEVANT INFORMATION
AC-3(6)
ACCESS ENFORCEMENT | PROTECTION OF USER AND SYSTEM
INFORMATION
AC-3(7)
ACCESS ENFORCEMENT | ROLE-BASED ACCESS CONTROL
AC-3(8)
ACCESS ENFORCEMENT | REVOCATION OF ACCESS AUTHORIZATIONS
AC-3(9)
ACCESS ENFORCEMENT | CONTROLLED RELEASE
AC-3(10)
AC-4
x
Incorporated into MP-4 and SC-28.
x
Information Flow Enforcement
INFORMATION FLOW ENFORCEMENT | OBJECT SECURITY ATTRIBUTES
AC-4(2)
INFORMATION FLOW ENFORCEMENT | PROCESSING DOMAINS
AC-4(3)
INFORMATION FLOW ENFORCEMENT | DYNAMIC INFORMATION FLOW
CONTROL
AC-4(4)
INFORMATION FLOW ENFORCEMENT
INFORMATION
AC-4(5)
INFORMATION FLOW ENFORCEMENT | EMBEDDED DATA TYPES
AC-4(6)
INFORMATION FLOW ENFORCEMENT | METADATA
AC-4(7)
INFORMATION FLOW ENFORCEMENT | ONE-WAY FLOW MECHANISMS
AC-4(8)
INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTERS
AC-4(9)
INFORMATION FLOW ENFORCEMENT | HUMAN REVIEWS
APPENDIX D
x
Incorporated into AC-6.
ACCESS ENFORCEMENT | AUDITED OVERRIDE OF ACCESS CONTROL
MECHANISMS
AC-4(1)
AC-4(10)
x
x
x
| CONTENT CHECK ENCRYPTED
INFORMATION FLOW ENFORCEMENT | ENABLE / DISABLE SECURITY
POLICY FILTERS
PAGE D-10
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
Control Enhancement Name
AC-4(11)
INFORMATION FLOW ENFORCEMENT | CONFIGURATION OF SECURITY
POLICY FILTERS
AC-4(12)
INFORMATION FLOW ENFORCEMENT | DATA TYPE IDENTIFIERS
AC-4(13)
INFORMATION FLOW ENFORCEMENT | DECOMPOSITION INTO POLICYRELEVANT SUBCOMPONENTS
AC-4(14)
INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTER
CONSTRAINTS
AC-4(15)
INFORMATION FLOW ENFORCEMENT | DETECTION OF UNSANCTIONED
INFORMATION
AC-4(16)
INFORMATION FLOW ENFORCEMENT | INFORMATION TRANSFERS ON
INTERCONNECTED SYSTEMS
AC-4(17)
INFORMATION FLOW ENFORCEMENT | DOMAIN AUTHENTICATION
AC-4(18)
INFORMATION FLOW ENFORCEMENT | SECURITY ATTRIBUTE BINDING
AC-4(19)
INFORMATION FLOW ENFORCEMENT | VALIDATION OF METADATA
AC-4(20)
INFORMATION FLOW ENFORCEMENT | APPROVED SOLUTIONS
AC-4(21)
INFORMATION FLOW ENFORCEMENT | PHYSICAL / LOGICAL
SEPARATION OF INFORMATION FLOWS
AC-4(22)
INFORMATION FLOW ENFORCEMENT | ACCESS ONLY
x
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
Incorporated into AC-4.
AC-5
Separation of Duties
x
x
AC-6
Least Privilege
x
x
AC-6(1)
LEAST PRIVILEGE | AUTHORIZE ACCESS TO SECURITY FUNCTIONS
x
x
AC-6(2)
LEAST PRIVILEGE | NON-PRIVILEGED ACCESS FOR NONSECURITY
FUNCTIONS
x
x
AC-6(3)
LEAST PRIVILEGE | NETWORK ACCESS TO PRIVILEGED COMMANDS
AC-6(4)
LEAST PRIVILEGE | SEPARATE PROCESSING DOMAINS
AC-6(5)
LEAST PRIVILEGE | PRIVILEGED ACCOUNTS
AC-6(6)
LEAST PRIVILEGE | PRIVILEGED ACCESS BY NON-ORGANIZATIONAL
USERS
AC-6(7)
LEAST PRIVILEGE | REVIEW OF USER PRIVILEGES
AC-6(8)
LEAST PRIVILEGE | PRIVILEGE LEVELS FOR CODE EXECUTION
AC-6(9)
AC-6(10)
AC-7
x
x
x
LEAST PRIVILEGE | AUDITING USE OF PRIVILEGED FUNCTIONS
x
x
LEAST PRIVILEGE | PROHIBIT NON-PRIVILEGED USERS FROM
EXECUTING PRIVILEGED FUNCTIONS
x
x
x
x
x
Unsuccessful Logon Attempts
AC-7(1)
UNSUCCESSFUL LOGON ATTEMPTS | AUTOMATIC ACCOUNT LOCK
AC-7(2)
UNSUCCESSFUL LOGON ATTEMPTS | PURGE / WIPE MOBILE DEVICE
AC-8
System Use Notification
AC-9
Previous Logon (Access) Notification
x
Incorporated into AC-7.
x
x
x
AC-9(1)
PREVIOUS LOGON NOTIFICATION | UNSUCCESSFUL LOGONS
AC-9(2)
PREVIOUS LOGON NOTIFICATION | SUCCESSFUL / UNSUCCESSFUL
LOGONS
AC-9(3)
PREVIOUS LOGON NOTIFICATION | NOTIFICATION OF ACCOUNT
CHANGES
AC-9(4)
PREVIOUS LOGON NOTIFICATION | ADDITIONAL LOGON INFORMATION
AC-10
Concurrent Session Control
AC-11
Session Lock
x
x
SESSION LOCK | PATTERN-HIDING DISPLAYS
x
x
Session Termination
x
x
AC-11(1)
AC-12
APPENDIX D
x
PAGE D-11
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
AC-12(1)
Control Enhancement Name
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
SESSION TERMINATION | USER-INITIATED LOGOUTS / MESSAGE
DISPLAYS
AC-13
Supervision and Review — Access Control
AC-14
Permitted Actions without Identification or Authentication
x
Incorporated into AC-2 and AU-6.
x
x
PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
| NECESSARY USES
x
Incorporated into AC-14.
AC-15
Automated Marking
x
Incorporated into MP-3.
AC-16
Security Attributes
AC-14(1)
HIGH
AC-16(1)
SECURITY ATTRIBUTES | DYNAMIC ATTRIBUTE ASSOCIATION
AC-16(2)
SECURITY ATTRIBUTES | ATTRIBUTE VALUE CHANGES BY
AUTHORIZED INDIVIDUALS
AC-16(3)
SECURITY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE
ASSOCIATIONS BY INFORMATION SYSTEM
AC-16(4)
SECURITY ATTRIBUTES | ASSOCIATION OF ATTRIBUTES BY
AUTHORIZED INDIVIDUALS
AC-16(5)
SECURITY ATTRIBUTES | ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
AC-16(6)
SECURITY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE ASSOCIATION
BY ORGANIZATION
AC-16(7)
SECURITY ATTRIBUTES | CONSISTENT ATTRIBUTE INTERPRETATION
AC-16(8)
SECURITY ATTRIBUTES | ASSOCIATION TECHNIQUES / TECHNOLOGIES
AC-16(9)
SECURITY ATTRIBUTES | ATTRIBUTE REASSIGNMENT
AC-16(10)
SECURITY ATTRIBUTES | ATTRIBUTE CONFIGURATION BY
AUTHORIZED INDIVIDUALS
x
x
AC-17(1)
REMOTE ACCESS | AUTOMATED MONITORING / CONTROL
x
x
AC-17(2)
REMOTE ACCESS | PROTECTION OF CONFIDENTIALITY / INTEGRITY
USING ENCRYPTION
x
x
AC-17(3)
REMOTE ACCESS | MANAGED ACCESS CONTROL POINTS
x
x
AC-17(4)
REMOTE ACCESS | PRIVILEGED COMMANDS / ACCESS
x
x
AC-17(5)
REMOTE ACCESS | MONITORING FOR UNAUTHORIZED CONNECTIONS
AC-17(6)
REMOTE ACCESS | PROTECTION OF INFORMATION
AC-17(7)
AC-17
x
x
Remote Access
x
Incorporated into SI-4.
REMOTE ACCESS | ADDITIONAL PROTECTION FOR SECURITY
FUNCTION ACCESS
x
Incorporated into AC-3(10).
AC-17(8)
REMOTE ACCESS | DISABLE NONSECURE NETWORK PROTOCOLS
x
Incorporated into CM-7.
AC-17(9)
REMOTE ACCESS | DISCONNECT / DISABLE ACCESS
AC-18
AC-18(1)
WIRELESS ACCESS | AUTHENTICATION AND ENCRYPTION
AC-18(2)
WIRELESS ACCESS | MONITORING UNAUTHORIZED CONNECTIONS
AC-18(3)
WIRELESS ACCESS | DISABLE WIRELESS NETWORKING
AC-18(4)
WIRELESS ACCESS | RESTRICT CONFIGURATIONS BY USERS
AC-18(5)
WIRELESS ACCESS | ANTENNAS / TRANSMISSION POWER LEVELS
AC-19
x
Wireless Access
x
x
x
x
x
Incorporated into SI-4.
x
x
x
Access Control for Mobile Devices
x
AC-19(1)
ACCESS CONTROL FOR MOBILE DEVICES | USE OF WRITABLE /
PORTABLE STORAGE DEVICES
x
Incorporated into MP-7.
AC-19(2)
ACCESS CONTROL FOR MOBILE DEVICES | USE OF PERSONALLY
OWNED PORTABLE STORAGE DEVICES
x
Incorporated into MP-7.
AC-19(3)
ACCESS CONTROL FOR MOBILE DEVICES | USE OF PORTABLE
STORAGE DEVICES WITH NO IDENTIFIABLE OWNER
x
Incorporated into MP-7.
APPENDIX D
x
PAGE D-12
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
CONTROL NAME
Control Enhancement Name
AC-19(4)
ACCESS CONTROL FOR MOBILE DEVICES | RESTRICTIONS FOR
CLASSIFIED INFORMATION
AC-19(5)
ACCESS CONTROL FOR MOBILE DEVICES | FULL DEVICE / CONTAINERBASED ENCRYPTION
ASSURANCE
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
HIGH
x
x
x
x
AC-20(1)
USE OF EXTERNAL INFORMATION SYSTEMS | LIMITS ON AUTHORIZED
USE
x
x
AC-20(2)
USE OF EXTERNAL INFORMATION SYSTEMS | PORTABLE STORAGE
DEVICES
x
x
AC-20(3)
USE OF EXTERNAL INFORMATION SYSTEMS | NONORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES
AC-20(4)
USE OF EXTERNAL INFORMATION SYSTEMS | NETWORK ACCESSIBLE
STORAGE DEVICES
x
x
x
x
AC-20
AC-21
Use of External Information Systems
Information Sharing
AC-21(1)
INFORMATION SHARING | AUTOMATED DECISION SUPPORT
AC-21(2)
INFORMATION SHARING | INFORMATION SEARCH AND RETRIEVAL
AC-22
Publicly Accessible Content
AC-23
Data Mining Protection
AC-24
Access Control Decisions
AC-24(1)
ACCESS CONTROL DECISIONS | TRANSMIT ACCESS AUTHORIZATION
INFORMATION
AC-24(2)
ACCESS CONTROL DECISIONS | NO USER OR PROCESS IDENTITY
AC-25
APPENDIX D
x
MOD
Reference Monitor
x
x
PAGE D-13
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-4: SUMMARY — AWARENESS AND TRAINING CONTROLS
CONTROL BASELINES
LOW
MOD
HIGH
AT-1
Security Awareness and Training Policy and Procedures
x
x
x
x
AT-2
Security Awareness Training
x
x
x
x
AT-2(1)
SECURITY AWARENESS | PRACTICAL EXERCISES
x
AT-2(2)
SECURITY AWARENESS | INSIDER THREAT
x
Role-Based Security Training
x
AT-3(1)
ROLE-BASED SECURITY TRAINING | ENVIRONMENTAL CONTROLS
x
AT-3(2)
ROLE-BASED SECURITY TRAINING | PHYSICAL SECURITY CONTROLS
x
AT-3(3)
ROLE-BASED SECURITY TRAINING | PRACTICAL EXERCISES
x
AT-3(4)
ROLE-BASED SECURITY TRAINING | SUSPICIOUS COMMUNICATIONS
AND ANOMALOUS SYSTEM BEHAVIOR
x
AT-4
Security Training Records
x
AT-5
Contacts with Security Groups and Associations
AT-3
APPENDIX D
x
x
x
x
x
x
x
x
x
Incorporated into PM-15.
PAGE D-14
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Control Enhancement Name
AU-1
Audit and Accountability Policy and Procedures
AU-2
Audit Events
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
TABLE D-5: SUMMARY — AUDIT AND ACCOUNTABILITY CONTROLS
x
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
AU-2(1)
AUDIT EVENTS | COMPILATION OF AUDIT RECORDS FROM MULTIPLE
SOURCES
x
Incorporated into AU-12.
AU-2(2)
AUDIT EVENTS | SELECTION OF AUDIT EVENTS BY COMPONENT
x
Incorporated into AU-12.
AU-2(3)
AUDIT EVENTS | REVIEWS AND UPDATES
AU-2(4)
AUDIT EVENTS | PRIVILEGED FUNCTIONS
x
Incorporated into AC-6(9).
AU-3
CONTENT OF AUDIT RECORDS | ADDITIONAL AUDIT INFORMATION
AU-3(2)
CONTENT OF AUDIT RECORDS | CENTRALIZED MANAGEMENT OF
PLANNED AUDIT RECORD CONTENT
AU-4
AU-5
x
Content of Audit Records
AU-3(1)
AU-4(1)
x
x
x
x
x
x
x
Audit Storage Capacity
x
x
x
x
x
x
AUDIT STORAGE CAPACITY | TRANSFER TO ALTERNATE STORAGE
Response to Audit Processing Failures
AU-5(1)
RESPONSE TO AUDIT PROCESSING FAILURES | AUDIT STORAGE
CAPACITY
x
AU-5(2)
RESPONSE TO AUDIT PROCESSING FAILURES | REAL-TIME ALERTS
x
AU-5(3)
RESPONSE TO AUDIT PROCESSING FAILURES | CONFIGURABLE
TRAFFIC VOLUME THRESHOLDS
AU-5(4)
RESPONSE TO AUDIT PROCESSING FAILURES | SHUTDOWN ON
FAILURE
Audit Review, Analysis, and Reporting
x
AU-6(1)
AUDIT REVIEW, ANALYSIS, AND REPORTING | PROCESS INTEGRATION
x
AU-6(2)
AUDIT REVIEW, ANALYSIS, AND REPORTING | AUTOMATED SECURITY
ALERTS
AU-6(3)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATE AUDIT
REPOSITORIES
x
AU-6(4)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CENTRAL REVIEW AND
ANALYSIS
x
AU-6(5)
AUDIT REVIEW, ANALYSIS, AND REPORTING | INTEGRATION /
SCANNING AND MONITORING CAPABILITIES
x
x
AU-6(6)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH
PHYSICAL MONITORING
x
x
AU-6(7)
AUDIT REVIEW, ANALYSIS, AND REPORTING | PERMITTED ACTIONS
x
AU-6(8)
AUDIT REVIEW, ANALYSIS, AND REPORTING | FULL TEXT ANALYSIS OF
PRIVILEGED COMMANDS
x
AU-6(9)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH
INFORMATION FROM NONTECHNICAL SOURCES
x
AUDIT REVIEW, ANALYSIS, AND REPORTING | AUDIT LEVEL
ADJUSTMENT
x
AU-6
AU-6(10)
x
x
x
x
x
x
Incorporated into SI-4.
x
x
Audit Reduction and Report Generation
x
x
x
AU-7(1)
AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC
PROCESSING
x
x
x
AU-7(2)
AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC SORT
AND SEARCH
x
x
x
x
AU-7
AU-8
Time Stamps
AU-8(1)
TIME STAMPS | SYNCHRONIZATION WITH AUTHORITATIVE TIME
SOURCE
AU-8(2)
TIME STAMPS | SECONDARY AUTHORITATIVE TIME SOURCE
APPENDIX D
x
PAGE D-15
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
AU-9
Control Enhancement Name
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
Protection of Audit Information
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
AU-9(1)
PROTECTION OF AUDIT INFORMATION | HARDWARE WRITE-ONCE
MEDIA
AU-9(2)
PROTECTION OF AUDIT INFORMATION | AUDIT BACKUP ON SEPARATE
PHYSICAL SYSTEMS / COMPONENTS
x
AU-9(3)
PROTECTION OF AUDIT INFORMATION | CRYPTOGRAPHIC
PROTECTION
x
AU-9(4)
PROTECTION OF AUDIT INFORMATION | ACCESS BY SUBSET OF
PRIVILEGED USERS
AU-9(5)
PROTECTION OF AUDIT INFORMATION | DUAL AUTHORIZATION
AU-9(6)
PROTECTION OF AUDIT INFORMATION | READ-ONLY ACCESS
AU-10
x
Non-repudiation
x
AU-10(1)
NON-REPUDIATION | ASSOCIATION OF IDENTITIES
x
AU-10(2)
NON-REPUDIATION | VALIDATE BINDING OF INFORMATION PRODUCER
IDENTITY
x
AU-10(3)
NON-REPUDIATION | CHAIN OF CUSTODY
x
AU-10(4)
NON-REPUDIATION | VALIDATE BINDING OF INFORMATION REVIEWER
IDENTITY
x
AU-10(5)
NON-REPUDIATION | DIGITAL SIGNATURES
AU-11
AU-11(1)
AU-12
x
AUDIT GENERATION | SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL
AU-12(2)
AUDIT GENERATION | STANDARDIZED FORMATS
AU-12(3)
AUDIT GENERATION | CHANGES BY AUTHORIZED INDIVIDUALS
AU-13(1)
MONITORING FOR INFORMATION DISCLOSURE | USE OF AUTOMATED
TOOLS
x
AU-13(2)
MONITORING FOR INFORMATION DISCLOSURE | REVIEW OF
MONITORED SITES
x
Session Audit
x
AU-14(1)
SESSION AUDIT | SYSTEM START-UP
x
AU-14(2)
SESSION AUDIT | CAPTURE/RECORD AND LOG CONTENT
x
AU-14(3)
SESSION AUDIT | REMOTE VIEWING / LISTENING
x
AU-15
Alternate Audit Capability
AU-16
Cross-Organizational Auditing
AU-16(1)
CROSS-ORGANIZATIONAL AUDITING | IDENTITY PRESERVATION
AU-16(2)
CROSS-ORGANIZATIONAL AUDITING | SHARING OF AUDIT
INFORMATION
APPENDIX D
x
x
x
x
x
x
AU-14
x
x
Monitoring for Information Disclosure
AU-13
x
x
Audit Generation
AU-12(1)
x
Incorporated into SI-7.
Audit Record Retention
AUDIT RECORD RETENTION | LONG-TERM RETRIEVAL CAPABILITY
x
PAGE D-16
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-6: SUMMARY — SECURITY ASSESSMENT AND AUTHORIZATION CONTROLS
CONTROL BASELINES
LOW
MOD
HIGH
CA-1
Security Assessment and Authorization Policies and
Procedures
x
x
x
x
CA-2
Security Assessments
x
x
x
x
SECURITY ASSESSMENTS | INDEPENDENT ASSESSORS
x
x
x
CA-2(2)
SECURITY ASSESSMENTS | SPECIALIZED ASSESSMENTS
x
CA-2(3)
CA-2(1)
SECURITY ASSESSMENTS | EXTERNAL ORGANIZATIONS
x
CA-3
System Interconnections
x
CA-3(1)
SYSTEM INTERCONNECTIONS
SYSTEM CONNECTIONS
CA-3(2)
SYSTEM INTERCONNECTIONS | CLASSIFIED NATIONAL SECURITY
SYSTEM CONNECTIONS
CA-3(3)
SYSTEM INTERCONNECTIONS | UNCLASSIFIED NON-NATIONAL
SECURITY SYSTEM CONNECTIONS
CA-3(4)
SYSTEM INTERCONNECTIONS
| CONNECTIONS TO PUBLIC NETWORKS
CA-3(5)
SYSTEM INTERCONNECTIONS
SYSTEM CONNECTIONS
| RESTRICTIONS ON EXTERNAL
x
x
x
x
x
| UNCLASSIFIED NATIONAL SECURITY
x
CA-4
Security Certification
CA-5
Plan of Action and Milestones
x
PLAN OF ACTION AND MILESTONES
ACCURACY / CURRENCY
x
CA-5(1)
x
| AUTOMATION SUPPORT FOR
Incorporated into CA-2.
x
x
x
CA-6
Security Authorization
x
x
x
x
CA-7
Continuous Monitoring
x
x
x
x
CONTINUOUS MONITORING | INDEPENDENT ASSESSMENT
x
x
x
CA-7(1)
x
CA-7(2)
Incorporated into CA-2.
CONTINUOUS MONITORING | TYPES OF ASSESSMENTS
CA-7(3)
CONTINUOUS MONITORING | TREND ANALYSES
x
Penetration Testing
x
CA-8(1)
PENETRATION TESTING | INDEPENDENT PENETRATION AGENT OR
TEAM
x
CA-8(2)
PENETRATION TESTING | RED TEAM EXERCISES
x
Internal System Connections
x
INTERNAL SYSTEM CONNECTIONS | SECURITY COMPLIANCE CHECKS
x
CA-8
CA-9
CA-9(1)
APPENDIX D
x
x
x
x
PAGE D-17
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-7: SUMMARY — CONFIGURATION MANAGEMENT CONTROLS
CONTROL BASELINES
LOW
MOD
HIGH
CM-1
Configuration Management Policy and Procedures
x
x
x
x
CM-2
Baseline Configuration
x
x
x
x
CM-2(1)
BASELINE CONFIGURATION | REVIEWS AND UPDATES
x
x
x
CM-2(2)
BASELINE CONFIGURATION | AUTOMATION SUPPORT FOR ACCURACY
/ CURRENCY
x
CM-2(3)
BASELINE CONFIGURATION | RETENTION OF PREVIOUS
CONFIGURATIONS
x
CM-2(4)
BASELINE CONFIGURATION | UNAUTHORIZED SOFTWARE
x
Incorporated into CM-7.
CM-2(5)
BASELINE CONFIGURATION | AUTHORIZED SOFTWARE
x
Incorporated into CM-7.
CM-2(6)
BASELINE CONFIGURATION | DEVELOPMENT AND TEST
ENVIRONMENTS
x
CM-2(7)
BASELINE CONFIGURATION | CONFIGURE SYSTEMS, COMPONENTS,
OR DEVICES FOR HIGH-RISK AREAS
x
x
x
Configuration Change Control
x
x
x
CM-3(1)
CONFIGURATION CHANGE CONTROL | AUTOMATED DOCUMENT /
NOTIFICATION / PROHIBITION OF CHANGES
x
CM-3(2)
CONFIGURATION CHANGE CONTROL | TEST / VALIDATE / DOCUMENT
CHANGES
x
CM-3(3)
CONFIGURATION CHANGE CONTROL | AUTOMATED CHANGE
IMPLEMENTATION
CM-3(4)
CONFIGURATION CHANGE CONTROL | SECURITY REPRESENTATIVE
CM-3(5)
CONFIGURATION CHANGE CONTROL | AUTOMATED SECURITY
RESPONSE
CM-3(6)
CONFIGURATION CHANGE CONTROL | CRYPTOGRAPHY MANAGEMENT
CM-3
Security Impact Analysis
x
CM-4(1)
SECURITY IMPACT ANALYSIS | SEPARATE TEST ENVIRONMENTS
x
CM-4(2)
SECURITY IMPACT ANALYSIS | VERIFICATION OF SECURITY
FUNCTIONS
x
CM-4
CM-5
x
x
x
x
x
x
x
x
x
x
x
Access Restrictions for Change
x
CM-5(1)
ACCESS RESTRICTIONS FOR CHANGE | AUTOMATED ACCESS
ENFORCEMENT / AUDITING
x
CM-5(2)
ACCESS RESTRICTIONS FOR CHANGE | REVIEW SYSTEM CHANGES
x
CM-5(3)
ACCESS RESTRICTIONS FOR CHANGE | SIGNED COMPONENTS
x
CM-5(4)
ACCESS RESTRICTIONS FOR CHANGE | DUAL AUTHORIZATION
CM-5(5)
ACCESS RESTRICTIONS FOR CHANGE | LIMIT PRODUCTION /
OPERATIONAL PRIVILEGES
CM-5(6)
ACCESS RESTRICTIONS FOR CHANGE | LIMIT LIBRARY PRIVILEGES
CM-5(7)
ACCESS RESTRICTIONS FOR CHANGE | AUTOMATIC IMPLEMENTATION
OF SECURITY SAFEGUARDS
CM-6
x
Incorporated into SI-7.
x
Configuration Settings
x
x
CM-6(1)
CONFIGURATION SETTINGS | AUTOMATED CENTRAL MANAGEMENT /
APPLICATION / VERIFICATION
x
CM-6(2)
CONFIGURATION SETTINGS | RESPOND TO UNAUTHORIZED CHANGES
x
CM-6(3)
CONFIGURATION SETTINGS | UNAUTHORIZED CHANGE DETECTION
x
Incorporated into SI-7.
CM-6(4)
CONFIGURATION SETTINGS | CONFORMANCE DEMONSTRATION
x
Incorporated into CM-4.
CM-7
CM-7(1)
CM-7(2)
APPENDIX D
x
x
LEAST FUNCTIONALITY | PERIODIC REVIEW
x
x
LEAST FUNCTIONALITY | PREVENT PROGRAM EXECUTION
x
x
Least Functionality
x
PAGE D-18
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
CONTROL NAME
Control Enhancement Name
CM-7(3)
LEAST FUNCTIONALITY | REGISTRATION COMPLIANCE
CM-7(4)
LEAST FUNCTIONALITY | UNAUTHORIZED SOFTWARE / BLACKLISTING
CM-7(5)
LEAST FUNCTIONALITY | AUTHORIZED SOFTWARE / WHITELISTING
ASSURANCE
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CM-8(1)
INFORMATION SYSTEM COMPONENT INVENTORY | UPDATES DURING
INSTALLATIONS / REMOVALS
x
CM-8(2)
INFORMATION SYSTEM COMPONENT INVENTORY | AUTOMATED
MAINTENANCE
x
CM-8(3)
INFORMATION SYSTEM COMPONENT INVENTORY | AUTOMATED
UNAUTHORIZED COMPONENT DETECTION
x
CM-8(4)
INFORMATION SYSTEM COMPONENT INVENTORY | ACCOUNTABILITY
INFORMATION
x
CM-8(5)
INFORMATION SYSTEM COMPONENT INVENTORY | NO DUPLICATE
ACCOUNTING OF COMPONENTS
x
CM-8(6)
INFORMATION SYSTEM COMPONENT INVENTORY | ASSESSED
CONFIGURATIONS / APPROVED DEVIATIONS
x
CM-8(7)
INFORMATION SYSTEM COMPONENT INVENTORY | CENTRALIZED
REPOSITORY
x
CM-8(8)
INFORMATION SYSTEM COMPONENT INVENTORY | AUTOMATED
LOCATION TRACKING
x
CM-8(9)
INFORMATION SYSTEM COMPONENT INVENTORY | ASSIGNMENT OF
COMPONENTS TO SYSTEMS
x
CONFIGURATION MANAGEMENT PLAN | ASSIGNMENT OF
RESPONSIBILITY
CM-10
Software Usage Restrictions
CM-10(1)
CM-11
HIGH
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
SOFTWARE USAGE RESTRICTIONS | OPEN SOURCE SOFTWARE
User-Installed Software
CM-11(1)
USER-INSTALLED SOFTWARE | ALERTS FOR UNAUTHORIZED
INSTALLATIONS
CM-11(2)
USER-INSTALLED SOFTWARE | PROHIBIT INSTALLATION WITHOUT
PRIVILEGED STATUS
APPENDIX D
x
Configuration Management Plan
CM-9(1)
MOD
x
x
CM-9
LOW
x
Information System Component Inventory
CM-8
CONTROL BASELINES
PAGE D-19
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
CP-1
Contingency Planning Policy and Procedures
CP-2
Contingency Plan
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-8: SUMMARY — CONTINGENCY PLANNING CONTROLS
x
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
x
x
CP-2(1)
CONTINGENCY PLAN | COORDINATE WITH RELATED PLANS
CP-2(2)
CONTINGENCY PLAN | CAPACITY PLANNING
CP-2(3)
CONTINGENCY PLAN | RESUME ESSENTIAL MISSIONS / BUSINESS
FUNCTIONS
CP-2(4)
CONTINGENCY PLAN | RESUME ALL MISSIONS / BUSINESS FUNCTIONS
x
CP-2(5)
CONTINGENCY PLAN | CONTINUE ESSENTIAL MISSIONS / BUSINESS
FUNCTIONS
x
CP-2(6)
CONTINGENCY PLAN | ALTERNATE PROCESSING / STORAGE SITE
CP-2(7)
CONTINGENCY PLAN | COORDINATE WITH EXTERNAL SERVICE
PROVIDERS
CP-2(8)
CONTINGENCY PLAN | IDENTIFY CRITICAL ASSETS
x
x
Contingency Training
x
CP-3(1)
CONTINGENCY TRAINING | SIMULATED EVENTS
x
CP-3(2)
CONTINGENCY TRAINING | AUTOMATED TRAINING ENVIRONMENTS
x
Contingency Plan Testing
x
CP-4(1)
CONTINGENCY PLAN TESTING | COORDINATE WITH RELATED PLANS
x
CP-4(2)
CONTINGENCY PLAN TESTING | ALTERNATE PROCESSING SITE
x
CP-4(3)
CONTINGENCY PLAN TESTING | AUTOMATED TESTING
x
CP-4(4)
CONTINGENCY PLAN TESTING | FULL RECOVERY / RECONSTITUTION
x
CP-3
CP-4
x
x
x
x
x
x
x
x
x
x
x
x
x
x
CP-5
Contingency Plan Update
CP-6
Alternate Storage Site
x
x
CP-6(1)
ALTERNATE STORAGE SITE | SEPARATION FROM PRIMARY SITE
x
x
CP-6(2)
ALTERNATE STORAGE SITE | RECOVERY TIME / POINT OBJECTIVES
Incorporated into CP-2.
x
ALTERNATE STORAGE SITE | ACCESSIBILITY
x
x
Alternate Processing Site
x
x
CP-7(1)
ALTERNATE PROCESSING SITE | SEPARATION FROM PRIMARY SITE
x
x
CP-7(2)
ALTERNATE PROCESSING SITE | ACCESSIBILITY
x
x
CP-7(3)
ALTERNATE PROCESSING SITE | PRIORITY OF SERVICE
x
x
CP-7(4)
ALTERNATE PROCESSING SITE | PREPARATION FOR USE
CP-6(3)
CP-7
CP-7(5)
ALTERNATE PROCESSING SITE | EQUIVALENT INFORMATION
SECURITY SAFEGUARDS
CP-7(6)
ALTERNATE PROCESSING SITE | INABILITY TO RETURN TO PRIMARY
SITE
x
x
Incorporated into CP-7.
Telecommunications Services
x
x
CP-8(1)
TELECOMMUNICATIONS SERVICES | PRIORITY OF SERVICE
PROVISIONS
x
x
CP-8(2)
TELECOMMUNICATIONS SERVICES | SINGLE POINTS OF FAILURE
x
x
CP-8(3)
TELECOMMUNICATIONS SERVICES | SEPARATION OF PRIMARY /
ALTERNATE PROVIDERS
x
CP-8(4)
TELECOMMUNICATIONS SERVICES | PROVIDER CONTINGENCY PLAN
x
CP-8(5)
TELECOMMUNICATIONS SERVICES | ALTERNATE
TELECOMMUNICATION SERVICE TESTING
CP-8
CP-9
CP-9(1)
APPENDIX D
Information System Backup
INFORMATION SYSTEM BACKUP | TESTING FOR RELIABILITY /
INTEGRITY
x
x
x
x
x
PAGE D-20
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
Control Enhancement Name
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
CP-9(2)
INFORMATION SYSTEM BACKUP | TEST RESTORATION USING
SAMPLING
x
CP-9(3)
INFORMATION SYSTEM BACKUP | SEPARATE STORAGE FOR CRITICAL
INFORMATION
x
CP-9(4)
INFORMATION SYSTEM BACKUP | PROTECTION FROM UNAUTHORIZED
MODIFICATION
CP-9(5)
INFORMATION SYSTEM BACKUP | TRANSFER TO ALTERNATE
STORAGE SITE
CP-9(6)
INFORMATION SYSTEM BACKUP | REDUNDANT SECONDARY SYSTEM
CP-9(7)
INFORMATION SYSTEM BACKUP | DUAL AUTHORIZATION
CP-10
Information System Recovery and Reconstitution
CP-10(1)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION |
CONTINGENCY PLAN TESTING
CP-10(2)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION |
TRANSACTION RECOVERY
CP-10(3)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION |
COMPENSATING SECURITY CONTROLS
CP-10(4)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | RESTORE
WITHIN TIME PERIOD
CP-10(5)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | FAILOVER
CAPABILITY
CP-10(6)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION |
COMPONENT PROTECTION
CP-11
Alternate Communications Protocols
CP-12
Safe Mode
CP-13
Alternative Security Mechanisms
APPENDIX D
x
Incorporated into CP-9.
x
x
x
x
x
x
x
Incorporated into CP-4.
x
Addressed by tailoring procedures.
x
x
Incorporated into SI-13.
x
PAGE D-21
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-9: SUMMARY — IDENTIFICATION AND AUTHENTICATION CONTROLS
LOW
MOD
HIGH
IA-1
Identification and Authentication Policy and Procedures
x
x
x
IA-2
Identification and Authentication (Organizational Users)
x
x
x
IA-2(1)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
NETWORK ACCESS TO PRIVILEGED ACCOUNTS
x
x
x
IA-2(2)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS
x
x
IA-2(3)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
LOCAL ACCESS TO PRIVILEGED ACCOUNTS
x
x
IA-2(4)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS
IA-2(5)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
GROUP AUTHENTICATION
IA-2(6)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE
IA-2(7)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE
DEVICE
IA-2(8)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT
IA-2(9)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY
RESISTANT
IA-2(10)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
SINGLE SIGN-ON
IA-2(11)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
REMOTE ACCESS - SEPARATE DEVICE
IA-2(12)
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) |
ACCEPTANCE OF PIV CREDENTIALS
IA-2(13)
IDENTIFICATION AND AUTHENTICATION | OUT-OF-BAND
AUTHENTICATION
IA-3
DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC
BIDIRECTIONAL AUTHENTICATION
IA-3(2)
DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC
BIDIRECTIONAL NETWORK AUTHENTICATION
IA-3(3)
DEVICE IDENTIFICATION AND AUTHENTICATION | DYNAMIC ADDRESS
ALLOCATION
IA-3(4)
DEVICE IDENTIFICATION AND AUTHENTICATION | DEVICE
ATTESTATION
Identifier Management
IA-4(1)
IDENTIFIER MANAGEMENT | PROHIBIT ACCOUNT IDENTIFIERS AS
PUBLIC IDENTIFIERS
IA-4(2)
IDENTIFIER MANAGEMENT | SUPERVISOR AUTHORIZATION
IA-4(3)
IDENTIFIER MANAGEMENT | MULTIPLE FORMS OF CERTIFICATION
IA-4(4)
IDENTIFIER MANAGEMENT | IDENTIFY USER STATUS
IA-4(5)
IDENTIFIER MANAGEMENT | DYNAMIC MANAGEMENT
IA-4(6)
IDENTIFIER MANAGEMENT | CROSS-ORGANIZATION MANAGEMENT
IA-4(7)
IDENTIFIER MANAGEMENT | IN-PERSON REGISTRATION
IA-5
APPENDIX D
x
x
Authenticator Management
x
x
x
Device Identification and Authentication
IA-3(1)
IA-4
x
CONTROL BASELINES
x
x
x
x
x
x
x
Incorporated into IA-3(1).
x
x
x
x
x
x
PAGE D-22
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
CONTROL NAME
Control Enhancement Name
IA-5(1)
AUTHENTICATOR MANAGEMENT | PASSWORD-BASED
AUTHENTICATION
IA-5(2)
ASSURANCE
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
AUTHENTICATOR MANAGEMENT | PKI-BASED AUTHENTICATION
x
x
IA-5(3)
AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED THIRDPARTY REGISTRATION
x
x
IA-5(4)
AUTHENTICATOR MANAGEMENT | AUTOMATED SUPPORT FOR
PASSWORD STRENGTH DETERMINATION
IA-5(5)
AUTHENTICATOR MANAGEMENT | CHANGE AUTHENTICATORS PRIOR
TO DELIVERY
IA-5(6)
AUTHENTICATOR MANAGEMENT | PROTECTION OF AUTHENTICATORS
IA-5(7)
AUTHENTICATOR MANAGEMENT | NO EMBEDDED UNENCRYPTED
STATIC AUTHENTICATORS
IA-5(8)
AUTHENTICATOR MANAGEMENT | MULTIPLE INFORMATION SYSTEM
ACCOUNTS
IA-5(9)
AUTHENTICATOR MANAGEMENT | CROSS-ORGANIZATION
CREDENTIAL MANAGEMENT
IA-5(10)
AUTHENTICATOR MANAGEMENT | DYNAMIC CREDENTIAL
ASSOCIATION
IA-5(11)
AUTHENTICATOR MANAGEMENT | HARDWARE TOKEN-BASED
AUTHENTICATION
x
x
x
IA-5(12)
AUTHENTICATOR MANAGEMENT | BIOMETRIC-BASED
AUTHENTICATION
IA-5(13)
AUTHENTICATOR MANAGEMENT | EXPIRATION OF CACHED
AUTHENTICATORS
IA-5(14)
AUTHENTICATOR MANAGEMENT | MANAGING CONTENT OF PKI TRUST
STORES
IA-5(15)
AUTHENTICATOR MANAGEMENT | FICAM-APPROVED PRODUCTS AND
SERVICES
Authenticator Feedback
x
x
x
IA-7
Cryptographic Module Authentication
x
x
x
IA-8
Identification and Authentication (Non-Organizational
Users)
x
x
x
IA-8(1)
IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL
USERS) | ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
x
x
x
IA-8(2)
IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL
USERS) | ACCEPTANCE OF THIRD-PARTY CREDENTIALS
x
x
x
IA-8(3)
IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL
USERS) | USE OF FICAM-APPROVED PRODUCTS
x
x
x
IA-8(4)
IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL
USERS) | USE OF FICAM-ISSUED PROFILES
x
x
x
IA-8(5)
IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL
USERS) | ACCEPTANCE OF PIV-I CREDENTIALS
IA-6
IA-9
Service Identification and Authentication
IA-9(1)
SERVICE IDENTIFICATION AND AUTHENTICATION | INFORMATION
EXCHANGE
IA-9(2)
SERVICE IDENTIFICATION AND AUTHENTICATION | TRANSMISSION OF
DECISIONS
IA-10
Adaptive Identification and Authentication
IA-11
Re-authentication
APPENDIX D
PAGE D-23
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-10: SUMMARY — INCIDENT RESPONSE CONTROLS
CONTROL BASELINES
LOW
MOD
HIGH
IR-1
Incident Response Policy and Procedures
x
x
x
x
IR-2
Incident Response Training
x
x
x
x
IR-2(1)
INCIDENT RESPONSE TRAINING | SIMULATED EVENTS
x
x
IR-2(2)
INCIDENT RESPONSE TRAINING | AUTOMATED TRAINING
ENVIRONMENTS
x
x
Incident Response Testing
x
IR-3(1)
INCIDENT RESPONSE TESTING | AUTOMATED TESTING
x
IR-3(2)
INCIDENT RESPONSE TESTING | COORDINATION WITH RELATED
PLANS
x
IR-3
IR-4
IR-4(1)
INCIDENT HANDLING | AUTOMATED INCIDENT HANDLING PROCESSES
IR-4(2)
INCIDENT HANDLING | DYNAMIC RECONFIGURATION
IR-4(3)
INCIDENT HANDLING | CONTINUITY OF OPERATIONS
IR-4(4)
INCIDENT HANDLING | INFORMATION CORRELATION
IR-4(5)
INCIDENT HANDLING | AUTOMATIC DISABLING OF INFORMATION
SYSTEM
IR-4(6)
INCIDENT HANDLING | INSIDER THREATS - SPECIFIC CAPABILITIES
IR-4(7)
INCIDENT HANDLING | INSIDER THREATS - INTRA-ORGANIZATION
COORDINATION
IR-4(8)
INCIDENT HANDLING | CORRELATION WITH EXTERNAL
ORGANIZATIONS
IR-4(9)
INCIDENT HANDLING | DYNAMIC RESPONSE CAPABILITY
IR-4(10)
INCIDENT HANDLING | SUPPLY CHAIN COORDINATION
IR-5
IR-5(1)
IR-6
x
INCIDENT MONITORING | AUTOMATED TRACKING / DATA COLLECTION
/ ANALYSIS
x
Incident Reporting
INCIDENT REPORTING | AUTOMATED REPORTING
IR-6(2)
INCIDENT REPORTING | VULNERABILITIES RELATED TO INCIDENTS
IR-6(3)
INCIDENT REPORTING | COORDINATION WITH SUPPLY CHAIN
Incident Response Assistance
IR-7(1)
INCIDENT RESPONSE ASSISTANCE | AUTOMATION SUPPORT FOR
AVAILABILITY OF INFORMATION / SUPPORT
IR-7(2)
INCIDENT RESPONSE ASSISTANCE | COORDINATION WITH EXTERNAL
PROVIDERS
IR-8
Incident Response Plan
IR-9
Information Spillage Response
IR-9(1)
INFORMATION SPILLAGE RESPONSE | RESPONSIBLE PERSONNEL
IR-9(2)
INFORMATION SPILLAGE RESPONSE | TRAINING
IR-9(3)
INFORMATION SPILLAGE RESPONSE | POST-SPILL OPERATIONS
IR-9(4)
INFORMATION SPILLAGE RESPONSE | EXPOSURE TO UNAUTHORIZED
PERSONNEL
IR-10
Integrated Information Security Analysis Team
APPENDIX D
x
x
x
x
x
x
x
x
Incident Monitoring
IR-6(1)
IR-7
x
Incident Handling
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
PAGE D-24
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
MA-1
System Maintenance Policy and Procedures
MA-2
Controlled Maintenance
MA-2(1)
CONTROLLED MAINTENANCE | RECORD CONTENT
MA-2(2)
CONTROLLED MAINTENANCE | AUTOMATED MAINTENANCE ACTIVITIES
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-11: SUMMARY — MAINTENANCE CONTROLS
x
x
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
Incorporated into MA-2.
x
Maintenance Tools
x
x
MA-3(1)
MAINTENANCE TOOLS | INSPECT TOOLS
x
x
MA-3(2)
MAINTENANCE TOOLS | INSPECT MEDIA
x
x
MA-3(3)
MAINTENANCE TOOLS | PREVENT UNAUTHORIZED REMOVAL
MA-3(4)
MAINTENANCE TOOLS | RESTRICTED TOOL USE
MA-3
MA-4
Nonlocal Maintenance
MA-4(1)
NONLOCAL MAINTENANCE | AUDITING AND REVIEW
MA-4(2)
NONLOCAL MAINTENANCE | DOCUMENT NONLOCAL MAINTENANCE
MA-4(3)
NONLOCAL MAINTENANCE | COMPARABLE SECURITY / SANITIZATION
MA-4(4)
NONLOCAL MAINTENANCE | AUTHENTICATION / SEPARATION OF
MAINTENANCE SESSIONS
MA-4(5)
NONLOCAL MAINTENANCE | APPROVALS AND NOTIFICATIONS
MA-4(6)
NONLOCAL MAINTENANCE | CRYPTOGRAPHIC PROTECTION
MA-4(7)
NONLOCAL MAINTENANCE | REMOTE DISCONNECT VERIFICATION
MA-5
Maintenance Personnel
MA-5(1)
MAINTENANCE PERSONNEL | INDIVIDUALS WITHOUT APPROPRIATE
ACCESS
MA-5(2)
MAINTENANCE PERSONNEL | SECURITY CLEARANCES FOR
CLASSIFIED SYSTEMS
MA-5(3)
MAINTENANCE PERSONNEL | CITIZENSHIP REQUIREMENTS FOR
CLASSIFIED SYSTEMS
MA-5(4)
MAINTENANCE PERSONNEL | FOREIGN NATIONALS
MA-5(5)
MAINTENANCE PERSONNEL | NON-SYSTEM-RELATED MAINTENANCE
MA-6
Timely Maintenance
MA-6(1)
TIMELY MAINTENANCE | PREVENTIVE MAINTENANCE
MA-6(2)
TIMELY MAINTENANCE | PREDICTIVE MAINTENANCE
MA-6(3)
TIMELY MAINTENANCE | AUTOMATED SUPPORT FOR PREDICTIVE
MAINTENANCE
APPENDIX D
x
x
x
x
x
x
x
x
x
x
x
x
x
PAGE D-25
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Control Enhancement Name
MP-1
Media Protection Policy and Procedures
MP-2
Media Access
MP-2(1)
MEDIA ACCESS | AUTOMATED RESTRICTED ACCESS
MP-2(2)
MEDIA ACCESS | CRYPTOGRAPHIC PROTECTION
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
TABLE D-12: SUMMARY — MEDIA PROTECTION CONTROLS
x
x
x
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
Incorporated into MP-4(2).
Incorporated into SC-28(1).
Media Marking
x
x
MP-4
Media Storage
x
x
MP-4(1)
MEDIA STORAGE
| CRYPTOGRAPHIC PROTECTION
MP-4(2)
MEDIA STORAGE
| AUTOMATED RESTRICTED ACCESS
MP-3
MP-5
x
Incorporated into SC-28(1).
x
Media Transport
MP-5(1)
MEDIA TRANSPORT | PROTECTION OUTSIDE OF CONTROLLED AREAS
x
Incorporated into MP-5.
MP-5(2)
MEDIA TRANSPORT | DOCUMENTATION OF ACTIVITIES
x
Incorporated into MP-5.
MP-5(3)
MEDIA TRANSPORT | CUSTODIANS
MP-5(4)
MEDIA TRANSPORT | CRYPTOGRAPHIC PROTECTION
MP-6
x
Media Sanitization
x
x
x
x
x
MP-6(1)
MEDIA SANITIZATION | REVIEW / APPROVE / TRACK / DOCUMENT /
VERIFY
x
MP-6(2)
MEDIA SANITIZATION | EQUIPMENT TESTING
x
MP-6(3)
MEDIA SANITIZATION | NONDESTRUCTIVE TECHNIQUES
MP-6(4)
MEDIA SANITIZATION | CONTROLLED UNCLASSIFIED INFORMATION
x
Incorporated into MP-6.
MP-6(5)
MEDIA SANITIZATION | CLASSIFIED INFORMATION
x
Incorporated into MP-6.
MP-6(6)
MEDIA SANITIZATION | MEDIA DESTRUCTION
x
Incorporated into MP-6.
MP-6(7)
MEDIA SANITIZATION | DUAL AUTHORIZATION
MP-6(8)
MEDIA SANITIZATION | REMOTE PURGING / WIPING OF INFORMATION
MP-7
x
Media Use
MP-7(1)
MEDIA USE | PROHIBIT USE WITHOUT OWNER
MP-7(2)
MEDIA USE | PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
MP-8
Media Downgrading
MP-8(1)
MEDIA DOWNGRADING
| DOCUMENTATION OF PROCESS
MP-8(2)
MEDIA DOWNGRADING
| EQUIPMENT TESTING
MP-8(3)
MEDIA DOWNGRADING
| CONTROLLED UNCLASSIFIED INFORMATION
MP-8(4)
MEDIA DOWNGRADING
| CLASSIFIED INFORMATION
APPENDIX D
x
x
x
x
x
PAGE D-26
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Control Enhancement Name
PE-1
Physical and Environmental Protection Policy and
Procedures
PE-2
Physical Access Authorizations
PE-2(1)
PHYSICAL ACCESS AUTHORIZATIONS | ACCESS BY POSITION / ROLE
PE-2(2)
PHYSICAL ACCESS AUTHORIZATIONS | TWO FORMS OF
IDENTIFICATION
PE-2(3)
PHYSICAL ACCESS AUTHORIZATIONS | RESTRICT UNESCORTED
ACCESS
PE-3
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
TABLE D-13: SUMMARY — PHYSICAL AND ENVIRONMENTAL PROTECTION CONTROLS
x
Physical Access Control
PE-3(1)
PHYSICAL ACCESS CONTROL | INFORMATION SYSTEM ACCESS
PE-3(2)
PHYSICAL ACCESS CONTROL | FACILITY / INFORMATION SYSTEM
BOUNDARIES
PE-3(3)
PHYSICAL ACCESS CONTROL | CONTINUOUS GUARDS / ALARMS /
MONITORING
PE-3(4)
PHYSICAL ACCESS CONTROL | LOCKABLE CASINGS
PE-3(5)
PHYSICAL ACCESS CONTROL | TAMPER PROTECTION
PE-3(6)
PHYSICAL ACCESS CONTROL | FACILITY PENETRATION TESTING
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
x
x
x
x
Access Control for Transmission Medium
x
x
PE-5
Access Control for Output Devices
x
x
PE-5(1)
ACCESS CONTROL FOR OUTPUT DEVICES
AUTHORIZED INDIVIDUALS
| ACCESS TO OUTPUT BY
PE-5(2)
ACCESS CONTROL FOR OUTPUT DEVICES
INDIVIDUAL IDENTITY
| ACCESS TO OUTPUT BY
PE-5(3)
ACCESS CONTROL FOR OUTPUT DEVICES
DEVICES
| MARKING OUTPUT
x
x
x
x
PE-4
Monitoring Physical Access
x
PE-6(1)
MONITORING PHYSICAL ACCESS | INTRUSION ALARMS /
SURVEILLANCE EQUIPMENT
x
PE-6(2)
MONITORING PHYSICAL ACCESS | AUTOMATED INTRUSION
RECOGNITION / RESPONSES
x
PE-6(3)
MONITORING PHYSICAL ACCESS | VIDEO SURVEILLANCE
x
PE-6(4)
MONITORING PHYSICAL ACCESS | MONITORING PHYSICAL ACCESS TO
INFORMATION SYSTEMS
x
PE-6
x
PE-7
Visitor Control
PE-8
Visitor Access Records
PE-8(1)
VISITOR ACCESS RECORDS | AUTOMATED RECORDS MAINTENANCE /
REVIEW
PE-8(2)
VISITOR ACCESS RECORDS | PHYSICAL ACCESS RECORDS
PE-9
POWER EQUIPMENT AND CABLING | REDUNDANT CABLING
PE-9(2)
POWER EQUIPMENT AND CABLING | AUTOMATIC VOLTAGE CONTROLS
PE-10
Emergency Shutoff
PE-10(1)
PE-11
EMERGENCY SHUTOFF | ACCIDENTAL / UNAUTHORIZED ACTIVATION
x
x
EMERGENCY POWER | LONG-TERM ALTERNATE POWER SUPPLY MINIMAL OPERATIONAL CAPABILITY
PE-11(2)
EMERGENCY POWER
SELF-CONTAINED
x
x
x
x
Incorporated into PE-2.
x
x
x
x
Incorporated into PE-10.
x
Emergency Power
PE-11(1)
APPENDIX D
x
Incorporated into PE-2 and PE-3.
x
Power Equipment and Cabling
PE-9(1)
x
x
x
| LONG-TERM ALTERNATE POWER SUPPLY -
PAGE D-27
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
Control Enhancement Name
PE-12
Emergency Lighting
PE-12(1)
EMERGENCY LIGHTING
FUNCTIONS
PE-13
Fire Protection
FIRE PROTECTION | DETECTION DEVICES / SYSTEMS
PE-13(2)
FIRE PROTECTION | SUPPRESSION DEVICES / SYSTEMS
PE-13(3)
FIRE PROTECTION | AUTOMATIC FIRE SUPPRESSION
PE-13(4)
FIRE PROTECTION | INSPECTIONS
Temperature and Humidity Controls
PE-14(1)
TEMPERATURE AND HUMIDITY CONTROLS | AUTOMATIC CONTROLS
PE-14(2)
TEMPERATURE AND HUMIDITY CONTROLS | MONITORING WITH
ALARMS / NOTIFICATIONS
PE-15
PE-15(1)
Water Damage Protection
Delivery and Removal
PE-17
Alternate Work Site
PE-18
Location of Information System Components
PE-19
PE-19(1)
PE-20
APPENDIX D
LOW
MOD
HIGH
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
x
WATER DAMAGE PROTECTION | AUTOMATION SUPPORT
PE-16
PE-18(1)
CONTROL BASELINES
| ESSENTIAL MISSIONS / BUSINESS
PE-13(1)
PE-14
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
x
LOCATION OF INFORMATION SYSTEM COMPONENTS | FACILITY SITE
Information Leakage
INFORMATION LEAKAGE | NATIONAL EMISSIONS / TEMPEST POLICIES
AND PROCEDURES
Asset Monitoring and Tracking
PAGE D-28
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-14: SUMMARY — PLANNING CONTROLS
CONTROL BASELINES
LOW
MOD
HIGH
PL-1
Security Planning Policy and Procedures
x
x
x
x
PL-2
System Security Plan
x
x
x
x
PL-2(1)
SYSTEM SECURITY PLAN | CONCEPT OF OPERATIONS
x
Incorporated into PL-7.
PL-2(2)
SYSTEM SECURITY PLAN | FUNCTIONAL ARCHITECTURE
x
Incorporated into PL-8.
PL-2(3)
SYSTEM SECURITY PLAN | PLAN / COORDINATE WITH OTHER
ORGANIZATIONAL ENTITIES
x
x
PL-3
System Security Plan Update
PL-4
Rules of Behavior
x
RULES OF BEHAVIOR | SOCIAL MEDIA AND NETWORKING
RESTRICTIONS
x
PL-4(1)
x
x
Incorporated into PL-2.
x
x
x
x
x
PL-5
Privacy Impact Assessment
x
Incorporated into Appendix J, AR-2.
PL-6
Security-Related Activity Planning
x
Incorporated into PL-2.
PL-7
Security Concept of Operations
PL-8
Information Security Architecture
x
PL-8(1)
INFORMATION SECURITY ARCHITECTURE | DEFENSE-IN-DEPTH
x
PL-8(2)
INFORMATION SECURITY ARCHITECTURE | SUPPLIER DIVERSITY
x
Central Management
x
PL-9
APPENDIX D
x
x
PAGE D-29
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-15: SUMMARY — PERSONNEL SECURITY CONTROLS
LOW
MOD
HIGH
PS-1
Personnel Security Policy and Procedures
x
x
x
PS-2
Position Risk Designation
x
x
x
PS-3
Personnel Screening
x
x
x
x
x
x
x
x
x
x
x
x
PS-3(1)
PERSONNEL SCREENING | CLASSIFIED INFORMATION
PS-3(2)
PERSONNEL SCREENING | FORMAL INDOCTRINATION
PS-3(3)
PERSONNEL SCREENING | INFORMATION WITH SPECIAL PROTECTION
MEASURES
PS-4
x
CONTROL BASELINES
Personnel Termination
PS-4(1)
PERSONNEL TERMINATION | POST-EMPLOYMENT REQUIREMENTS
PS-4(2)
PERSONNEL TERMINATION | AUTOMATED NOTIFICATION
PS-5
Personnel Transfer
PS-6
Access Agreements
x
x
x
PS-6(1)
ACCESS AGREEMENTS | INFORMATION REQUIRING SPECIAL
PROTECTION
Incorporated into PS-3.
PS-6(2)
ACCESS AGREEMENTS | CLASSIFIED INFORMATION REQUIRING
SPECIAL PROTECTION
x
PS-6(3)
ACCESS AGREEMENTS | POST-EMPLOYMENT REQUIREMENTS
x
PS-7
Third-Party Personnel Security
x
PS-8
Personnel Sanctions
APPENDIX D
x
x
x
x
x
x
PAGE D-30
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
RA-1
Risk Assessment Policy and Procedures
RA-2
Security Categorization
RA-3
Risk Assessment
RA-4
Risk Assessment Update
RA-5
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-16: SUMMARY — RISK ASSESSMENT CONTROLS
x
x
x
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
x
x
x
Incorporated into RA-3.
Vulnerability Scanning
x
x
x
RA-5(1)
VULNERABILITY SCANNING | UPDATE TOOL CAPABILITY
x
x
x
RA-5(2)
VULNERABILITY SCANNING | UPDATE BY FREQUENCY / PRIOR TO NEW
SCAN / WHEN IDENTIFIED
x
x
x
RA-5(3)
VULNERABILITY SCANNING | BREADTH / DEPTH OF COVERAGE
x
RA-5(4)
VULNERABILITY SCANNING | DISCOVERABLE INFORMATION
x
RA-5(5)
VULNERABILITY SCANNING | PRIVILEGED ACCESS
x
RA-5(6)
VULNERABILITY SCANNING | AUTOMATED TREND ANALYSES
RA-5(7)
VULNERABILITY SCANNING | AUTOMATED DETECTION AND
NOTIFICATION OF UNAUTHORIZED COMPONENTS
RA-5(8)
VULNERABILITY SCANNING | REVIEW HISTORIC AUDIT LOGS
RA-5(9)
RA-5(10)
RA-6
APPENDIX D
VULNERABILITY SCANNING | PENETRATION TESTING AND ANALYSES
x
x
x
x
x
x
Incorporated into CM-8.
x
Incorporated into CA-8.
x
VULNERABILITY SCANNING | CORRELATE SCANNING INFORMATION
x
Technical Surveillance Countermeasures Survey
x
PAGE D-31
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-17: SUMMARY — SYSTEM AND SERVICES ACQUISITION CONTROLS
CONTROL BASELINES
LOW
MOD
HIGH
SA-1
System and Services Acquisition Policy and Procedures
x
x
x
x
SA-2
Allocation of Resources
x
x
x
x
SA-3
System Development Life Cycle
x
x
x
x
SA-4
Acquisition Process
x
x
x
x
SA-4(1)
ACQUISITION PROCESS | FUNCTIONAL PROPERTIES OF SECURITY
CONTROLS
x
x
x
SA-4(2)
ACQUISITION PROCESS | DESIGN / IMPLEMENTATION INFORMATION
FOR SECURITY CONTROLS
x
x
x
SA-4(3)
ACQUISITION PROCESS | DEVELOPMENT METHODS / TECHNIQUES /
PRACTICES
x
SA-4(4)
ACQUISITION PROCESS | ASSIGNMENT OF COMPONENTS TO
SYSTEMS
SA-4(5)
ACQUISITION PROCESS | SYSTEM / COMPONENT / SERVICE
CONFIGURATIONS
x
SA-4(6)
ACQUISITION PROCESS | USE OF INFORMATION ASSURANCE
PRODUCTS
x
SA-4(7)
ACQUISITION PROCESS | NIAP-APPROVED PROTECTION PROFILES
x
SA-4(8)
ACQUISITION PROCESS | CONTINUOUS MONITORING PLAN
x
SA-4(9)
ACQUISITION PROCESS | FUNCTIONS / PORTS / PROTOCOLS /
SERVICES IN USE
x
SA-4(10)
ACQUISITION PROCESS | USE OF APPROVED PIV PRODUCTS
x
Information System Documentation
x
SA-5
x
Incorporated into CM-8(9).
x
x
x
x
x
x
x
x
SA-5(1)
INFORMATION SYSTEM DOCUMENTATION | FUNCTIONAL PROPERTIES
OF SECURITY CONTROLS
x
Incorporated into SA-4(1).
SA-5(2)
INFORMATION SYSTEM DOCUMENTATION | SECURITY-RELEVANT
EXTERNAL SYSTEM INTERFACES
x
Incorporated into SA-4(2).
SA-5(3)
INFORMATION SYSTEM DOCUMENTATION | HIGH-LEVEL DESIGN
x
Incorporated into SA-4(2).
SA-5(4)
INFORMATION SYSTEM DOCUMENTATION | LOW-LEVEL DESIGN
x
Incorporated into SA-4(2).
SA-5(5)
INFORMATION SYSTEM DOCUMENTATION | SOURCE CODE
x
Incorporated into SA-4(2).
SA-6
Software Usage Restrictions
x
Incorporated into CM-10 and SI-7.
SA-7
User-Installed Software
x
Incorporated into CM-11 and SI-7.
SA-8
Security Engineering Principles
x
SA-9
External Information System Services
x
SA-9(1)
EXTERNAL INFORMATION SYSTEMS | RISK ASSESSMENTS /
ORGANIZATIONAL APPROVALS
x
SA-9(2)
EXTERNAL INFORMATION SYSTEMS | IDENTIFICATION OF FUNCTIONS /
PORTS / PROTOCOLS / SERVICES
x
SA-9(3)
EXTERNAL INFORMATION SYSTEMS | ESTABLISH / MAINTAIN TRUST
RELATIONSHIP WITH PROVIDERS
x
SA-9(4)
EXTERNAL INFORMATION SYSTEMS | CONSISTENT INTERESTS OF
CONSUMERS AND PROVIDERS
x
SA-9(5)
EXTERNAL INFORMATION SYSTEMS | PROCESSING, STORAGE, AND
SERVICE LOCATION
x
SA-10
Developer Configuration Management
x
SA-10(1)
DEVELOPER CONFIGURATION MANAGEMENT | SOFTWARE /
FIRMWARE INTEGRITY VERIFICATION
x
SA-10(2)
DEVELOPER CONFIGURATION MANAGEMENT | ALTERNATIVE
CONFIGURATION MANAGEMENT PROCESSES
x
APPENDIX D
x
x
x
x
x
x
x
x
x
PAGE D-32
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and Organizations
Control Enhancement Name
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
x
x
SA-10(3)
DEVELOPER CONFIGURATION MANAGEMENT | HARDWARE INTEGRITY
VERIFICATION
x
SA-10(4)
DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED GENERATION
x
SA-10(5)
DEVELOPER CONFIGURATION MANAGEMENT | MAPPING INTEGRITY
FOR VERSION CONTROL
x
SA-10(6)
DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED
DISTRIBUTION
x
Developer Security Testing and Evaluation
x
SA-11(1)
DEVELOPER SECURITY TESTING AND EVALUATION | STATIC CODE
ANALYSIS
x
SA-11(2)
DEVELOPER SECURITY TESTING AND EVALUATION | THREAT AND
VULNERABILITY ANALYSES
x
SA-11(3)
DEVELOPER SECURITY TESTING AND EVALUATION | INDEPENDENT
VERIFICATION OF ASSESSMENT PLANS / EVIDENCE
x
SA-11(4)
DEVELOPER SECURITY TESTING AND EVALUATION | MANUAL CODE
REVIEWS
x
SA-11(5)
DEVELOPER SECURITY TESTING AND EVALUATION | PENETRATION
TESTING
x
SA-11(6)
DEVELOPER SECURITY TESTING AND EVALUATION | ATTACK SURFACE
REVIEWS
x
SA-11(7)
DEVELOPER SECURITY TESTING AND EVALUATION | VERIFY SCOPE
OF TESTING / EVALUATION
x
SA-11(8)
DEVELOPER SECURITY TESTING AND EVALUATION | DYNAMIC CODE
ANALYSIS
x
Supply Chain Protection
x
SA-12(1)
SUPPLY CHAIN PROTECTION | ACQUISITION STRATEGIES / TOOLS /
METHODS
x
SA-12(2)
SUPPLY CHAIN PROTECTION | SUPPLIER REVIEWS
SA-12(3)
SUPPLY CHAIN PROTECTION | TRUSTED SHIPPING AND
WAREHOUSING
x
Incorporated into SA-12(1).
SA-12(4)
SUPPLY CHAIN PROTECTION | DIVERSITY OF SUPPLIERS
x
Incorporated into SA-12(13).
SA-12(5)
SUPPLY CHAIN PROTECTION | LIMITATION OF HARM
SA-12(6)
SUPPLY CHAIN PROTECTION | MINIMIZING PROCUREMENT TIME
x
Incorporated into SA-12(1).
SA-12(7)
SUPPLY CHAIN PROTECTION | ASSESSMENTS PRIOR TO SELECTION /
ACCEPTANCE / UPDATE
x
SA-12(8)
SUPPLY CHAIN PROTECTION | USE OF ALL-SOURCE INTELLIGENCE
x
SA-12(9)
SUPPLY CHAIN PROTECTION | OPERATIONS SECURITY
x
SA-12(10)
SUPPLY CHAIN PROTECTION | VALIDATE AS GENUINE AND NOT
ALTERED
x
SA-12(11)
SUPPLY CHAIN PROTECTION | PENETRATION TESTING / ANALYSIS OF
ELEMENTS, PROCESSES, AND ACTORS
x
SA-12(12)
SUPPLY CHAIN PROTECTION | INTER-ORGANIZATIONAL AGREEMENTS
x
SA-12(13)
SUPPLY CHAIN PROTECTION | CRITICAL INFORMATION SYSTEM
COMPONENTS
x
SA-12(14)
SUPPLY CHAIN PROTECTION | IDENTITY AND TRACEABILITY
x
SA-12(15)
SUPPLY CHAIN PROTECTION | PROCESSES TO ADDRESS
WEAKNESSES OR DEFICIENCIES
x
SA-13
Trustworthiness
x
SA-14
Criticality Analysis
x
SA-11
SA-12
SA-14(1)
APPENDIX D
CRITICALITY ANALYSIS | CRITICAL COMPONENTS WITH NO VIABLE
ALTERNATIVE SOURCING
x
x
x
x
Incorporated into SA-20.
PAGE D-33
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
Development Process, Standards, and Tools
x
SA-15(1)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | QUALITY
METRICS
x
SA-15(2)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | SECURITY
TRACKING TOOLS
x
SA-15(3)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CRITICALITY
ANALYSIS
x
SA-15(4)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | THREAT
MODELING / VULNERABILITY ANALYSIS
x
SA-15(5)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ATTACK
SURFACE REDUCTION
x
SA-15(6)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CONTINUOUS
IMPROVEMENT
x
SA-15(7)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | AUTOMATED
VULNERABILITY ANALYSIS
x
SA-15(8)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | REUSE OF
THREAT / VULNERABILITY INFORMATION
x
SA-15(9)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | USE OF LIVE
DATA
x
SA-15(10)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | INCIDENT
RESPONSE PLAN
x
SA-15(11)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ARCHIVE
INFORMATION SYSTEM / COMPONENT
x
Developer-Provided Training
x
x
Developer Security Architecture and Design
x
x
SA-17(1)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL
POLICY MODEL
x
SA-17(2)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | SECURITYRELEVANT COMPONENTS
x
SA-17(3)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL
CORRESPONDENCE
x
SA-17(4)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | INFORMAL
CORRESPONDENCE
x
SA-17(5)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN |
CONCEPTUALLY SIMPLE DESIGN
x
SA-17(6)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE
FOR TESTING
x
SA-17(7)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE
FOR LEAST PRIVILEGE
x
SA-15
SA-16
SA-17
Tamper Resistance and Detection
x
SA-18(1)
TAMPER RESISTANCE AND DETECTION | MULTIPLE PHASES OF SDLC
x
SA-18(2)
TAMPER RESISTANCE AND DETECTION | INSPECTION OF
INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
x
SA-18
Component Authenticity
x
SA-19(1)
COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT TRAINING
x
SA-19(2)
COMPONENT AUTHENTICITY | CONFIGURATION CONTROL FOR
COMPONENT SERVICE / REPAIR
x
SA-19(3)
COMPONENT AUTHENTICITY | COMPONENT DISPOSAL
x
SA-19(4)
SA-19
COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT SCANNING
x
SA-20
Customized Development of Critical Components
x
SA-21
Developer Screening
x
APPENDIX D
x
PAGE D-34
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
SA-21(1)
SA-22
SA-22(1)
APPENDIX D
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
DEVELOPER SCREENING | VALIDATION OF SCREENING
x
Unsupported System Components
x
UNSUPPORTED SYSTEM COMPONENTS | ALTERNATIVE SOURCES FOR
CONTINUED SUPPORT
x
CONTROL BASELINES
LOW
MOD
HIGH
PAGE D-35
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-18: SUMMARY — SYSTEM AND COMMUNICATIONS PROTECTION CONTROLS
SC-1
System and Communications Protection Policy and
Procedures
x
SC-2
Application Partitioning
x
APPLICATION PARTITIONING | INTERFACES FOR NON-PRIVILEGED
USERS
x
SC-2(1)
Security Function Isolation
x
SC-3(1)
SECURITY FUNCTION ISOLATION | HARDWARE SEPARATION
x
SC-3(2)
SECURITY FUNCTION ISOLATION | ACCESS / FLOW CONTROL
FUNCTIONS
x
SC-3(3)
SECURITY FUNCTION ISOLATION | MINIMIZE NONSECURITY
FUNCTIONALITY
x
SC-3(4)
SECURITY FUNCTION ISOLATION | MODULE COUPLING AND
COHESIVENESS
x
SC-3(5)
SECURITY FUNCTION ISOLATION | LAYERED STRUCTURES
x
SC-3
SC-4
LOW
MOD
HIGH
x
x
x
x
x
x
x
Information in Shared Resources
SC-4(1)
INFORMATION IN SHARED RESOURCES | SECURITY LEVELS
SC-4(2)
INFORMATION IN SHARED RESOURCES | PERIODS PROCESSING
SC-5
CONTROL BASELINES
x
Denial of Service Protection
SC-5(1)
DENIAL OF SERVICE PROTECTION | RESTRICT INTERNAL USERS
SC-5(2)
DENIAL OF SERVICE PROTECTION | EXCESS CAPACITY / BANDWIDTH /
REDUNDANCY
SC-5(3)
DENIAL OF SERVICE PROTECTION | DETECTION / MONITORING
SC-6
Resource Availability
SC-7
Boundary Protection
x
Incorporated into SC-4.
x
x
x
x
x
x
x
SC-7(1)
BOUNDARY PROTECTION | PHYSICALLY SEPARATED SUBNETWORKS
x
SC-7(2)
BOUNDARY PROTECTION | PUBLIC ACCESS
x
SC-7(3)
BOUNDARY PROTECTION | ACCESS POINTS
x
x
SC-7(4)
BOUNDARY PROTECTION | EXTERNAL TELECOMMUNICATIONS
SERVICES
x
x
SC-7(5)
BOUNDARY PROTECTION | DENY BY DEFAULT / ALLOW BY EXCEPTION
x
x
SC-7(6)
BOUNDARY PROTECTION | RESPONSE TO RECOGNIZED FAILURES
SC-7(7)
BOUNDARY PROTECTION | PREVENT SPLIT TUNNELING FOR REMOTE
DEVICES
SC-7(8)
BOUNDARY PROTECTION | ROUTE TRAFFIC TO AUTHENTICATED
PROXY SERVERS
SC-7(9)
BOUNDARY PROTECTION | RESTRICT THREATENING OUTGOING
COMMUNICATIONS TRAFFIC
SC-7(10)
BOUNDARY PROTECTION | PREVENT UNAUTHORIZED EXFILTRATION
SC-7(11)
BOUNDARY PROTECTION | RESTRICT INCOMING COMMUNICATIONS
TRAFFIC
SC-7(12)
BOUNDARY PROTECTION | HOST-BASED PROTECTION
SC-7(13)
BOUNDARY PROTECTION | ISOLATION OF SECURITY TOOLS /
MECHANISMS / SUPPORT COMPONENTS
SC-7(14)
BOUNDARY PROTECTION | PROTECTS AGAINST UNAUTHORIZED
PHYSICAL CONNECTIONS
SC-7(15)
BOUNDARY PROTECTION | ROUTE PRIVILEGED NETWORK ACCESSES
SC-7(16)
BOUNDARY PROTECTION | PREVENT DISCOVERY OF COMPONENTS /
DEVICES
APPENDIX D
x
Incorporated into SC-7.
Incorporated into SC-7.
Incorporated into SC-7(18).
x
x
x
PAGE D-36
Special Publication 800-53 Revision 4
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and Organizations
Control Enhancement Name
SC-7(17)
BOUNDARY PROTECTION | AUTOMATED ENFORCEMENT OF
PROTOCOL FORMATS
SC-7(18)
BOUNDARY PROTECTION | FAIL SECURE
SC-7(19)
BOUNDARY PROTECTION | BLOCKS COMMUNICATION FROM NONORGANIZATIONALLY CONFIGURED HOSTS
SC-7(20)
BOUNDARY PROTECTION | DYNAMIC ISOLATION / SEGREGATION
SC-7(21)
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
x
x
BOUNDARY PROTECTION | ISOLATION OF INFORMATION SYSTEM
COMPONENTS
x
x
SC-7(22)
BOUNDARY PROTECTION | SEPARATE SUBNETS FOR CONNECTING TO
DIFFERENT SECURITY DOMAINS
x
SC-7(23)
BOUNDARY PROTECTION | DISABLE SENDER FEEDBACK ON
PROTOCOL VALIDATION FAILURE
Transmission Confidentiality and Integrity
x
x
SC-8(1)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CRYPTOGRAPHIC
OR ALTERNATE PHYSICAL PROTECTION
x
x
SC-8(2)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | PRE / POST
TRANSMISSION HANDLING
SC-8(3)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CRYPTOGRAPHIC
PROTECTION FOR MESSAGE EXTERNALS
SC-8(4)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CONCEAL /
RANDOMIZE COMMUNICATIONS
SC-8
SC-9
Transmission Confidentiality
SC-10
Network Disconnect
SC-11
Trusted Path
SC-11(1)
TRUSTED PATH
x
Incorporated into SC-8.
x
x
x
x
x
x
| LOGICAL ISOLATION
x
SC-12
Cryptographic Key Establishment and Management
SC-12(1)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |
AVAILABILITY
SC-12(2)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |
SYMMETRIC KEYS
SC-12(3)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT |
ASYMMETRIC KEYS
SC-12(4)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | PKI
CERTIFICATES
x
Incorporated into SC-12.
SC-12(5)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | PKI
CERTIFICATES / HARDWARE TOKENS
x
Incorporated into SC-12.
SC-13
x
x
Cryptographic Protection
x
SC-13(1)
CRYPTOGRAPHIC PROTECTION | FIPS-VALIDATED CRYPTOGRAPHY
x
Incorporated into SC-13.
SC-13(2)
CRYPTOGRAPHIC PROTECTION | NSA-APPROVED CRYPTOGRAPHY
x
Incorporated into SC-13.
SC-13(3)
CRYPTOGRAPHIC PROTECTION | INDIVIDUALS WITHOUT FORMAL
ACCESS APPROVALS
x
Incorporated into SC-13.
SC-13(4)
x
CRYPTOGRAPHIC PROTECTION | DIGITAL SIGNATURES
x
Incorporated into SC-13.
SC-14
Public Access Protections
x
Capability provided by AC-2, AC-3,
AC-5, SI-3, SI-4, SI-5, SI-7, SI-10.
SC-15
Collaborative Computing Devices
SC-15(1)
COLLABORATIVE COMPUTING DEVICES | PHYSICAL DISCONNECT
SC-15(2)
COLLABORATIVE COMPUTING DEVICES | BLOCKING INBOUND /
OUTBOUND COMMUNICATIONS TRAFFIC
SC-15(3)
COLLABORATIVE COMPUTING DEVICES | DISABLING / REMOVAL IN
SECURE WORK AREAS
APPENDIX D
x
x
x
x
Incorporated into SC-7.
PAGE D-37
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and Organizations
SC-15(4)
SC-16
SC-16(1)
Control Enhancement Name
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
COLLABORATIVE COMPUTING DEVICES | EXPLICITLY INDICATE
CURRENT PARTICIPANTS
Transmission of Security Attributes
TRANSMISSION OF SECURITY ATTRIBUTES | INTEGRITY VALIDATION
SC-17
Public Key Infrastructure Certificates
x
x
SC-18
Mobile Code
x
x
x
x
x
x
SC-18(1)
MOBILE CODE | IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE
ACTIONS
SC-18(2)
MOBILE CODE | ACQUISITION / DEVELOPMENT / USE
SC-18(3)
MOBILE CODE | PREVENT DOWNLOADING / EXECUTION
SC-18(4)
MOBILE CODE | PREVENT AUTOMATIC EXECUTION
SC-18(5)
MOBILE CODE | ALLOW EXECUTION ONLY IN CONFINED
ENVIRONMENTS
SC-19
Voice Over Internet Protocol
SC-20
Secure Name /Address Resolution Service
(Authoritative Source)
SC-20(1)
SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE
SOURCE) | CHILD SUBSPACES
SC-20(2)
SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE
SOURCE) | DATA ORIGIN / INTEGRITY
SC-21
SC-21(1)
SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR
CACHING RESOLVER) | DATA ORIGIN / INTEGRITY
Architecture and Provisioning for
Name/Address Resolution Service
SC-23
Session Authenticity
SESSION AUTHENTICITY | INVALIDATE SESSION IDENTIFIERS AT
LOGOUT
SC-23(2)
SESSION AUTHENTICITY | USER-INITIATED LOGOUTS / MESSAGE
DISPLAYS
SC-23(3)
SESSION AUTHENTICITY | UNIQUE SESSION IDENTIFIERS WITH
RANDOMIZATION
SC-23(4)
SESSION AUTHENTICITY | UNIQUE SESSION IDENTIFIERS WITH
RANDOMIZATION
SC-23(5)
SESSION AUTHENTICITY | ALLOWED CERTIFICATE AUTHORITIES
SC-24
Fail in Known State
SC-25
Thin Nodes
SC-26
Honeypots
Platform-Independent Applications
SC-28
Protection of Information at Rest
PROTECTION OF INFORMATION AT REST | CRYPTOGRAPHIC
PROTECTION
SC-28(2)
PROTECTION OF INFORMATION AT REST
SC-30(1)
APPENDIX D
x
x
x
x
x
x
x
Incorporated into AC-12(1).
x
Incorporated into SC-23(3).
x
x
Incorporated into SC-21.
x
Incorporated into SC-35.
x
SC-28(1)
SC-30
x
x
HONEYPOTS | DETECTION OF MALICIOUS CODE
SC-27
SC-29(1)
Incorporated into SC-20.
x
SC-23(1)
SC-29
x
Secure Name /Address Resolution Service
(Recursive or Caching Resolver)
SC-22
SC-26(1)
x
x
| OFF-LINE STORAGE
Heterogeneity
x
HETEROGENEITY | VIRTUALIZATION TECHNIQUES
x
x
Concealment and Misdirection
CONCEALMENT AND MISDIRECTION | VIRTUALIZATION TECHNIQUES
x
Incorporated into SC-29(1).
PAGE D-38
Special Publication 800-53 Revision 4
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and Organizations
Control Enhancement Name
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
SC-30(2)
CONCEALMENT AND MISDIRECTION | RANDOMNESS
x
SC-30(3)
CONCEALMENT AND MISDIRECTION | CHANGE PROCESSING /
STORAGE LOCATIONS
x
SC-30(4)
CONCEALMENT AND MISDIRECTION | MISLEADING INFORMATION
x
SC-30(5)
CONCEALMENT AND MISDIRECTION | CONCEALMENT OF SYSTEM
COMPONENTS
x
Covert Channel Analysis
x
SC-31(1)
COVERT CHANNEL ANALYSIS | TEST COVERT CHANNELS FOR
EXPLOITABILITY
x
SC-31(2)
COVERT CHANNEL ANALYSIS | MAXIMUM BANDWIDTH
x
SC-31(3)
COVERT CHANNEL ANALYSIS | MEASURE BANDWIDTH IN
OPERATIONAL ENVIRONMENTS
x
SC-31
SC-32
x
Transmission Preparation Integrity
SC-34
Non-Modifiable Executable Programs
x
SC-34(1)
NON-MODIFIABLE EXECUTABLE PROGRAMS | NO WRITABLE STORAGE
x
SC-34(2)
NON-MODIFIABLE EXECUTABLE PROGRAMS | INTEGRITY PROTECTION
/ READ-ONLY MEDIA
x
SC-34(3)
NON-MODIFIABLE EXECUTABLE PROGRAMS | HARDWARE-BASED
PROTECTION
x
Honeyclients
SC-36
Distributed Processing and Storage
x
DISTRIBUTED PROCESSING AND STORAGE | POLLING TECHNIQUES
x
Out-of-Band Channels
x
OUT-OF-BAND CHANNELS | ENSURE DELIVERY / TRANSMISSION
x
SC-38
Operations Security
x
SC-39
Process Isolation
x
SC-39(1)
PROCESS ISOLATION | HARDWARE SEPARATION
x
SC-39(2)
PROCESS ISOLATION | THREAD ISOLATION
x
SC-37(1)
SC-40
HIGH
x
x
x
Wireless Link Protection
SC-40(1)
WIRELESS LINK PROTECTION | ELECTROMAGNETIC INTERFERENCE
SC-40(2)
WIRELESS LINK PROTECTION | REDUCE DETECTION POTENTIAL
SC-40(3)
WIRELESS LINK PROTECTION | IMITATIVE OR MANIPULATIVE
COMMUNICATIONS DECEPTION
SC-40(4)
WIRELESS LINK PROTECTION | SIGNAL PARAMETER IDENTIFICATION
SC-41
Port and I/O Device Access
SC-42
Sensor Capability and Data
SC-42(1)
SENSOR CAPABILITY AND DATA | REPORTING TO AUTHORIZED
INDIVIDUALS OR ROLES
SC-42(2)
SENSOR CAPABILITY AND DATA | AUTHORIZED USE
SC-42(3)
SENSOR CAPABILITY AND DATA | PROHIBIT USE OF DEVICES
SC-43
Usage Restrictions
SC-44
Detonation Chambers
APPENDIX D
MOD
Incorporated into SC-8.
SC-35
SC-37
LOW
x
Information System Partitioning
SC-33
SC-36(1)
CONTROL BASELINES
PAGE D-39
Special Publication 800-53 Revision 4
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and Organizations
________________________________________________________________________________________________
CONTROL NAME
Control Enhancement Name
SI-1
System and Information Integrity Policy and Procedures
SI-2
Flaw Remediation
SI-2(1)
FLAW REMEDIATION | CENTRAL MANAGEMENT
SI-2(2)
FLAW REMEDIATION | AUTOMATED FLAW REMEDIATION STATUS
SI-2(3)
FLAW REMEDIATION | TIME TO REMEDIATE FLAWS / BENCHMARKS
FOR CORRECTIVE ACTIONS
SI-2(4)
FLAW REMEDIATION | AUTOMATED PATCH MANAGEMENT TOOLS
SI-2(5)
FLAW REMEDIATION | AUTOMATIC SOFTWARE / FIRMWARE UPDATES
SI-2(6)
FLAW REMEDIATION | REMOVAL OF PREVIOUS VERSIONS OF
SOFTWARE / FIRMWARE
ASSURANCE
CNTL
NO.
WITHDRAWN
TABLE D-19: SUMMARY — SYSTEM AND INFORMATION INTEGRITY CONTROLS
x
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
x
x
x
x
x
x
x
Incorporated into SI-2.
x
x
SI-3(1)
MALICIOUS CODE PROTECTION | CENTRAL MANAGEMENT
x
x
SI-3(2)
MALICIOUS CODE PROTECTION | AUTOMATIC UPDATES
x
x
SI-3(3)
MALICIOUS CODE PROTECTION | NON-PRIVILEGED USERS
SI-3(4)
MALICIOUS CODE PROTECTION | UPDATES ONLY BY PRIVILEGED
USERS
SI-3(5)
MALICIOUS CODE PROTECTION | PORTABLE STORAGE DEVICES
SI-3(6)
MALICIOUS CODE PROTECTION | TESTING / VERIFICATION
SI-3(7)
MALICIOUS CODE PROTECTION | NONSIGNATURE-BASED DETECTION
SI-3(8)
MALICIOUS CODE PROTECTION | DETECT UNAUTHORIZED COMMANDS
SI-3(9)
MALICIOUS CODE PROTECTION | AUTHENTICATE REMOTE COMMANDS
SI-3
SI-3(10)
x
Malicious Code Protection
x
Incorporated into AC-6(10).
x
Incorporated into MP-7.
MALICIOUS CODE PROTECTION | MALICIOUS CODE ANALYSIS
Information System Monitoring
x
SI-4(1)
INFORMATION SYSTEM MONITORING | SYSTEM-WIDE INTRUSION
DETECTION SYSTEM
x
SI-4(2)
INFORMATION SYSTEM MONITORING | AUTOMATED TOOLS FOR REALTIME ANALYSIS
x
SI-4(3)
INFORMATION SYSTEM MONITORING | AUTOMATED TOOL
INTEGRATION
x
SI-4(4)
INFORMATION SYSTEM MONITORING | INBOUND AND OUTBOUND
COMMUNICATIONS TRAFFIC
SI-4(5)
INFORMATION SYSTEM MONITORING | SYSTEM-GENERATED ALERTS
SI-4(6)
INFORMATION SYSTEM MONITORING | RESTRICT NON-PRIVILEGED
USERS
SI-4(7)
INFORMATION SYSTEM MONITORING | AUTOMATED RESPONSE TO
SUSPICIOUS EVENTS
SI-4(8)
INFORMATION SYSTEM MONITORING | PROTECTION OF MONITORING
INFORMATION
SI-4(9)
INFORMATION SYSTEM MONITORING | TESTING OF MONITORING
TOOLS
x
SI-4(10)
INFORMATION SYSTEM MONITORING | VISIBILITY OF ENCRYPTED
COMMUNICATIONS
x
SI-4(11)
INFORMATION SYSTEM MONITORING | ANALYZE COMMUNICATIONS
TRAFFIC ANOMALIES
x
SI-4(12)
INFORMATION SYSTEM MONITORING | AUTOMATED ALERTS
x
SI-4(13)
INFORMATION SYSTEM MONITORING | ANALYZE TRAFFIC / EVENT
PATTERNS
x
SI-4(14)
INFORMATION SYSTEM MONITORING | WIRELESS INTRUSION
DETECTION
x
SI-4
APPENDIX D
x
x
x
x
x
x
x
x
x
x
x
x
Incorporated into AC-6(10).
x
x
Incorporated into SI-4.
PAGE D-40
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
CONTROL NAME
Control Enhancement Name
ASSURANCE
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
CONTROL BASELINES
LOW
MOD
HIGH
x
x
x
SI-4(15)
INFORMATION SYSTEM MONITORING | WIRELESS TO WIRELINE
COMMUNICATIONS
x
SI-4(16)
INFORMATION SYSTEM MONITORING | CORRELATE MONITORING
INFORMATION
x
SI-4(17)
INFORMATION SYSTEM MONITORING | INTEGRATED SITUATIONAL
AWARENESS
x
SI-4(18)
INFORMATION SYSTEM MONITORING | ANALYZE TRAFFIC / COVERT
EXFILTRATION
x
SI-4(19)
INFORMATION SYSTEM MONITORING | INDIVIDUALS POSING GREATER
RISK
x
SI-4(20)
INFORMATION SYSTEM MONITORING | PRIVILEGED USER
x
SI-4(21)
INFORMATION SYSTEM MONITORING | PROBATIONARY PERIODS
x
SI-4(22)
INFORMATION SYSTEM MONITORING | UNAUTHORIZED NETWORK
SERVICES
x
SI-4(23)
INFORMATION SYSTEM MONITORING | HOST-BASED DEVICES
x
SI-4(24)
INFORMATION SYSTEM MONITORING | INDICATORS OF COMPROMISE
x
Security Alerts, Advisories, and Directives
x
SECURITY ALERTS, ADVISORIES, AND DIRECTIVES | AUTOMATED
ALERTS AND ADVISORIES
x
x
x
x
SI-5
SI-5(1)
SI-6
Security Function Verification
SI-6(1)
SECURITY FUNCTION VERIFICATION | NOTIFICATION OF FAILED
SECURITY TESTS
SI-6(2)
SECURITY FUNCTION VERIFICATION | AUTOMATION SUPPORT FOR
DISTRIBUTED TESTING
SI-6(3)
SECURITY FUNCTION VERIFICATION | REPORT VERIFICATION
RESULTS
x
Incorporated into SI-6.
Software, Firmware, and Information Integrity
x
x
x
SI-7(1)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRITY
CHECKS
x
x
x
SI-7(2)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | AUTOMATED
NOTIFICATIONS OF INTEGRITY VIOLATIONS
x
SI-7(3)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CENTRALLY
MANAGED INTEGRITY TOOLS
x
SI-7(4)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | TAMPEREVIDENT PACKAGING
SI-7(5)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | AUTOMATED
RESPONSE TO INTEGRITY VIOLATIONS
x
SI-7(6)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY |
CRYPTOGRAPHIC PROTECTION
x
SI-7(7)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY |
INTEGRATION OF DETECTION AND RESPONSE
x
SI-7(8)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | AUDITING
CAPABILITY FOR SIGNIFICANT EVENTS
x
SI-7(9)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | VERIFY
BOOT PROCESS
x
SI-7(10)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | PROTECTION
OF BOOT FIRMWARE
x
SI-7(11)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CONFINED
ENVIRONMENTS WITH LIMITED PRIVILEGES
x
SI-7(12)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRITY
VERIFICATION
x
SI-7
APPENDIX D
x
x
Incorporated into SA-12.
x
x
x
PAGE D-41
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
Control Enhancement Name
ASSURANCE
CONTROL NAME
CNTL
NO.
WITHDRAWN
________________________________________________________________________________________________
SI-7(13)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CODE
EXECUTION IN PROTECTED ENVIRONMENTS
x
SI-7(14)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | BINARY OR
MACHINE EXECUTABLE CODE
x
SI-7(15)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CODE
AUTHENTICATION
x
SI-7(16)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | TIME LIMIT
ON PROCESS EXECUTION WITHOUT SUPERVISION
x
CONTROL BASELINES
LOW
MOD
HIGH
x
Spam Protection
x
x
SI-8(1)
SPAM PROTECTION | CENTRAL MANAGEMENT
x
x
SI-8(2)
SPAM PROTECTION | AUTOMATIC UPDATES
x
x
SI-8(3)
SPAM PROTECTION | CONTINUOUS LEARNING CAPABILITY
SI-8
SI-9
Information Input Restrictions
SI-10
x
Incorporated into AC-2, AC-3, AC-5,
AC-6.
Information Input Validation
x
SI-10(1)
INFORMATION INPUT VALIDATION | MANUAL OVERRIDE CAPABILITY
x
SI-10(2)
INFORMATION INPUT VALIDATION | REVIEW / RESOLUTION OF ERRORS
x
SI-10(3)
INFORMATION INPUT VALIDATION | PREDICTABLE BEHAVIOR
x
SI-10(4)
INFORMATION INPUT VALIDATION | REVIEW / TIMING INTERACTIONS
x
SI-10(5)
INFORMATION INPUT VALIDATION | REVIEW / RESTRICT INPUTS TO
TRUSTED SOURCES AND APPROVED FORMATS
x
SI-11
Error Handling
SI-12
Information Handling and Retention
SI-13
Predictable Failure Prevention
x
SI-13(1)
PREDICTABLE FAILURE PREVENTION | TRANSFERRING COMPONENT
RESPONSIBILITIES
x
SI-13(2)
PREDICTABLE FAILURE PREVENTION | TIME LIMIT ON PROCESS
EXECUTION WITHOUT SUPERVISION
SI-13(3)
PREDICTABLE FAILURE PREVENTION | MANUAL TRANSFER BETWEEN
COMPONENTS
x
SI-13(4)
PREDICTABLE FAILURE PREVENTION | STANDBY COMPONENT
INSTALLATION / NOTIFICATION
x
SI-13(5)
PREDICTABLE FAILURE PREVENTION | FAILOVER CAPABILITY
x
Non-Persistence
x
NON-PERSISTENCE | REFRESH FROM TRUSTED SOURCES
x
SI-15
Information Output Filtering
x
SI-16
Memory Protection
x
SI-17
Fail-Safe Procedures
x
SI-14
SI-14(1)
APPENDIX D
x
x
x
x
x
x
x
x
Incorporated into SI-7(16).
x
x
PAGE D-42
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
ADJUSTMENTS TO SECURITY CONTROL BASELINES
ALLOCATION OF SECURITY CONTROLS AND ASSIGNMENT OF PRIORITY SEQUENCING CODES
With each revision to SP 800-53, minor adjustments may occur with the security control baselines
including, for example, allocating additional controls and/or control enhancements, eliminating
selected controls/enhancements, and changing sequencing priority codes (P-codes). These changes
reflect: (i) the ongoing receipt and analysis of threat information; (ii) the periodic reexamination of
the initial assumptions that generated the security control baselines; (iii) the desire for common
security control baseline starting points for national security and non-national security systems to
achieve community-wide convergence (relying subsequently on specific overlays to describe any
adjustments from the common starting points); and (iv) the periodic reassessment of priority codes
to appropriately balance the workload of security control implementation. Over time, as the security
control catalog expands to address the continuing challenges from a dynamic and growing threat
space that is increasingly sophisticated, organizations will come to rely to a much greater degree on
overlays to provide the needed specialization for their security plans.
APPENDIX D
PAGE D-43
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
APPENDIX E
ASSURANCE AND TRUSTWORTHINESS
MEASURES OF CONFIDENCE FOR INFORMATION SYSTEMS
S
ecurity assurance is a critical aspect in determining the trustworthiness of information
systems. Assurance is the measure of confidence that the security functions, features,
practices, policies, procedures, mechanisms, and architecture of organizational information
systems accurately mediate and enforce established security policies. 94 The objective of this
appendix is:
•
To encourage organizations to include assurance requirements in procurements of
information systems, system components, and services;
•
To encourage hardware, software, and firmware developers to employ development practices
that result in more trustworthy information technology products and systems;
•
To encourage organizations to identify, select, and use information technology products that
have been built with appropriate levels of assurance and to employ sound systems and
security engineering techniques and methods during the system development life cycle
process;
•
To reduce information security risk by deploying more trustworthy information technology
products within critical information systems or system components; and
•
To encourage developers and organizations to obtain on an ongoing basis, assurance evidence
for maintaining trustworthiness of information systems.
Minimum security requirements for federal information and information systems are defined in
FIPS Publication 200. These requirements can be satisfied by selecting, tailoring, implementing,
and obtaining assurance evidence for the security controls in the low, moderate, or high baselines
in Appendix D. 95 The baselines also include the assurance-related controls for the minimum
assurance requirements that are generally applicable to federal information and information
systems. 96 However, considering the current threat space and the increasing risk to organizational
operations and assets, individuals, other organizations, and the Nation, posed by the advanced
persistent threat (APT), organizations may choose to implement additional assurance-related
controls from Appendix F. These additional controls can be selected based on the tailoring
guidance provided in Section 3.2. Organizations can also consider developing high-assurance
overlays for critical missions/business functions, specialized environments of operation, and/or
information technologies (see Section 3.3 and Appendix I). When assurance-related controls
cannot be satisfied, organizations can propose compensating controls (e.g., procedural/operational
94
Section 2.6 provides an introduction to the concepts of assurance and trustworthiness and how the two concepts are
related. A trustworthiness model is illustrated in Figure 3.
95
CNSS Instruction 1253 provides security control baselines for national security systems. Therefore, the assurancerelated controls in the baselines established for the national security community, if so designated, may differ from those
controls designated in Tables E-1 through E-3.
96
It is difficult to determine if a given security control baseline from Appendix D provides the assurance needed across
all information technologies, users, platforms, and organizations. For example, while the use of formal methods might
be appropriate in a cross-domain product, different assurance techniques might be appropriate for a complex air traffic
control system or for a web server providing emergency preparedness information from the Department of Homeland
Security. Still, the existing baselines do have assurance aspects that reflect the minimum assurance that is anticipated to
be common across all technologies, users, platforms, and organizations.
APPENDIX E
PAGE E-1
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
solutions to compensate for insufficient technology-based solutions) or assume a greater degree
of risk with regard to the actual security capability achieved.
The New Look for Assurance
While previous versions of Special Publication 800-53 addressed minimum assurance requirements,
the focus was on higher-level, more abstract requirements applied to the low, moderate, and high
baselines. This revision takes a fundamentally different approach to assurance by defining specific
assurance-related security controls in Appendix F that can be implemented by organizations based
on the security categorizations of their information systems—making the assurance requirements
more actionable and providing opportunities for increasing the levels of assurance based on mission
and business needs, current/projected threats, unique operating environments, or the use of new
technologies. The identification of specific assurance-related controls in the low, moderate, and high
baselines in easy-to read tables (Tables E-1, E-2, E-3) helps organizations to quickly define controls
necessary to satisfy minimum assurance requirements. The optional assurance-related controls in
Table E-4 provide organizations with specification language to use in acquisitions targeted at the
developers of information systems, system components, and information system services. The
controls address specific methodologies, techniques, design, and architectural considerations as
well as sound system and security engineering principles to fundamentally improve the quality of
hardware, software, and firmware components that will be integrated into organizational information
systems or the critical infrastructure. The designation of assurance-related controls is not intended to
imply a greater level of importance for such controls. Achieving adequate security for organizational
information systems requires the correct combination of both functionality- and assurance-related
security controls. Only by understanding the importance of the concept of assurance and recognizing
which security controls are more assurance-oriented versus functionality-oriented can organizations
select the most appropriate combination of controls to protect their organizational operations and
assets, individuals, other organizations, and the Nation.
The following sections provide a description of the assurance-related controls that are included in
each of the security control baselines in Appendix D. The criteria for whether a security control is
assurance-related or functionality-related is based on the overall characteristics of the control. In
general, assurance-related controls are controls that: (i) define processes, procedures, techniques,
or methodologies for designing and developing information systems and system components (i.e.,
hardware, software, firmware); (ii) provide supporting operational processes including improving
the quality of systems/components/processes; (iii) produce security evidence from developmental
or operational activities; (iv) determine security control effectiveness or risk (e.g., audit, testing,
evaluation, analysis, assessment, verification, validation, monitoring); or (v) improve personnel
skills, expertise, and understanding (e.g., security awareness/training, incident response training,
contingency training).
Security controls may be designated as assurance-related controls even when the controls exhibit
some functional characteristics or properties (e.g., SI-4, Information System Monitoring). The
distinction between functionality and assurance is less important when describing the assurancerelated controls in the baselines—primarily because the security controls in the three baselines
after the tailoring process is applied, become part of the security plans for information systems
and for organizations. 97 However, the distinction becomes more important when organizations
exercise the option of selecting additional security controls to increase the level of assurance (or
the degree of confidence) in the security functionality and security capability.
97
Organizations are cautioned to carefully examine the assurance-related controls in the baselines during the tailoring
process, including the development of overlays, to help ensure that controls are not being inadvertently eliminated that
provide the measures of confidence in the security functionality needed for mission/business protection.
APPENDIX E
PAGE E-2
Special Publication 800-53 Revision 4
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and Organizations
________________________________________________________________________________________________
Minimum Assurance Requirements – Low-Impact Systems
The organization, based on its security requirements, security policies, and needed
security capabilities, has an expectation of: (i) a limited strength of security functionality; and (ii) a limited
degree of confidence supported by the depth and coverage of associated security evidence, that the security
functionality is complete, consistent, and correct.
Assurance Requirement:
Security functionality and assurance for low-impact systems are achieved by the
implementation of security controls from the tailored low baseline in Appendix D. Assurance requirements
for low-impact systems (including the information technology components that are part of those systems),
align with that which is readily achievable with unmodified, commercial off-the-shelf (COTS) products and
services. Due to the limited strength of functionality expected for low-impact systems, the depth/coverage
of security evidence 98 produced is minimal and is not expected to be more than what is routinely provided
by COTS manufacturers, vendors, and resellers. The depth/coverage evidence is further supplemented by
the results of security control assessments and the ongoing monitoring of organizational information
systems and environments in which the systems operate. For other than technology-based functionality, the
emphasis is on a limited degree of confidence in the completeness, correctness, and consistency of
procedural and/or operational security functionality (e.g., policies, procedures, physical security, and
personnel security). Assurance requirements specified in the form of developmental and operational
assurance controls for low-impact systems are listed in Table E-1. Organizations, through the tailoring
process (including an organizational assessment of risk), may choose to add other assurance-related
controls and/or control enhancements to the set included in Table E-1.
Supplemental Guidance:
TABLE E-1: ASSURANCE-RELATED CONTROLS FOR LOW-IMPACT SYSTEMS
ID
AC
AT
AU
CA
CM
CP
IA
IR
MA
CONTROLS
AC-1
AT-1, AT-2, AT-3, AT-4
AU-1, AU-6
CA-1, CA-2, CA-3, CA-5, CA-6, CA-7, CA-9
CM-1, CM-2, CM-4, CM-8
CP-1, CP-3, CP-4
IA-1
IR-1, IR-2, IR-5
MA-1
ID
MP
PE
PL
PS
RA
SA
SC
SI
99
CONTROLS
MP-1
PE-1, PE-6, PE-8
PL-1, PL-2, PL-4
PS-1, PS-6, PS-7
RA-1, RA-3, RA-5
SA-1, SA-2, SA-3, SA-4, SA-4(10), SA-5, SA-9
SC-1, SC-39
SI-1, SI-4, SI-5
98
NIST Special Publication 800-53A provides additional information on depth and coverage in security control
assessments.
99
The assurance-related controls in Table E-1 are a subset of the security controls contained in the security control
baseline for low-impact systems in Appendix D. Implementing the assurance-related controls in Table E-1 (including
depth/coverage security evidence from NIST Special Publication 800-53A) will satisfy the minimum assurance
requirements for low-impact systems mandated by FIPS Publication 200.
APPENDIX E
PAGE E-3
Special Publication 800-53 Revision 4
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and Organizations
________________________________________________________________________________________________
Minimum Assurance Requirements – Moderate-Impact Systems
The organization, based on its security requirements, security policies, and needed
security capabilities, has an expectation of: (i) a moderate strength of security functionality; and (ii) a
moderate degree of confidence supported by the depth and coverage of associated security evidence, that
the security functionality is complete, consistent, and correct.
Assurance Requirement:
Security functionality and assurance for moderate-impact systems are achieved by
the implementation of security controls from the tailored moderate baseline in Appendix D. Assurance
requirements for moderate-impact systems (including the information technology components that are part
of those systems) add to the expectations at the low-assurance level by: (i) incorporating COTS security
functionality with greater strength of mechanism and capability than the strength of mechanism and
capability achieved in low-impact systems; (ii) requiring perhaps, some special development; (iii)
establishing more secure configuration settings; and (iv) requiring some additional assessment of the
implemented capability. Due to the moderate strength of functionality expected for moderate-impact
systems, the depth/coverage of security evidence 100 produced is more substantial than the minimal evidence
produced for low-impact systems but still in the range of what can be provided by COTS manufacturers,
vendors, and resellers. The depth/coverage evidence is further supplemented by the results of additional
security control assessments and the ongoing monitoring of organizational information systems and
environments of operation. For other than technology-based functionality, the emphasis is on a moderate
degree of confidence in the completeness, correctness, and consistency of procedural and/or operational
security functionality (e.g., policies, procedures, physical security, and personnel security). Assurance
requirements in the form of developmental and operational assurance controls for moderate-impact systems
are listed in Table E-2. Organizations, through the tailoring process (including an organizational assessment
of risk), may choose to add other assurance-related controls and/or control enhancements to the set
included in Table E-2.
Supplemental Guidance:
TABLE E-2: ASSURANCE-RELATED CONTROLS FOR MODERATE-IMPACT SYSTEMS 101
ID
CONTROLS
ID
CONTROLS
AC
AT
AU
CA
CM
MP
PE
PL
PS
RA
MP-1
PE-1, PE-6, PE-6(1), PE-8
PL-1, PL-2, PL-2(3), PL-4, PL-4(1), PL-8
PS-1, PS-6, PS-7
RA-1, RA-3, RA-5, RA-5(1), RA-5(2), RA-5(5)
CP
AC-1
AT-1, AT-2, AT-2(2), AT-3, AT-4
AU-1, AU-6, AU-6(1), AU-6(3), AU-7, AU-7(1)
CA-1, CA-2, CA-2(1), CA-3, CA-5, CA-6, CA-7, CA-7(1), CA-9
CM-1, CM-2, CM-2(1), CM-2(3), CM-2(7), CM-3, CM-3(2), CM4, CM-8, CM-8(1), CM-8(3), CM-8(5)
CP-1, CP-3, CP-4, CP-4(1)
SA
IA
IR
MA
IA-1
IR-1, IR-2, IR-3, IR-3(2), IR-5
MA-1
SC
SI
SA-1, SA-2, SA-3, SA-4, SA-4(1), SA-4(2), SA-4(9), SA-4(10),
SA-5, SA-8, SA-9, SA-9(2), SA-10, SA-11
SC-1, SC-2, SC-39
SI-1, SI-4, SI-4(2), SI-4(4), SI-4(5), SI-5, SI-7, SI-7(1), SI-7(7),
SI-10, SI-16
100
NIST Special Publication 800-53A provides additional information on depth and coverage in security control
assessments.
101
The assurance-related controls in Table E-2 are a subset of the security controls contained in the security control
baseline for moderate-impact systems in Appendix D. Implementing the assurance-related controls in Table E-2
(including depth/coverage security evidence from NIST Special Publication 800-53A) will satisfy the minimum
assurance requirements for moderate-impact systems mandated by FIPS Publication 200. The bold text indicates the
delta from the low baseline (i.e., the assurance-related controls added to the low baseline to produce the increased level
of assurance in the moderate baseline).
APPENDIX E
PAGE E-4
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and Organizations
________________________________________________________________________________________________
Minimum Assurance Requirements – High-Impact Systems
The organization, based on its security requirements, security policies, and needed
security capabilities, has an expectation of: (i) a high strength of security functionality; and (ii) a high
degree of confidence supported by the depth and coverage of associated security evidence, that the security
functionality is complete, consistent, and correct.
Assurance Requirement:
Security functionality and assurance for high-impact systems are achieved by the
implementation of security controls from the tailored high baseline in Appendix D. Assurance requirements
for high-impact systems (including the information technology components that are part of those systems),
add to the expectations at the moderate assurance level by: (i) incorporating higher-end COTS security
capabilities that result from the application of commonly accepted best commercial development practices
for reducing latent flaw rates, some special development, and additional assessment of the implemented
capability. Due to the high strength of functionality expected for high-impact systems, the depth/coverage
of security evidence 102 produced is more comprehensive than the evidence produced for moderate-impact
systems. Although the evidence may still be in the range of what can be provided by COTS manufacturers,
vendors, and resellers, greater assurance from independent assessment providers may be required. The
depth/coverage evidence is supplemented by the results of additional security control assessments and the
ongoing monitoring of organizational information systems/environments of operation. For other than
technology-based functionality, there is a high degree of confidence in the completeness, correctness, and
consistency of procedural and/or operational security functionality (e.g., policies, procedures, physical
security, and personnel security). Assurance requirements in the form of developmental and operational
assurance controls for high-impact information systems are listed in Table E-3. Organizations, through the
tailoring process (including an organizational assessment of risk), may choose to add other assurancerelated controls and/or control enhancements to the set included in Table E-3.
Supplemental Guidance:
TABLE E-3: ASSURANCE-RELATED CONTROLS FOR HIGH-IMPACT SYSTEMS
103
ID
CONTROLS
ID
AC
AT
AU
MP
PE
PL
MP-1
PE-1, PE-6, PE-6(1), PE-6(4), PE-8
PL-1, PL-2, PL-2(3), PL-4, PL-4(1), PL-8
PS
PS-1, PS-6, PS-7
RA
RA-1, RA-3, RA-5, RA-5(1), RA-5(2), RA-5(4), RA-5(5)
CP
AC-1
AT-1, AT-2, AT-2(2), AT-3, AT-4
AU-1, AU-6, AU-6(1), AU-6(3), AU-6(5), AU-6(6), AU-7, AU7(1), AU-10
CA-1, CA-2, CA-2(1), CA-2(2), CA-3, CA-5, CA-6, CA-7, CA7(1), CA-8, CA-9
CM-1, CM-2, CM-2(1), CM-2(2), CM-2(3), CM-2(7), CM-3, CM3(1), CM-3(2), CM-4, CM-4(1), CM-8, CM-8(1), CM-8(2), CM8(3), CM-8(4), CM-8(5)
CP-1, CP-3, CP-3(1), CP-4, CP-4(1), CP-4(2)
SA
IA
IR
MA
IA-1
IR-1, IR-2, IR-2(1), IR-2(2), IR-3, IR-3(2), IR-5, IR-5(1)
MA-1
SC
SI
SA-1, SA-2, SA-3, SA-4, SA-4(1), SA-4(2), SA-4(9), SA-4(10),
SA-5, SA-8, SA-9, SA-9(2), SA-10, SA-11, SA-12, SA-15, SA16, SA-17
SC-1, SC-2, SC-3, SC-7(18), SC-7(21), SC-24, SC-39
SI-1, SI-4, SI-4(2), SI-4(4), SI-4(5), SI-5, SI-5(1), SI-6, SI-7, SI7(1), SI-7(2), SI-7(5), SI-7(7), SI-7(14), SI-10, SI-16
CA
CM
CONTROLS
102
NIST Special Publication 800-53A provides additional information on depth and coverage in security control
assessments.
103
The assurance-related controls in Table E-3 are a subset of the security controls contained in the security control
baseline for high-impact systems in Appendix D. Implementing the assurance-related controls in Table E-3 (including
depth/coverage security evidence from NIST Special Publication 800-53A) will satisfy the minimum assurance
requirements for high-impact systems mandated by FIPS Publication 200. The bold text indicates the delta from the
moderate baseline (i.e., the assurance-related controls added to the moderate baseline to produce the increased level of
assurance in the high baseline).
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Security Controls to Achieve Enhanced Assurance
While the assurance-related controls allocated to the low, moderate, and high baselines in the
previous sections, represent minimum assurance requirements, organizations can, over time,
choose to raise the level of assurance in their information systems—increasing the level of
trustworthiness accordingly. This is accomplished by adding assurance-related controls to the
controls in the baselines to increase both the strength of security functionality and degree of
confidence that the functionality is correct, complete, and consistent—making the functionality
highly resistant to penetration, tamper, or bypass. Security functionality that is highly resistant to
penetration, tamper, and bypass requires a significant work factor on the part of adversaries to
compromise the confidentiality, integrity, or availability of the information system or system
components where that functionality is employed.
Since high-assurance information technology products may be more costly and difficult to obtain,
organizations may choose to partition their information systems into distinct subsystems to isolate
the critical components and focus the high-assurance efforts on a more narrowly defined subset of
information resources. Organizations that find it difficult to achieve high-assurance information
technology solutions may have to rely to a greater extent on procedural or operational protections
to ensure mission and business success. This includes, for example, reengineering critical mission
and business processes to be less susceptible to high-end threats. Table E-4 provides additional
developmental and operational activities (e.g., in the SA, SI, and CM security control families),
that organizations can select to achieve an enhanced level of assurance (up to and including high
assurance). The list of assurance-related controls is not intended to be exhaustive. Organizations,
during the tailoring process, may choose to designate other security controls as assurance-related
and add to the exemplar set in Table E-4.
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TABLE E-4: SECURITY CONTROLS FOR ENHANCED ASSURANCE
104
ID
CONTROLS
ID
AC
AT
AU
MP
PE
PL
No additional controls.
PE-6(2), PE-6(3)
PL-8 (all enhancements), PL-9
CA
CM
CP
AC-25
AT-2(1), AT-3 (all enhancements)
AU-6(4), AU-6(7), AU-6(8), AU-6(9), AU-6(10), AU-10 (all
enhancements), AU-11(1), AU-13 (plus enhancements), AU14 (plus enhancements)
CA-2(3), CA-5(1), CA-7(3), CA-8 (all enhancements), CA-9(1)
CM-2(6), CM-4(2), CM-8(6), CM-8(7), CM-8(8), CM-8(9)
CP-3(2), CP-4(3), CP-4(4), CP-12
CONTROLS
PS
RA
SA
IA
No additional controls.
SC
IR
MA
IR-3(1)
No additional controls.
SI
PS-6(2), PS-6(3)
RA-5(3), RA-5(6), RA-5(8), RA-5(10), RA-6
SA-4(3), SA-4(5), SA-4(6), SA-4(7), SA-4(8), SA-9(1), SA9(3), SA-9(4), SA-9(5), SA-10 (all enhancements), SA-11 (all
enhancements), SA-12 (all enhancements), SA-13, SA-14,
SA-15 (all enhancements), SA-17 (all enhancements), SA-18
(plus enhancements), SA-19 (plus enhancements), SA-20,
SA-21 (plus enhancement), SA-22 (plus enhancement)
SC-2(1), SC-3 (all enhancements), SC-6, SC-7(22), SC-11
(plus enhancement), SC-29 (plus enhancement), SC-30 (plus
enhancements), SC-31 (plus enhancements), SC-32, SC-34
(plus enhancements), SC-36 (plus enhancement), SC-37 (plus
enhancement), SC-38, SC-39 (all enhancements)
SI-4(1), SI-4(3), SI-4(7), SI-4(9), SI-4(10), SI-4(11), SI-4(12),
SI-4(13), SI-4(14), SI-4(15), SI-4(16), SI-4(17), SI-4(18), SI4(19), SI-4(20), SI-4(21), SI-4(22), SI-4(23), SI-4(24), SI-7(3),
SI-7(6), SI-7(8), SI-7(9), SI-7(10), SI-7(11), SI-7(12), SI-7(13),
SI-7(15), SI-7(16), SI-10 (all enhancements), SI-13 (plus
enhancements), SI-14 (plus enhancement), SI-15, SI-17
104
The assurance-related controls in Table E-4 represent the additional security controls needed to achieve enhanced
levels of assurance (i.e., the controls needed to go beyond the minimum assurance levels that are represented by the
assurance-related controls in Tables E-1, E-2, and E-3). When an assurance-related control is allocated to a baseline
(i.e., listed in Tables E-1, E-2, or E-3), but all of its control enhancements are in Table E-4, it is designated in the table
as Control (all enhancements). When an assurance-related control and all of its control enhancements are not allocated
to baselines, it is designated in the table as Control (plus enhancements). When assurance-related control enhancements
from a particular control are allocated to one of the baselines, the remaining unselected control enhancements are listed
individually in Table E-4.
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APPENDIX F
SECURITY CONTROL CATALOG
SECURITY CONTROLS, ENHANCEMENTS, AND SUPPLEMENTAL GUIDANCE
T
he catalog of security controls in this appendix provides a range of safeguards and
countermeasures for organizations and information systems. 105 The security controls have
been designed to facilitate compliance with applicable federal laws, Executive Orders,
directives, policies, regulations, standards, and guidelines. 106 The organization of the security
control catalog, the structure of the security controls, and the concept of allocating security
controls and control enhancements to the initial baselines in Appendix D are described in Chapter
Two. The security controls in the catalog with few exceptions, have been designed to be policyand technology-neutral. This means that security controls and control enhancements focus on the
fundamental safeguards and countermeasures necessary to protect information during processing,
while in storage, and during transmission. Therefore, it is beyond the scope of this publication to
provide guidance on the application of security controls to specific technologies, communities of
interest, environments of operation, or missions/business functions. These areas are addressed by
the use of the tailoring process described in Chapter Three and the development of overlays
described in Appendix I.
In the few cases where specific technologies are called out in security controls (e.g., mobile, PKI,
wireless, VOIP), organizations are cautioned that the need to provide adequate security goes well
beyond the requirements in a single control associated with a particular technology. Many of the
needed safeguards/countermeasures are obtained from the other security controls in the catalog
allocated to the initial control baselines as the starting point for the development of security plans
and overlays using the tailoring process. In addition to the organization-driven development of
specialized security plans and overlays, NIST Special Publications and Interagency Reports may
provide guidance on recommended security controls for specific technologies and sector-specific
applications (e.g., Smart Grid, healthcare, Industrial Control Systems, and mobile).
Employing a policy- and technology-neutral security control catalog has the following benefits:
•
It encourages organizations to focus on the security capabilities required for mission/business
success and the protection of information, irrespective of the information technologies that
are employed in organizational information systems;
•
It encourages organizations to analyze each security control for its applicability to specific
technologies, environments of operation, missions/business functions, and communities of
interest; and
105
An online version of the catalog of security controls is also available at http://web.nvd.nist.gov/view/800-53/home.
106
Compliance necessitates organizations executing due diligence with regard to information security and risk
management. Information security due diligence includes using all appropriate information as part of an organizationwide risk management program to effectively use the tailoring guidance and inherent flexibility in NIST publications so
that the selected security controls documented in organizational security plans meet the specific mission and business
requirements of organizations. Using the risk management tools and techniques that are available to organizations is
essential in developing, implementing, and maintaining the safeguards and countermeasures with the necessary and
sufficient strength of mechanism to address the current threats to organizational operations and assets, individuals,
other organizations, and the Nation. Employing effective risk-based processes, procedures, and technologies will help
ensure that all federal information systems and organizations have the necessary resilience to support ongoing federal
responsibilities, critical infrastructure applications, and continuity of government.
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•
It encourages organizations to specify security policies as part of the tailoring process for
security controls that have variable parameters.
For example, organizations using smart phones, tablets, or other types of mobile devices would
start the tailoring process by assuming that all security controls and control enhancements in the
appropriate baseline (low, moderate, or high) are needed. The tailoring process may result in
certain security controls being eliminated for a variety of reasons, including, for example, the
inability of the technology to support the implementation of the control. However, the elimination
of such controls without understanding the potential adverse impacts to organizational missions
and business functions can significantly increase information security risk and should be carefully
analyzed. This type of analysis is essential in order for organizations to make effective risk-based
decisions including the selection of appropriate compensating security controls, when considering
the use of these emerging mobile devices and technologies. The specialization of security plans
using the tailoring guidance and overlays, together with a comprehensive set of technology- and
policy-neutral security controls, promotes cost-effective, risk-based information security for
organizations—in any sector, for any technology, and in any operating environment.
The security controls in the catalog are expected to change over time, as controls are withdrawn,
revised, and added. In order to maintain stability in security plans and automated tools supporting
the implementation of Special Publication 800-53, security controls will not be renumbered each
time a control is withdrawn. Rather, notations of security controls that have been withdrawn are
maintained in the catalog for historical purposes. Security controls are withdrawn for a variety of
reasons including, for example: the security capability provided by the withdrawn control has
been incorporated into another control; the security capability provided by the withdrawn control
is redundant to an existing control; or the security control is deemed to be no longer necessary.
There may, on occasion, be repetition in requirements that appear in the security controls and
control enhancements that are part of the security control catalog. This repetition in requirements
is intended to reinforce the security requirements from the perspective of multiple controls and/or
enhancements. For example, the requirement for strong identification and authentication when
conducting remote maintenance activities appears in the MA family in the specific context of
systems maintenance activities conducted by organizations. The identification and authentication
requirement also appears in a more general context in the IA family. While these requirements
appear to be redundant (i.e., overlapping), they are, in fact, mutually reinforcing and not intended
to require additional effort on the part of organizations in the development and implementation of
security programs.
Implementation Tip
New security controls and control enhancements will be developed on a regular basis using state-ofthe-practice information from national-level threat and vulnerability databases as well as information
on the tactics, techniques, and procedures employed by adversaries in launching cyber attacks. The
proposed modifications to security controls and security control baselines will be carefully weighed
during each revision cycle, considering the desire for stability of the security control catalog and the
need to respond to changing threats, vulnerabilities, attack methods, and information technologies.
The overall objective is to raise the basic level of information security over time. Organizations may
choose to develop new security controls when there is a specific security capability required and the
appropriate controls are not available in Appendices F or G.
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SECURITY CONTROL CLASS DESIGNATIONS
MANAGEMENT, OPERATIONAL, AND TECHNICAL REFERENCES
Because many security controls within the security control families in Appendix F have various
combinations of management, operational, and technical properties, the specific class designations
have been removed from the security control families. Organizations may still find it useful to
apply such designations to individual security controls and control enhancements or to individual
sections within a particular control/enhancement. Organizations may find it beneficial to employ
class designations as a way to group or refer to security controls. The class designations may also
help organizations with the process of allocating security controls and control enhancements to: (i)
responsible parties or information systems (e.g., as common or hybrid controls); (ii) specific roles;
and/or (iii) specific components of a system. For example, organizations may determine that the
responsibility for system-specific controls they have placed in the management class belong to the
information system owner, controls placed in the operational class belong to the Information
System Security Officer (ISSO), and controls placed in the technical class belong to one or more
system administrators. This example is provided to illustrate the potential usefulness of designating
classes for controls and/or control enhancements; it is not meant to suggest or require additional
tasks for organizations.
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CAUTIONARY NOTE
DEVELOPMENT OF SYSTEMS, COMPONENTS, AND SERVICES
With the renewed emphasis on trustworthy information systems and supply chain security, it is
essential that organizations have the capability to express their information security requirements
with clarity and specificity in order to engage the information technology industry and obtain the
systems, components, and services necessary for mission and business success. To ensure that
organizations have such capability, Special Publication 800-53 provides a set of security controls in
the System and Services Acquisition family (i.e., SA family) addressing requirements for the
development of information systems, information technology products, and information system
services. Therefore, many of the controls in the SA family are directed at developers of those
systems, components, and services. It is important for organizations to recognize that the scope of
the security controls in the SA family includes all system/component/service development and the
developers associated with such development whether the development is conducted by internal
organizational personnel or by external developers through the contracting/acquisition process.
Affected controls include SA-8, SA-10, SA-11, SA-15, SA-16, SA-17, SA-20, and SA-21.
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Fundamentals of the Catalog
Security controls and control enhancements in Appendices F and G are generally designed to be
policy-neutral and technology/implementation-independent. Organizations provide information
about security controls and control enhancements in two ways:
• By specifying security control implementation details (e.g., platform dependencies) in the
associated security plan for the information system or security program plan for the
organization; and
• By establishing specific values in the variable sections of selected security controls through the
use of assignment and selection statements.
Assignment and selection statements provide organizations with the capability to specialize
security controls and control enhancements based on organizational security requirements or
requirements originating in federal laws, Executive Orders, directives, policies, regulations,
standards, or guidelines. Organization-defined parameters used in assignment and selection
statements in the basic security controls apply also to all control enhancements associated with
those controls. Control enhancements strengthen the fundamental security capability in the base
control but are not a substitute for using assignment or selection statements to provide greater
specificity to the control. Assignment statements for security controls and control enhancements
do not contain minimum or maximum values (e.g., testing contingency plans at least annually).
Organizations should consult specific federal laws, Executive Orders, directives, regulations,
policies, standards, or guidelines as the definitive sources for such information. The absence of
minimum and maximum values from the security controls and control enhancements does not
obviate the need for organizations to comply with requirements in the controlling source
publications.
The first security control in each family (i.e., the dash-1 control) generates requirements for
specific policies and procedures that are needed for the effective implementation of the other
security controls in the family. Therefore, individual controls and control enhancements in a
particular family do not call for the development of such policies and procedures. Supplemental
guidance sections of security controls and control enhancements do not contain any requirements
or references to FIPS or NIST Special Publications. NIST publications are, however, included in
a references section for each security control.
In support of the Joint Task Force initiative to develop a unified information security framework
for the federal government, security controls and control enhancements for national security
systems are included in this appendix. The inclusion of such controls and enhancements is not
intended to impose security requirements on organizations that operate national security systems.
Rather, organizations can use the security controls and control enhancements on a voluntary basis
with the approval of federal officials exercising policy authority over national security systems. In
addition, the security control priorities and security control baselines listed in Appendix D and in
the priority and baseline allocation summary boxes below each security control in Appendix F,
apply to non-national security systems only unless otherwise directed by the federal officials with
national security policy authority.
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Using the Catalog
Organizations employ security controls 107 in federal information systems and the environments in
which those systems operate in accordance with FIPS Publication 199, FIPS Publication 200, and
NIST Special Publications 800-37 and 800-39. Security categorization of federal information and
information systems, as required by FIPS Publication 199, is the first step in the RMF. 108 Next,
organizations select the appropriate security control baselines for their information systems by
satisfying the minimum security requirements set forth in FIPS Publication 200. Appendix D
includes three security control baselines that are associated with the designated impact levels of
information systems as determined during the security categorization process. 109 After baseline
selection, organizations tailor the baselines by: (i) identifying/designating common controls; (ii)
applying scoping considerations; (iii) selecting compensating controls, if needed; (iv) assigning
control parameter values in selection and assignment statements; (v) supplementing the baseline
controls with additional controls and control enhancements from the security control catalog; and
(vi) providing additional information for control implementation. Organizations can also use the
baseline tailoring process with the overlay concept that is described in Section 3.2 and Appendix
I. Risk assessments, as described in NIST Special Publication 800-30, guide and inform the
security control selection process. 110
CAUTIONARY NOTE
USE OF CRYPTOGRAPHY
If cryptography is required for the protection of information based on the selection of security
controls in Appendix F and subsequently implemented by organizational information systems, the
cryptographic mechanisms comply with applicable federal laws, Executive Orders, directives,
policies, regulations, standards, and guidance. This includes, for NSA-approved cryptography to
protect classified information, FIPS-validated cryptography to protect unclassified information, and
NSA-approved and FIPS-compliant key management technologies and processes. Security controls
SC-12 and SC-13 provide specific information on the selection of appropriate cryptographic
mechanisms, including the strength of such mechanisms.
107
The security controls in Special Publication 800-53 are available online and can be downloaded in various formats
from the NIST web site at: http://web.nvd.nist.gov/view/800-53/home.
108
CNSS Instruction 1253 provides guidance for security categorization of national security systems.
109
CNSS Instruction 1253 provides guidance on security control baselines for national security systems and specific
tailoring requirements associated with such systems.
110
There are additional security controls and control enhancements that appear in the catalog that are not used in any of
the initial baselines. These additional controls and control enhancements are available to organizations and can be used
in the tailoring process to achieve the needed level of protection in accordance with organizational risk assessments.
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FAMILY: ACCESS CONTROL
AC-1
ACCESS CONTROL POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
An access control policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the access control policy and associated
access controls; and
Reviews and updates the current:
1.
Access control policy [Assignment: organization-defined frequency]; and
2.
Access control procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the AC family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
AC-2
LOW AC-1
MOD AC-1
HIGH AC-1
ACCOUNT MANAGEMENT
Control:
The organization:
a.
Identifies and selects the following types of information system accounts to support
organizational missions/business functions: [Assignment: organization-defined information
system account types];
b.
Assigns account managers for information system accounts;
c.
Establishes conditions for group and role membership;
d.
Specifies authorized users of the information system, group and role membership, and access
authorizations (i.e., privileges) and other attributes (as required) for each account;
e.
Requires approvals by [Assignment: organization-defined personnel or roles] for requests to
create information system accounts;
f.
Creates, enables, modifies, disables, and removes information system accounts in accordance
with [Assignment: organization-defined procedures or conditions];
g.
Monitors the use of information system accounts;
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h.
i.
Notifies account managers:
1.
When accounts are no longer required;
2.
When users are terminated or transferred; and
3.
When individual information system usage or need-to-know changes;
Authorizes access to the information system based on:
1.
A valid access authorization;
2.
Intended system usage; and
3.
Other attributes as required by the organization or associated missions/business functions;
j.
Reviews accounts for compliance with account management requirements [Assignment:
organization-defined frequency]; and
k.
Establishes a process for reissuing shared/group account credentials (if deployed) when
individuals are removed from the group.
Information system account types include, for example, individual, shared,
group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and
service. Some of the account management requirements listed above can be implemented by
organizational information systems. The identification of authorized users of the information
system and the specification of access privileges reflects the requirements in other security
controls in the security plan. Users requiring administrative privileges on information system
accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner,
mission/business owner, or chief information security officer) responsible for approving such
accounts and privileged access. Organizations may choose to define access privileges or other
attributes by account, by type of account, or a combination of both. Other attributes required for
authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-oforigin. In defining other account attributes, organizations consider system-related requirements
(e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time
zone differences, customer requirements, remote access to support travel requirements). Failure to
consider these factors could affect information system availability. Temporary and emergency
accounts are accounts intended for short-term use. Organizations establish temporary accounts as a
part of normal account activation procedures when there is a need for short-term accounts without
the demand for immediacy in account activation. Organizations establish emergency accounts in
response to crisis situations and with the need for rapid account activation. Therefore, emergency
account activation may bypass normal account authorization processes. Emergency and temporary
accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used
for special tasks defined by organizations or when network resources are unavailable). Such
accounts remain available and are not subject to automatic disabling or removal dates. Conditions
for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or
temporary accounts are no longer required; or (ii) when individuals are transferred or terminated.
Some types of information system accounts may require specialized training. Related controls:
AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, AU-9, IA-2, IA-4, IA-5, IA-8, CM-5,
CM-6, CM-11, MA-3, MA-4, MA-5, PL-4, SC-13.
Supplemental Guidance:
Control Enhancements:
(1)
ACCOUNT MANAGEMENT | AUTOMATED SYSTEM ACCOUNT MANAGEMENT
The organization employs automated mechanisms to support the management of information
system accounts.
Supplemental Guidance: The use of automated mechanisms can include, for example: using
email or text messaging to automatically notify account managers when users are terminated
or transferred; using the information system to monitor account usage; and using telephonic
notification to report atypical system account usage.
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(2)
ACCOUNT MANAGEMENT | REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
The information system automatically [Selection: removes; disables] temporary and emergency
accounts after [Assignment: organization-defined time period for each type of account].
Supplemental Guidance: This control enhancement requires the removal of both temporary and
emergency accounts automatically after a predefined period of time has elapsed, rather than at
the convenience of the systems administrator.
(3)
ACCOUNT MANAGEMENT | DISABLE INACTIVE ACCOUNTS
The information system automatically disables inactive accounts after [Assignment: organizationdefined time period].
(4)
ACCOUNT MANAGEMENT | AUTOMATED AUDIT ACTIONS
The information system automatically audits account creation, modification, enabling, disabling,
and removal actions, and notifies [Assignment: organization-defined personnel or roles].
Supplemental Guidance:
(5)
Related controls: AU-2, AU-12.
ACCOUNT MANAGEMENT | INACTIVITY LOGOUT
The organization requires that users log out when [Assignment: organization-defined time-period
of expected inactivity or description of when to log out].
Supplemental Guidance:
(6)
Related control: SC-23.
ACCOUNT MANAGEMENT | DYNAMIC PRIVILEGE MANAGEMENT
The information system implements the following dynamic privilege management capabilities:
[Assignment: organization-defined list of dynamic privilege management capabilities].
Supplemental Guidance: In contrast to conventional access control approaches which employ
static information system accounts and predefined sets of user privileges, dynamic access
control approaches (e.g., service-oriented architectures) rely on run time access control
decisions facilitated by dynamic privilege management. While user identities may remain
relatively constant over time, user privileges may change more frequently based on ongoing
mission/business requirements and operational needs of organizations. Dynamic privilege
management can include, for example, the immediate revocation of privileges from users, as
opposed to requiring that users terminate and restart their sessions to reflect any changes in
privileges. Dynamic privilege management can also refer to mechanisms that change the
privileges of users based on dynamic rules as opposed to editing specific user profiles. This
type of privilege management includes, for example, automatic adjustments of privileges if
users are operating out of their normal work times, or if information systems are under duress
or in emergency maintenance situations. This control enhancement also includes the ancillary
effects of privilege changes, for example, the potential changes to encryption keys used for
communications. Dynamic privilege management can support requirements for information
system resiliency. Related control: AC-16.
(7)
ACCOUNT MANAGEMENT | ROLE-BASED SCHEMES
The organization:
(a)
Establishes and administers privileged user accounts in accordance with a role-based access
scheme that organizes allowed information system access and privileges into roles;
(b) Monitors privileged role assignments; and
(c)
Takes [Assignment: organization-defined actions] when privileged role assignments are no
longer appropriate.
Supplemental Guidance: Privileged roles are organization-defined roles assigned to individuals
that allow those individuals to perform certain security-relevant functions that ordinary users
are not authorized to perform. These privileged roles include, for example, key management,
account management, network and system administration, database administration, and web
administration.
(8)
ACCOUNT MANAGEMENT | DYNAMIC ACCOUNT CREATION
The information system creates [Assignment: organization-defined information system accounts]
dynamically.
Supplemental Guidance: Dynamic approaches for creating information system accounts (e.g., as
implemented within service-oriented architectures) rely on establishing accounts (identities) at
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run time for entities that were previously unknown. Organizations plan for dynamic creation
of information system accounts by establishing trust relationships and mechanisms with the
appropriate authorities to validate related authorizations and privileges. Related control: AC16.
(9)
ACCOUNT MANAGEMENT | RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
The organization only permits the use of shared/group accounts that meet [Assignment:
organization-defined conditions for establishing shared/group accounts].
(10) ACCOUNT MANAGEMENT | SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
The information system terminates shared/group account credentials when members leave the
group.
(11) ACCOUNT MANAGEMENT | USAGE CONDITIONS
The information system enforces [Assignment: organization-defined circumstances and/or usage
conditions] for [Assignment: organization-defined information system accounts].
Supplemental Guidance: Organizations can describe the specific conditions or circumstances
under which information system accounts can be used, for example, by restricting usage to
certain days of the week, time of day, or specific durations of time.
(12) ACCOUNT MANAGEMENT | ACCOUNT MONITORING / ATYPICAL USAGE
The organization:
(a)
Monitors information system accounts for [Assignment: organization-defined atypical usage];
and
(b) Reports atypical usage of information system accounts to [Assignment: organization-defined
personnel or roles].
Atypical usage includes, for example, accessing information systems
at certain times of the day and from locations that are not consistent with the normal usage
patterns of individuals working in organizations. Related control: CA-7.
Supplemental Guidance:
(13) ACCOUNT MANAGEMENT | DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS
The organization disables accounts of users posing a significant risk within [Assignment:
organization-defined time period] of discovery of the risk.
Supplemental Guidance: Users posing a significant risk to organizations include individuals for
whom reliable evidence or intelligence indicates either the intention to use authorized access
to information systems to cause harm or through whom adversaries will cause harm. Harm
includes potential adverse impacts to organizational operations and assets, individuals, other
organizations, or the Nation. Close coordination between authorizing officials, information
system administrators, and human resource managers is essential in order for timely execution
of this control enhancement. Related control: PS-4.
References:
None.
Priority and Baseline Allocation:
P1
AC-3
LOW AC-2
MOD AC-2 (1) (2) (3) (4)
HIGH AC-2 (1) (2) (3) (4) (5) (11) (12) (13)
ACCESS ENFORCEMENT
Control: The information system enforces approved authorizations for logical access to information
and system resources in accordance with applicable access control policies.
Access control policies (e.g., identity-based policies, role-based policies,
control matrices, cryptography) control access between active entities or subjects (i.e., users or
processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records,
domains) in information systems. In addition to enforcing authorized access at the information
system level and recognizing that information systems can host many applications and services in
support of organizational missions and business operations, access enforcement mechanisms can
also be employed at the application and service level to provide increased information security.
Supplemental Guidance:
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Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC22, AU-9, CM-5, CM-6, CM-11, MA-3, MA-4, MA-5, PE-3.
Control Enhancements:
(1)
ACCESS ENFORCEMENT | RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS
[Withdrawn: Incorporated into AC-6].
(2)
ACCESS ENFORCEMENT | DUAL AUTHORIZATION
The information system enforces dual authorization for [Assignment: organization-defined
privileged commands and/or other organization-defined actions].
Supplemental Guidance: Dual authorization mechanisms require the approval of two authorized
individuals in order to execute. Organizations do not require dual authorization mechanisms
when immediate responses are necessary to ensure public and environmental safety. Dual
authorization may also be known as two-person control. Related controls: CP-9, MP-6.
(3)
ACCESS ENFORCEMENT | MANDATORY ACCESS CONTROL
The information system enforces [Assignment: organization-defined mandatory access control
policy] over all subjects and objects where the policy:
(a)
Is uniformly enforced across all subjects and objects within the boundary of the information
system;
(b) Specifies that a subject that has been granted access to information is constrained from doing
any of the following;
(c)
(1)
Passing the information to unauthorized subjects or objects;
(2)
Granting its privileges to other subjects;
(3)
Changing one or more security attributes on subjects, objects, the information system, or
information system components;
(4)
Choosing the security attributes and attribute values to be associated with newly created
or modified objects; or
(5)
Changing the rules governing access control; and
Specifies that [Assignment: organization-defined subjects] may explicitly be granted
[Assignment: organization-defined privileges (i.e., they are trusted subjects)] such that they
are not limited by some or all of the above constraints.
Supplemental Guidance: Mandatory access control as defined in this control enhancement is
synonymous with nondiscretionary access control, and is not constrained only to certain
historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of
mandatory access control policies constrains what actions subjects can take with information
obtained from data objects for which they have already been granted access, thus preventing
the subjects from passing the information to unauthorized subjects and objects. This class of
mandatory access control policies also constrains what actions subjects can take with respect
to the propagation of access control privileges; that is, a subject with a privilege cannot pass
that privilege to other subjects. The policy is uniformly enforced over all subjects and objects
to which the information system has control. Otherwise, the access control policy can be
circumvented. This enforcement typically is provided via an implementation that meets the
reference monitor concept (see AC-25). The policy is bounded by the information system
boundary (i.e., once the information is passed outside of the control of the system, additional
means may be required to ensure that the constraints on the information remain in effect). The
trusted subjects described above are granted privileges consistent with the concept of least
privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the
above policy necessary for satisfying organizational mission/business needs. The control is
most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or
regulation) that establishes a policy regarding access to sensitive/classified information and
some users of the information system are not authorized access to all sensitive/classified
information resident in the information system. This control can operate in conjunction with
AC-3 (4). A subject that is constrained in its operation by policies governed by this control is
still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by
this control take precedence over the less rigorous constraints of AC-3 (4). For example,
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while a mandatory access control policy imposes a constraint preventing a subject from
passing information to another subject operating at a different sensitivity label, AC-3 (4)
permits the subject to pass the information to any subject with the same sensitivity label as the
subject. Related controls: AC-25, SC-11.
(4)
ACCESS ENFORCEMENT | DISCRETIONARY ACCESS CONTROL
The information system enforces [Assignment: organization-defined discretionary access control
policy] over defined subjects and objects where the policy specifies that a subject that has been
granted access to information can do one or more of the following:
(a)
Pass the information to any other subjects or objects;
(b) Grant its privileges to other subjects;
(c)
Change security attributes on subjects, objects, the information system, or the information
system’s components;
(d) Choose the security attributes to be associated with newly created or revised objects; or
(e)
Change the rules governing access control.
Supplemental Guidance: When discretionary access control policies are implemented, subjects
are not constrained with regard to what actions they can take with information for which they
have already been granted access. Thus, subjects that have been granted access to information
are not prevented from passing (i.e., the subjects have the discretion to pass) the information
to other subjects or objects. This control enhancement can operate in conjunction with AC-3
(3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able
to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3
(3) imposes constraints preventing a subject from passing information to another subject
operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information
to any subject at the same sensitivity level. The policy is bounded by the information system
boundary. Once the information is passed outside of the control of the information system,
additional means may be required to ensure that the constraints remain in effect. While the
older, more traditional definitions of discretionary access control require identity-based access
control, that limitation is not required for this use of discretionary access control.
(5)
ACCESS ENFORCEMENT | SECURITY-RELEVANT INFORMATION
The information system prevents access to [Assignment: organization-defined security-relevant
information] except during secure, non-operable system states.
Supplemental Guidance: Security-relevant information is any information within information
systems that can potentially impact the operation of security functions or the provision of
security services in a manner that could result in failure to enforce system security policies or
maintain the isolation of code and data. Security-relevant information includes, for example,
filtering rules for routers/firewalls, cryptographic key management information, configuration
parameters for security services, and access control lists. Secure, non-operable system states
include the times in which information systems are not performing mission/business-related
processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).
Related control: CM-3.
(6)
ACCESS ENFORCEMENT | PROTECTION OF USER AND SYSTEM INFORMATION
(7)
ACCESS ENFORCEMENT | ROLE-BASED ACCESS CONTROL
[Withdrawn: Incorporated into MP-4 and SC-28].
The information system enforces a role-based access control policy over defined subjects and
objects and controls access based upon [Assignment: organization-defined roles and users
authorized to assume such roles].
Supplemental Guidance: Role-based access control (RBAC) is an access control policy that
restricts information system access to authorized users. Organizations can create specific roles
based on job functions and the authorizations (i.e., privileges) to perform needed operations
on organizational information systems associated with the organization-defined roles. When
users are assigned to the organizational roles, they inherit the authorizations or privileges
defined for those roles. RBAC simplifies privilege administration for organizations because
privileges are not assigned directly to every user (which can be a significant number of
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individuals for mid- to large-size organizations) but are instead acquired through role
assignments. RBAC can be implemented either as a mandatory or discretionary form of
access control. For organizations implementing RBAC with mandatory access controls, the
requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.
(8)
ACCESS ENFORCEMENT | REVOCATION OF ACCESS AUTHORIZATIONS
The information system enforces the revocation of access authorizations resulting from changes
to the security attributes of subjects and objects based on [Assignment: organization-defined rules
governing the timing of revocations of access authorizations].
Supplemental Guidance: Revocation of access rules may differ based on the types of access
revoked. For example, if a subject (i.e., user or process) is removed from a group, access may
not be revoked until the next time the object (e.g., file) is opened or until the next time the
subject attempts a new access to the object. Revocation based on changes to security labels
may take effect immediately. Organizations can provide alternative approaches on how to
make revocations immediate if information systems cannot provide such capability and
immediate revocation is necessary.
(9)
ACCESS ENFORCEMENT | CONTROLLED RELEASE
The information system does not release information outside of the established system boundary
unless:
(a)
The receiving [Assignment: organization-defined information system or system component]
provides [Assignment: organization-defined security safeguards]; and
(b) [Assignment: organization-defined security safeguards] are used to validate the
appropriateness of the information designated for release.
Information systems can only protect organizational information
within the confines of established system boundaries. Additional security safeguards may be
needed to ensure that such information is adequately protected once it is passed beyond the
established information system boundaries. Examples of information leaving the system
boundary include transmitting information to an external information system or printing the
information on one of its printers. In cases where the information system is unable to make a
determination of the adequacy of the protections provided by entities outside its boundary, as
a mitigating control, organizations determine procedurally whether the external information
systems are providing adequate security. The means used to determine the adequacy of the
security provided by external information systems include, for example, conducting
inspections or periodic testing, establishing agreements between the organization and its
counterpart organizations, or some other process. The means used by external entities to
protect the information received need not be the same as those used by the organization, but
the means employed are sufficient to provide consistent adjudication of the security policy to
protect the information. This control enhancement requires information systems to employ
technical or procedural means to validate the information prior to releasing it to external
systems. For example, if the information system passes information to another system
controlled by another organization, technical means are employed to validate that the security
attributes associated with the exported information are appropriate for the receiving system.
Alternatively, if the information system passes information to a printer in organizationcontrolled space, procedural means can be employed to ensure that only appropriately
authorized individuals gain access to the printer. This control enhancement is most applicable
when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that
establishes policy regarding access to the information, and that policy applies beyond the
realm of a particular information system or organization.
Supplemental Guidance:
(10) ACCESS ENFORCEMENT | AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS
The organization employs an audited override of automated access control mechanisms under
[Assignment: organization-defined conditions].
Supplemental Guidance:
References:
APPENDIX F-AC
Related controls: AU-2, AU-6.
None.
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Priority and Baseline Allocation:
P1
AC-4
LOW AC-3
MOD AC-3
HIGH AC-3
INFORMATION FLOW ENFORCEMENT
The information system enforces approved authorizations for controlling the flow of
information within the system and between interconnected systems based on [Assignment:
organization-defined information flow control policies].
Control:
Information flow control regulates where information is allowed to travel
within an information system and between information systems (as opposed to who is allowed to
access the information) and without explicit regard to subsequent accesses to that information.
Flow control restrictions include, for example, keeping export-controlled information from being
transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the
organization, restricting web requests to the Internet that are not from the internal web proxy
server, and limiting information transfers between organizations based on data structures and
content. Transferring information between information systems representing different security
domains with different security policies introduces risk that such transfers violate one or more
domain security policies. In such situations, information owners/stewards provide guidance at
designated policy enforcement points between interconnected systems. Organizations consider
mandating specific architectural solutions when required to enforce specific security policies.
Enforcement includes, for example: (i) prohibiting information transfers between interconnected
systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way
information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security
attributes and security labels.
Supplemental Guidance:
Organizations commonly employ information flow control policies and enforcement mechanisms
to control the flow of information between designated sources and destinations (e.g., networks,
individuals, and devices) within information systems and between interconnected systems. Flow
control is based on the characteristics of the information and/or the information path. Enforcement
occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted
tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information
system services, provide a packet-filtering capability based on header information, or messagefiltering capability based on message content (e.g., implementing key word searches or using
document characteristics). Organizations also consider the trustworthiness of filtering/inspection
mechanisms (i.e., hardware, firmware, and software components) that are critical to information
flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution
needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow
enforcement mechanisms implemented in cross-domain products, for example, high-assurance
guards. Such capabilities are generally not available in commercial off-the-shelf information
technology products. Related controls: AC-3, AC-17, AC-19, AC-21, CM-6, CM-7, SA-8, SC-2,
SC-5, SC-7, SC-18.
Control Enhancements:
(1)
INFORMATION FLOW ENFORCEMENT | OBJECT SECURITY ATTRIBUTES
The information system uses [Assignment: organization-defined security attributes] associated
with [Assignment: organization-defined information, source, and destination objects] to enforce
[Assignment: organization-defined information flow control policies] as a basis for flow control
decisions.
Information flow enforcement mechanisms compare security attributes
associated with information (data content and data structure) and source/destination objects,
and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms
encounter information flows not explicitly allowed by information flow policies. For example,
an information object labeled Secret would be allowed to flow to a destination object labeled
Secret, but an information object labeled Top Secret would not be allowed to flow to a
Supplemental Guidance:
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destination object labeled Secret. Security attributes can also include, for example, source and
destination addresses employed in traffic filter firewalls. Flow enforcement using explicit
security attributes can be used, for example, to control the release of certain types of
information. Related control: AC-16.
(2)
INFORMATION FLOW ENFORCEMENT | PROCESSING DOMAINS
The information system uses protected processing domains to enforce [Assignment: organizationdefined information flow control policies] as a basis for flow control decisions.
Supplemental Guidance: Within information systems, protected processing domains are
processing spaces that have controlled interactions with other processing spaces, thus
enabling control of information flows between these spaces and to/from data/information
objects. A protected processing domain can be provided, for example, by implementing
domain and type enforcement. In domain and type enforcement, information system processes
are assigned to domains; information is identified by types; and information flows are
controlled based on allowed information accesses (determined by domain and type), allowed
signaling among domains, and allowed process transitions to other domains.
(3)
INFORMATION FLOW ENFORCEMENT | DYNAMIC INFORMATION FLOW CONTROL
The information system enforces dynamic information flow control based on [Assignment:
organization-defined policies].
Supplemental Guidance: Organizational policies regarding dynamic information flow control
include, for example, allowing or disallowing information flows based on changing conditions
or mission/operational considerations. Changing conditions include, for example, changes in
organizational risk tolerance due to changes in the immediacy of mission/business needs,
changes in the threat environment, and detection of potentially harmful or adverse events.
Related control: SI-4.
(4)
| CONTENT CHECK ENCRYPTED INFORMATION
The information system prevents encrypted information from bypassing content-checking
mechanisms by [Selection (one or more): decrypting the information; blocking the flow of the
encrypted information; terminating communications sessions attempting to pass encrypted
information; [Assignment: organization-defined procedure or method]].
INFORMATION FLOW ENFORCEMENT
Supplemental Guidance:
(5)
Related control: SI-4.
INFORMATION FLOW ENFORCEMENT | EMBEDDED DATA TYPES
The information system enforces [Assignment: organization-defined limitations] on embedding
data types within other data types.
Supplemental Guidance: Embedding data types within other data types may result in reduced
flow control effectiveness. Data type embedding includes, for example, inserting executable
files as objects within word processing files, inserting references or descriptive information
into a media file, and compressed or archived data types that may include multiple embedded
data types. Limitations on data type embedding consider the levels of embedding and prohibit
levels of data type embedding that are beyond the capability of the inspection tools.
(6)
INFORMATION FLOW ENFORCEMENT | METADATA
The information system enforces information flow control based on [Assignment: organizationdefined metadata].
Supplemental Guidance: Metadata is information used to describe the characteristics of data.
Metadata can include structural metadata describing data structures (e.g., data format, syntax,
and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone
number). Enforcing allowed information flows based on metadata enables simpler and more
effective flow control. Organizations consider the trustworthiness of metadata with regard to
data accuracy (i.e., knowledge that the metadata values are correct with respect to the data),
data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding
of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with
appropriate levels of assurance). Related controls: AC-16, SI-7.
(7)
INFORMATION FLOW ENFORCEMENT | ONE-WAY FLOW MECHANISMS
The information system enforces [Assignment: organization-defined one-way information flows]
using hardware mechanisms.
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(8)
INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTERS
The information system enforces information flow control using [Assignment: organization-defined
security policy filters] as a basis for flow control decisions for [Assignment: organization-defined
information flows].
Organization-defined security policy filters can address data structures
and content. For example, security policy filters for data structures can check for maximum
file lengths, maximum field sizes, and data/file types (for structured and unstructured data).
Security policy filters for data content can check for specific words (e.g., dirty/clean word
filters), enumerated values or data value ranges, and hidden content. Structured data permits
the interpretation of data content by applications. Unstructured data typically refers to digital
information without a particular data structure or with a data structure that does not facilitate
the development of rule sets to address the particular sensitivity of the information conveyed
by the data or the associated flow enforcement decisions. Unstructured data consists of: (i)
bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and
(ii) textual objects that are based on written or printed languages (e.g., commercial off-theshelf word processing documents, spreadsheets, or emails). Organizations can implement
more than one security policy filter to meet information flow control objectives (e.g.,
employing clean word lists in conjunction with dirty word lists may help to reduce false
positives).
Supplemental Guidance:
(9)
INFORMATION FLOW ENFORCEMENT | HUMAN REVIEWS
The information system enforces the use of human reviews for [Assignment: organization-defined
information flows] under the following conditions: [Assignment: organization-defined conditions].
Supplemental Guidance: Organizations define security policy filters for all situations where
automated flow control decisions are possible. When a fully automated flow control decision
is not possible, then a human review may be employed in lieu of, or as a complement to,
automated security policy filtering. Human reviews may also be employed as deemed
necessary by organizations.
(10) INFORMATION FLOW ENFORCEMENT | ENABLE / DISABLE SECURITY POLICY FILTERS
The information system provides the capability for privileged administrators to enable/disable
[Assignment: organization-defined security policy filters] under the following conditions:
[Assignment: organization-defined conditions].
Supplemental Guidance: For example, as allowed by the information system authorization,
administrators can enable security policy filters to accommodate approved data types.
(11) INFORMATION FLOW ENFORCEMENT | CONFIGURATION OF SECURITY POLICY FILTERS
The information system provides the capability for privileged administrators to configure
[Assignment: organization-defined security policy filters] to support different security policies.
Supplemental Guidance: For example, to reflect changes in security policies, administrators can
change the list of “dirty words” that security policy mechanisms check in accordance with the
definitions provided by organizations.
(12) INFORMATION FLOW ENFORCEMENT | DATA TYPE IDENTIFIERS
The information system, when transferring information between different security domains, uses
[Assignment: organization-defined data type identifiers] to validate data essential for information
flow decisions.
Supplemental Guidance: Data type identifiers include, for example, filenames, file types, file
signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow
transfer of data only if compliant with data type format specifications.
(13) INFORMATION FLOW ENFORCEMENT | DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS
The information system, when transferring information between different security domains,
decomposes information into [Assignment: organization-defined policy-relevant subcomponents]
for submission to policy enforcement mechanisms.
Supplemental Guidance: Policy enforcement mechanisms apply filtering, inspection, and/or
sanitization rules to the policy-relevant subcomponents of information to facilitate flow
enforcement prior to transferring such information to different security domains. Parsing
transfer files facilitates policy decisions on source, destination, certificates, classification,
attachments, and other security-related component differentiators.
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(14) INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTER CONSTRAINTS
The information system, when transferring information between different security domains,
implements [Assignment: organization-defined security policy filters] requiring fully enumerated
formats that restrict data structure and content.
Supplemental Guidance: Data structure and content restrictions reduce the range of potential
malicious and/or unsanctioned content in cross-domain transactions. Security policy filters
that restrict data structures include, for example, restricting file sizes and field lengths. Data
content policy filters include, for example: (i) encoding formats for character sets (e.g.,
Universal Character Set Transformation Formats, American Standard Code for Information
Interchange); (ii) restricting character data fields to only contain alpha-numeric characters;
(iii) prohibiting special characters; and (iv) validating schema structures.
(15) INFORMATION FLOW ENFORCEMENT | DETECTION OF UNSANCTIONED INFORMATION
The information system, when transferring information between different security domains,
examines the information for the presence of [Assignment: organized-defined unsanctioned
information] and prohibits the transfer of such information in accordance with the [Assignment:
organization-defined security policy].
Supplemental Guidance: Detection of unsanctioned information includes, for example, checking
all information to be transferred for malicious code and dirty words. Related control: SI-3.
(16) INFORMATION FLOW ENFORCEMENT | INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS
[Withdrawn: Incorporated into AC-4].
(17) INFORMATION FLOW ENFORCEMENT | DOMAIN AUTHENTICATION
The information system uniquely identifies and authenticates source and destination points by
[Selection (one or more): organization, system, application, individual] for information transfer.
Supplemental Guidance: Attribution is a critical component of a security concept of operations.
The ability to identify source and destination points for information flowing in information
systems, allows the forensic reconstruction of events when required, and encourages policy
compliance by attributing policy violations to specific organizations/individuals. Successful
domain authentication requires that information system labels distinguish among systems,
organizations, and individuals involved in preparing, sending, receiving, or disseminating
information. Related controls: IA-2, IA-3, IA-4, IA-5.
(18) INFORMATION FLOW ENFORCEMENT | SECURITY ATTRIBUTE BINDING
The information system binds security attributes to information using [Assignment: organizationdefined binding techniques] to facilitate information flow policy enforcement.
Supplemental Guidance: Binding techniques implemented by information systems affect the
strength of security attribute binding to information. Binding strength and the assurance
associated with binding techniques play an important part in the trust organizations have in
the information flow enforcement process. The binding techniques affect the number and
degree of additional reviews required by organizations. Related controls: AC-16, SC-16.
(19) INFORMATION FLOW ENFORCEMENT | VALIDATION OF METADATA
The information system, when transferring information between different security domains, applies
the same security policy filtering to metadata as it applies to data payloads.
Supplemental Guidance: This control enhancement requires the validation of metadata and the
data to which the metadata applies. Some organizations distinguish between metadata and
data payloads (i.e., only the data to which the metadata is bound). Other organizations do not
make such distinctions, considering metadata and the data to which the metadata applies as
part of the payload. All information (including metadata and the data to which the metadata
applies) is subject to filtering and inspection.
(20) INFORMATION FLOW ENFORCEMENT | APPROVED SOLUTIONS
The organization employs [Assignment: organization-defined solutions in approved
configurations] to control the flow of [Assignment: organization-defined information] across
security domains.
Supplemental Guidance: Organizations define approved solutions and configurations in crossdomain policies and guidance in accordance with the types of information flows across
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classification boundaries. The Unified Cross Domain Management Office (UCDMO)
provides a baseline listing of approved cross-domain solutions.
(21) INFORMATION FLOW ENFORCEMENT | PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
The information system separates information flows logically or physically using [Assignment:
organization-defined mechanisms and/or techniques] to accomplish [Assignment: organizationdefined required separations by types of information].
Enforcing the separation of information flows by type can enhance
protection by ensuring that information is not commingled while in transit and by enabling
flow control by transmission paths perhaps not otherwise achievable. Types of separable
information include, for example, inbound and outbound communications traffic, service
requests and responses, and information of differing security categories.
Supplemental Guidance:
(22) INFORMATION FLOW ENFORCEMENT | ACCESS ONLY
The information system provides access from a single device to computing platforms,
applications, or data residing on multiple different security domains, while preventing any
information flow between the different security domains.
Supplemental Guidance: The information system, for example, provides a desktop for users to
access each connected security domain without providing any mechanisms to allow transfer
of information between the different security domains.
References:
None.
Priority and Baseline Allocation:
P1
AC-5
LOW Not Selected
MOD AC-4
HIGH AC-4
SEPARATION OF DUTIES
Control:
The organization:
a.
Separates [Assignment: organization-defined duties of individuals];
b.
Documents separation of duties of individuals; and
c.
Defines information system access authorizations to support separation of duties.
Separation of duties addresses the potential for abuse of authorized
privileges and helps to reduce the risk of malevolent activity without collusion. Separation of
duties includes, for example: (i) dividing mission functions and information system support
functions among different individuals and/or roles; (ii) conducting information system support
functions with different individuals (e.g., system management, programming, configuration
management, quality assurance and testing, and network security); and (iii) ensuring security
personnel administering access control functions do not also administer audit functions. Related
controls: AC-3, AC-6, PE-3, PE-4, PS-2.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P1
AC-6
LOW Not Selected
MOD AC-5
HIGH AC-5
LEAST PRIVILEGE
The organization employs the principle of least privilege, allowing only authorized
accesses for users (or processes acting on behalf of users) which are necessary to accomplish
assigned tasks in accordance with organizational missions and business functions.
Control:
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Organizations employ least privilege for specific duties and information
systems. The principle of least privilege is also applied to information system processes, ensuring
that the processes operate at privilege levels no higher than necessary to accomplish required
organizational missions/business functions. Organizations consider the creation of additional
processes, roles, and information system accounts as necessary, to achieve least privilege.
Organizations also apply least privilege to the development, implementation, and operation of
organizational information systems. Related controls: AC-2, AC-3, AC-5, CM-6, CM-7, PL-2.
Supplemental Guidance:
Control Enhancements:
(1)
LEAST PRIVILEGE | AUTHORIZE ACCESS TO SECURITY FUNCTIONS
The organization explicitly authorizes access to [Assignment: organization-defined security
functions (deployed in hardware, software, and firmware) and security-relevant information].
Security functions include, for example, establishing system accounts,
configuring access authorizations (i.e., permissions, privileges), setting events to be audited,
and setting intrusion detection parameters. Security-relevant information includes, for
example, filtering rules for routers/firewalls, cryptographic key management information,
configuration parameters for security services, and access control lists. Explicitly authorized
personnel include, for example, security administrators, system and network administrators,
system security officers, system maintenance personnel, system programmers, and other
privileged users. Related controls: AC-17, AC-18, AC-19.
Supplemental Guidance:
(2)
LEAST PRIVILEGE | NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
The organization requires that users of information system accounts, or roles, with access to
[Assignment: organization-defined security functions or security-relevant information], use nonprivileged accounts or roles, when accessing nonsecurity functions.
Supplemental Guidance: This control enhancement limits exposure when operating from within
privileged accounts or roles. The inclusion of roles addresses situations where organizations
implement access control policies such as role-based access control and where a change of
role provides the same degree of assurance in the change of access authorizations for both the
user and all processes acting on behalf of the user as would be provided by a change between
a privileged and non-privileged account. Related control: PL-4.
(3)
LEAST PRIVILEGE | NETWORK ACCESS TO PRIVILEGED COMMANDS
The organization authorizes network access to [Assignment: organization-defined privileged
commands] only for [Assignment: organization-defined compelling operational needs] and
documents the rationale for such access in the security plan for the information system.
Network access is any access across a network connection in lieu of
local access (i.e., user being physically present at the device). Related control: AC-17.
Supplemental Guidance:
(4)
LEAST PRIVILEGE | SEPARATE PROCESSING DOMAINS
The information system provides separate processing domains to enable finer-grained allocation
of user privileges.
Supplemental Guidance: Providing separate processing domains for finer-grained allocation of
user privileges includes, for example: (i) using virtualization techniques to allow additional
privileges within a virtual machine while restricting privileges to other virtual machines or to
the underlying actual machine; (ii) employing hardware and/or software domain separation
mechanisms; and (iii) implementing separate physical domains. Related controls: AC-4, SC-3,
SC-30, SC-32.
(5)
LEAST PRIVILEGE | PRIVILEGED ACCOUNTS
The organization restricts privileged accounts on the information system to [Assignment:
organization-defined personnel or roles].
Supplemental Guidance: Privileged accounts, including super user accounts, are typically
described as system administrator for various types of commercial off-the-shelf operating
systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day
users from having access to privileged information/functions. Organizations may differentiate
in the application of this control enhancement between allowed privileges for local accounts
and for domain accounts provided organizations retain the ability to control information
APPENDIX F-AC
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system configurations for key security parameters and as otherwise necessary to sufficiently
mitigate risk. Related control: CM-6.
(6)
LEAST PRIVILEGE | PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS
The organization prohibits privileged access to the information system by non-organizational
users.
Supplemental Guidance:
(7)
Related control: IA-8.
LEAST PRIVILEGE | REVIEW OF USER PRIVILEGES
The organization:
(a)
Reviews [Assignment: organization-defined frequency] the privileges assigned to
[Assignment: organization-defined roles or classes of users] to validate the need for such
privileges; and
(b) Reassigns or removes privileges, if necessary, to correctly reflect organizational
mission/business needs.
Supplemental Guidance: The need for certain assigned user privileges may change over time
reflecting changes in organizational missions/business function, environments of operation,
technologies, or threat. Periodic review of assigned user privileges is necessary to determine if
the rationale for assigning such privileges remains valid. If the need cannot be revalidated,
organizations take appropriate corrective actions. Related control: CA-7.
(8)
LEAST PRIVILEGE | PRIVILEGE LEVELS FOR CODE EXECUTION
The information system prevents [Assignment: organization-defined software] from executing at
higher privilege levels than users executing the software.
Supplemental Guidance: In certain situations, software applications/programs need to execute
with elevated privileges to perform required functions. However, if the privileges required for
execution are at a higher level than the privileges assigned to organizational users invoking
such applications/programs, those users are indirectly provided with greater privileges than
assigned by organizations.
(9)
LEAST PRIVILEGE | AUDITING USE OF PRIVILEGED FUNCTIONS
The information system audits the execution of privileged functions.
Supplemental Guidance: Misuse of privileged functions, either intentionally or unintentionally
by authorized users, or by unauthorized external entities that have compromised information
system accounts, is a serious and ongoing concern and can have significant adverse impacts
on organizations. Auditing the use of privileged functions is one way to detect such misuse,
and in doing so, help mitigate the risk from insider threats and the advanced persistent threat
(APT). Related control: AU-2.
(10) LEAST PRIVILEGE | PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
The information system prevents non-privileged users from executing privileged functions to
include disabling, circumventing, or altering implemented security safeguards/countermeasures.
Supplemental Guidance: Privileged functions include, for example, establishing information
system accounts, performing system integrity checks, or administering cryptographic key
management activities. Non-privileged users are individuals that do not possess appropriate
authorizations. Circumventing intrusion detection and prevention mechanisms or malicious
code protection mechanisms are examples of privileged functions that require protection from
non-privileged users.
References:
None.
Priority and Baseline Allocation:
P1
APPENDIX F-AC
LOW Not Selected
MOD AC-6 (1) (2) (5) (9) (10)
HIGH AC-6 (1) (2) (3) (5) (9) (10)
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AC-7
UNSUCCESSFUL LOGON ATTEMPTS
Control:
The information system:
a.
Enforces a limit of [Assignment: organization-defined number] consecutive invalid logon
attempts by a user during a [Assignment: organization-defined time period]; and
b.
Automatically [Selection: locks the account/node for an [Assignment: organization-defined
time period]; locks the account/node until released by an administrator; delays next logon
prompt according to [Assignment: organization-defined delay algorithm]] when the
maximum number of unsuccessful attempts is exceeded.
This control applies regardless of whether the logon occurs via a local or
network connection. Due to the potential for denial of service, automatic lockouts initiated by
information systems are usually temporary and automatically release after a predetermined time
period established by organizations. If a delay algorithm is selected, organizations may choose to
employ different algorithms for different information system components based on the capabilities
of those components. Responses to unsuccessful logon attempts may be implemented at both the
operating system and the application levels. Related controls: AC-2, AC-9, AC-14, IA-5.
Supplemental Guidance:
Control Enhancements:
(1)
UNSUCCESSFUL LOGON ATTEMPTS | AUTOMATIC ACCOUNT LOCK
[Withdrawn: Incorporated into AC-7].
(2)
UNSUCCESSFUL LOGON ATTEMPTS | PURGE / WIPE MOBILE DEVICE
The information system purges/wipes information from [Assignment: organization-defined mobile
devices] based on [Assignment: organization-defined purging/wiping requirements/techniques]
after [Assignment: organization-defined number] consecutive, unsuccessful device logon
attempts.
Supplemental Guidance: This control enhancement applies only to mobile devices for which a
logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the
mobile device, not to any one account on the device. Therefore, successful logons to any
accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define
information to be purged/wiped carefully in order to avoid over purging/wiping which may
result in devices becoming unusable. Purging/wiping may be unnecessary if the information
on the device is protected with sufficiently strong encryption mechanisms. Related controls:
AC-19, MP-5, MP-6, SC-13.
References:
None.
Priority and Baseline Allocation:
LOW AC-7
P2
AC-8
MOD AC-7
HIGH AC-7
SYSTEM USE NOTIFICATION
Control:
a.
APPENDIX F-AC
The information system:
Displays to users [Assignment: organization-defined system use notification message or
banner] before granting access to the system that provides privacy and security notices
consistent with applicable federal laws, Executive Orders, directives, policies, regulations,
standards, and guidance and states that:
1.
Users are accessing a U.S. Government information system;
2.
Information system usage may be monitored, recorded, and subject to audit;
3.
Unauthorized use of the information system is prohibited and subject to criminal and civil
penalties; and
4.
Use of the information system indicates consent to monitoring and recording;
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b.
Retains the notification message or banner on the screen until users acknowledge the usage
conditions and take explicit actions to log on to or further access the information system; and
c.
For publicly accessible systems:
1.
Displays system use information [Assignment: organization-defined conditions], before
granting further access;
2.
Displays references, if any, to monitoring, recording, or auditing that are consistent with
privacy accommodations for such systems that generally prohibit those activities; and
3.
Includes a description of the authorized uses of the system.
System use notifications can be implemented using messages or warning
banners displayed before individuals log in to information systems. System use notifications are
used only for access via logon interfaces with human users and are not required when such human
interfaces do not exist. Organizations consider system use notification messages/banners displayed
in multiple languages based on specific organizational needs and the demographics of information
system users. Organizations also consult with the Office of the General Counsel for legal review
and approval of warning banner content.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P1
AC-9
LOW AC-8
MOD AC-8
HIGH AC-8
PREVIOUS LOGON (ACCESS) NOTIFICATION
Control: The information system notifies the user, upon successful logon (access) to the system, of
the date and time of the last logon (access).
This control is applicable to logons to information systems via human user
interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented
architectures). Related controls: AC-7, PL-4.
Supplemental Guidance:
Control Enhancements:
(1)
PREVIOUS LOGON NOTIFICATION | UNSUCCESSFUL LOGONS
The information system notifies the user, upon successful logon/access, of the number of
unsuccessful logon/access attempts since the last successful logon/access.
(2)
PREVIOUS LOGON NOTIFICATION | SUCCESSFUL / UNSUCCESSFUL LOGONS
The information system notifies the user of the number of [Selection: successful logons/accesses;
unsuccessful logon/access attempts; both] during [Assignment: organization-defined time period].
(3)
PREVIOUS LOGON NOTIFICATION | NOTIFICATION OF ACCOUNT CHANGES
The information system notifies the user of changes to [Assignment: organization-defined
security-related characteristics/parameters of the user’s account] during [Assignment:
organization-defined time period].
(4)
PREVIOUS LOGON NOTIFICATION | ADDITIONAL LOGON INFORMATION
The information system notifies the user, upon successful logon (access), of the following
additional information: [Assignment: organization-defined information to be included in addition to
the date and time of the last logon (access)].
Supplemental Guidance: This control enhancement permits organizations to specify additional
information to be provided to users upon logon including, for example, the location of last
logon. User location is defined as that information which can be determined by information
systems, for example, IP addresses from which network logons occurred, device identifiers, or
notifications of local logons.
APPENDIX F-AC
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References:
None.
Priority and Baseline Allocation:
P0
AC-10
LOW Not Selected
MOD Not Selected
HIGH Not Selected
CONCURRENT SESSION CONTROL
The information system limits the number of concurrent sessions for each [Assignment:
organization-defined account and/or account type] to [Assignment: organization-defined number].
Control:
Organizations may define the maximum number of concurrent sessions for
information system accounts globally, by account type (e.g., privileged user, non-privileged user,
domain, specific application), by account, or a combination. For example, organizations may limit
the number of concurrent sessions for system administrators or individuals working in particularly
sensitive domains or mission-critical applications. This control addresses concurrent sessions for
information system accounts and does not address concurrent sessions by single users via multiple
system accounts.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P3
AC-11
LOW Not Selected
MOD Not Selected
HIGH AC-10
SESSION LOCK
Control:
The information system:
a.
Prevents further access to the system by initiating a session lock after [Assignment:
organization-defined time period] of inactivity or upon receiving a request from a user; and
b.
Retains the session lock until the user reestablishes access using established identification and
authentication procedures.
Session locks are temporary actions taken when users stop work and move
away from the immediate vicinity of information systems but do not want to log out because of the
temporary nature of their absences. Session locks are implemented where session activities can be
determined. This is typically at the operating system level, but can also be at the application level.
Session locks are not an acceptable substitute for logging out of information systems, for example,
if organizations require users to log out at the end of workdays. Related control: AC-7.
Supplemental Guidance:
Control Enhancements:
(1)
SESSION LOCK | PATTERN-HIDING DISPLAYS
The information system conceals, via the session lock, information previously visible on the
display with a publicly viewable image.
Publicly viewable images can include static or dynamic images, for
example, patterns used with screen savers, photographic images, solid colors, clock, battery
life indicator, or a blank screen, with the additional caveat that none of the images convey
sensitive information.
Supplemental Guidance:
References:
APPENDIX F-AC
OMB Memorandum 06-16.
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Priority and Baseline Allocation:
LOW Not Selected
P3
AC-12
MOD AC-11 (1)
HIGH AC-11 (1)
SESSION TERMINATION
The information system automatically terminates a user session after [Assignment:
organization-defined conditions or trigger events requiring session disconnect].
Control:
This control addresses the termination of user-initiated logical sessions in
contrast to SC-10 which addresses the termination of network connections that are associated with
communications sessions (i.e., network disconnect). A logical session (for local, network, and
remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an
organizational information system. Such user sessions can be terminated (and thus terminate user
access) without terminating network sessions. Session termination terminates all processes
associated with a user’s logical session except those processes that are specifically created by the
user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events
requiring automatic session termination can include, for example, organization-defined periods of
user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on
information system use. Related controls: SC-10, SC-23.
Supplemental Guidance:
Control Enhancements:
(1)
SESSION TERMINATION | USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
The information system:
(a)
Provides a logout capability for user-initiated communications sessions whenever
authentication is used to gain access to [Assignment: organization-defined information
resources]; and
(b) Displays an explicit logout message to users indicating the reliable termination of
authenticated communications sessions.
Supplemental Guidance: Information resources to which users gain access via authentication
include, for example, local workstations, databases, and password-protected websites/webbased services. Logout messages for web page access, for example, can be displayed after
authenticated sessions have been terminated. However, for some types of interactive sessions
including, for example, file transfer protocol (FTP) sessions, information systems typically
send logout messages as final messages prior to terminating sessions.
References:
None.
Priority and Baseline Allocation:
P2
AC-13
LOW Not Selected
MOD AC-12
HIGH AC-12
SUPERVISION AND REVIEW — ACCESS CONTROL
[Withdrawn: Incorporated into AC-2 and AU-6].
AC-14
PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
Control:
a.
APPENDIX F-AC
The organization:
Identifies [Assignment: organization-defined user actions] that can be performed on the
information system without identification or authentication consistent with organizational
missions/business functions; and
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b.
Documents and provides supporting rationale in the security plan for the information system,
user actions not requiring identification or authentication.
This control addresses situations in which organizations determine that no
identification or authentication is required in organizational information systems. Organizations
may allow a limited number of user actions without identification or authentication including, for
example, when individuals access public websites or other publicly accessible federal information
systems, when individuals use mobile phones to receive calls, or when facsimiles are received.
Organizations also identify actions that normally require identification or authentication but may
under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms
to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch
that commands bypass of the logon functionality and is protected from accidental or unmonitored
use. This control does not apply to situations where identification and authentication have already
occurred and are not repeated, but rather to situations where identification and authentication have
not yet occurred. Organizations may decide that there are no user actions that can be performed on
organizational information systems without identification and authentication and thus, the values
for assignment statements can be none. Related controls: CP-2, IA-2.
Supplemental Guidance:
Control Enhancements:
(1)
None.
PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION | NECESSARY USES
[Withdrawn: Incorporated into AC-14].
References:
None.
Priority and Baseline Allocation:
P3
AC-15
LOW AC-14
MOD AC-14
HIGH AC-14
AUTOMATED MARKING
[Withdrawn: Incorporated into MP-3].
AC-16
SECURITY ATTRIBUTES
Control:
The organization:
a.
Provides the means to associate [Assignment: organization-defined types of security
attributes] having [Assignment: organization-defined security attribute values] with
information in storage, in process, and/or in transmission;
b.
Ensures that the security attribute associations are made and retained with the information;
c.
Establishes the permitted [Assignment: organization-defined security attributes] for
[Assignment: organization-defined information systems]; and
d.
Determines the permitted [Assignment: organization-defined values or ranges] for each of the
established security attributes.
Information is represented internally within information systems using
abstractions known as data structures. Internal data structures can represent different types of
entities, both active and passive. Active entities, also known as subjects, are typically associated
with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known
as objects, are typically associated with data structures such as records, buffers, tables, files, interprocess pipes, and communications ports. Security attributes, a form of metadata, are abstractions
representing the basic properties or characteristics of active and passive entities with respect to
safeguarding information. These attributes may be associated with active entities (i.e., subjects)
that have the potential to send or receive information, to cause information to flow among objects,
Supplemental Guidance:
APPENDIX F-AC
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or to change the information system state. These attributes may also be associated with passive
entities (i.e., objects) that contain or receive information. The association of security attributes to
subjects and objects is referred to as binding and is typically inclusive of setting the attribute value
and the attribute type. Security attributes when bound to data/information, enables the enforcement
of information security policies for access control and information flow control, either through
organizational processes or information system functions or mechanisms. The content or assigned
values of security attributes can directly affect the ability of individuals to access organizational
information.
Organizations can define the types of attributes needed for selected information systems to support
missions/business functions. There is potentially a wide range of values that can be assigned to
any given security attribute. Release markings could include, for example, US only, NATO, or
NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and
values, organizations can ensure that the security attribute values are meaningful and relevant. The
term security labeling refers to the association of security attributes with subjects and objects
represented by internal data structures within organizational information systems, to enable
information system-based enforcement of information security policies. Security labels include,
for example, access authorizations, data life cycle protection (i.e., encryption and data expiration),
nationality, affiliation as contractor, and classification of information in accordance with legal and
compliance requirements. The term security marking refers to the association of security attributes
with objects in a human-readable form, to enable organizational process-based enforcement of
information security policies. The AC-16 base control represents the requirement for user-based
attribute association (marking). The enhancements to AC-16 represent additional requirements
including information system-based attribute association (labeling). Types of attributes include,
for example, classification level for objects and clearance (access authorization) level for subjects.
An example of a value for both of these attribute types is Top Secret. Related controls: AC-3, AC4, AC-6, AC-21, AU-2, AU-10, SC-16, MP-3.
Control Enhancements:
(1)
SECURITY ATTRIBUTES | DYNAMIC ATTRIBUTE ASSOCIATION
The information system dynamically associates security attributes with [Assignment: organizationdefined subjects and objects] in accordance with [Assignment: organization-defined security
policies] as information is created and combined.
Dynamic association of security attributes is appropriate whenever the
security characteristics of information changes over time. Security attributes may change, for
example, due to information aggregation issues (i.e., the security characteristics of individual
information elements are different from the combined elements), changes in individual access
authorizations (i.e., privileges), and changes in the security category of information. Related
control: AC-4.
Supplemental Guidance:
(2)
SECURITY ATTRIBUTES | ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS
The information system provides authorized individuals (or processes acting on behalf of
individuals) the capability to define or change the value of associated security attributes.
Supplemental Guidance: The content or assigned values of security attributes can directly affect
the ability of individuals to access organizational information. Therefore, it is important for
information systems to be able to limit the ability to create or modify security attributes to
authorized individuals. Related controls: AC-6, AU-2.
(3)
SECURITY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY INFORMATION SYSTEM
The information system maintains the association and integrity of [Assignment: organizationdefined security attributes] to [Assignment: organization-defined subjects and objects].
Supplemental Guidance: Maintaining the association and integrity of security attributes to
subjects and objects with sufficient assurance helps to ensure that the attribute associations
can be used as the basis of automated policy actions. Automated policy actions include, for
example, access control decisions or information flow control decisions.
APPENDIX F-AC
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(4)
SECURITY ATTRIBUTES | ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS
The information system supports the association of [Assignment: organization-defined security
attributes] with [Assignment: organization-defined subjects and objects] by authorized individuals
(or processes acting on behalf of individuals).
Supplemental Guidance: The support provided by information systems can vary to include: (i)
prompting users to select specific security attributes to be associated with specific information
objects; (ii) employing automated mechanisms for categorizing information with appropriate
attributes based on defined policies; or (iii) ensuring that the combination of selected security
attributes selected is valid. Organizations consider the creation, deletion, or modification of
security attributes when defining auditable events.
(5)
SECURITY ATTRIBUTES | ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES
The information system displays security attributes in human-readable form on each object that
the system transmits to output devices to identify [Assignment: organization-identified special
dissemination, handling, or distribution instructions] using [Assignment: organization-identified
human-readable, standard naming conventions].
Information system outputs include, for example, pages, screens, or
equivalent. Information system output devices include, for example, printers and video
displays on computer workstations, notebook computers, and personal digital assistants.
Supplemental Guidance:
(6)
SECURITY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION
The organization allows personnel to associate, and maintain the association of [Assignment:
organization-defined security attributes] with [Assignment: organization-defined subjects and
objects] in accordance with [Assignment: organization-defined security policies].
This control enhancement requires individual users (as opposed to the
information system) to maintain associations of security attributes with subjects and objects.
Supplemental Guidance:
(7)
SECURITY ATTRIBUTES | CONSISTENT ATTRIBUTE INTERPRETATION
The organization provides a consistent interpretation of security attributes transmitted between
distributed information system components.
In order to enforce security policies across multiple components in
distributed information systems (e.g., distributed database management systems, cloud-based
systems, and service-oriented architectures), organizations provide a consistent interpretation
of security attributes that are used in access enforcement and flow enforcement decisions.
Organizations establish agreements and processes to ensure that all distributed information
system components implement security attributes with consistent interpretations in automated
access/flow enforcement actions.
Supplemental Guidance:
(8)
SECURITY ATTRIBUTES | ASSOCIATION TECHNIQUES / TECHNOLOGIES
The information system implements [Assignment: organization-defined techniques or
technologies] with [Assignment: organization-defined level of assurance] in associating security
attributes to information.
Supplemental Guidance: The association (i.e., binding) of security attributes to information
within information systems is of significant importance with regard to conducting automated
access enforcement and flow enforcement actions. The association of such security attributes
can be accomplished with technologies/techniques providing different levels of assurance. For
example, information systems can cryptographically bind security attributes to information
using digital signatures with the supporting cryptographic keys protected by hardware devices
(sometimes known as hardware roots of trust).
(9)
SECURITY ATTRIBUTES | ATTRIBUTE REASSIGNMENT
The organization ensures that security attributes associated with information are reassigned only
via re-grading mechanisms validated using [Assignment: organization-defined techniques or
procedures].
Supplemental Guidance: Validated re-grading mechanisms are employed by organizations to
provide the requisite levels of assurance for security attribute reassignment activities. The
validation is facilitated by ensuring that re-grading mechanisms are single purpose and of
limited function. Since security attribute reassignments can affect security policy enforcement
actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is
necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.
APPENDIX F-AC
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(10) SECURITY ATTRIBUTES | ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS
The information system provides authorized individuals the capability to define or change the type
and value of security attributes available for association with subjects and objects.
Supplemental Guidance: The content or assigned values of security attributes can directly affect
the ability of individuals to access organizational information. Therefore, it is important for
information systems to be able to limit the ability to create or modify security attributes to
authorized individuals only.
References:
None.
Priority and Baseline Allocation:
P0
AC-17
LOW Not Selected
MOD Not Selected
HIGH Not Selected
REMOTE ACCESS
Control:
The organization:
a.
Establishes and documents usage restrictions, configuration/connection requirements, and
implementation guidance for each type of remote access allowed; and
b.
Authorizes remote access to the information system prior to allowing such connections.
Remote access is access to organizational information systems by users (or
processes acting on behalf of users) communicating through external networks (e.g., the Internet).
Remote access methods include, for example, dial-up, broadband, and wireless. Organizations
often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity
over remote connections. The use of encrypted VPNs does not make the access non-remote;
however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g.,
employing appropriate encryption techniques for confidentiality and integrity protection) may
provide sufficient assurance to the organization that it can effectively treat such connections as
internal networks. Still, VPN connections traverse external networks, and the encrypted VPN
does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can
affect the organizational capability to adequately monitor network communications traffic for
malicious code. Remote access controls apply to information systems other than public web
servers or systems designed for public access. This control addresses authorization prior to
allowing remote access without specifying the formats for such authorization. While organizations
may use interconnection security agreements to authorize remote access connections, such
agreements are not required by this control. Enforcing access restrictions for remote connections is
addressed in AC-3. Related controls: AC-2, AC-3, AC-18, AC-19, AC-20, CA-3, CA-7, CM-8,
IA-2, IA-3, IA-8, MA-4, PE-17, PL-4, SC-10, SI-4.
Supplemental Guidance:
Control Enhancements:
(1)
REMOTE ACCESS | AUTOMATED MONITORING / CONTROL
The information system monitors and controls remote access methods.
Automated monitoring and control of remote access sessions allows
organizations to detect cyber attacks and also ensure ongoing compliance with remote access
policies by auditing connection activities of remote users on a variety of information system
components (e.g., servers, workstations, notebook computers, smart phones, and tablets).
Related controls: AU-2, AU-12.
Supplemental Guidance:
(2)
REMOTE ACCESS | PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION
The information system implements cryptographic mechanisms to protect the confidentiality and
integrity of remote access sessions.
Supplemental Guidance: The encryption strength of mechanism is selected based on the security
categorization of the information. Related controls: SC-8, SC-12, SC-13.
APPENDIX F-AC
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and Organizations
________________________________________________________________________________________________
(3)
REMOTE ACCESS | MANAGED ACCESS CONTROL POINTS
The information system routes all remote accesses through [Assignment: organization-defined
number] managed network access control points.
Supplemental Guidance: Limiting the number of access control points for remote accesses
reduces the attack surface for organizations. Organizations consider the Trusted Internet
Connections (TIC) initiative requirements for external network connections. Related control:
SC-7.
(4)
REMOTE ACCESS | PRIVILEGED COMMANDS / ACCESS
The organization:
(a)
Authorizes the execution of privileged commands and access to security-relevant information
via remote access only for [Assignment: organization-defined needs]; and
(b) Documents the rationale for such access in the security plan for the information system.
Supplemental Guidance:
Related control: AC-6.
(5)
REMOTE ACCESS | MONITORING FOR UNAUTHORIZED CONNECTIONS
(6)
REMOTE ACCESS | PROTECTION OF INFORMATION
[Withdrawn: Incorporated into SI-4].
The organization ensures that users protect information about remote access mechanisms from
unauthorized use and disclosure.
Supplemental Guidance:
(7)
Related controls: AT-2, AT-3, PS-6.
REMOTE ACCESS | ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS
[Withdrawn: Incorporated into AC-3 (10)].
(8)
REMOTE ACCESS | DISABLE NONSECURE NETWORK PROTOCOLS
[Withdrawn: Incorporated into CM-7].
(9)
REMOTE ACCESS | DISCONNECT / DISABLE ACCESS
The organization provides the capability to expeditiously disconnect or disable remote access to
the information system within [Assignment: organization-defined time period].
Supplemental Guidance: This control enhancement requires organizations to have the capability
to rapidly disconnect current users remotely accessing the information system and/or disable
further remote access. The speed of disconnect or disablement varies based on the criticality
of missions/business functions and the need to eliminate immediate or future remote access to
organizational information systems.
References: NIST Special Publications 800-46, 800-77, 800-113, 800-114, 800-121.
Priority and Baseline Allocation:
P1
AC-18
LOW AC-17
MOD AC-17 (1) (2) (3) (4)
HIGH AC-17 (1) (2) (3) (4)
WIRELESS ACCESS
Control:
The organization:
a.
Establishes usage restrictions, configuration/connection requirements, and implementation
guidance for wireless access; and
b.
Authorizes wireless access to the information system prior to allowing such connections.
Wireless technologies include, for example, microwave, packet radio
(UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g.,
EAP/TLS, PEAP), which provide credential protection and mutual authentication. Related
controls: AC-2, AC-3, AC-17, AC-19, CA-3, CA-7, CM-8, IA-2, IA-3, IA-8, PL-4, SI-4.
Supplemental Guidance:
APPENDIX F-AC
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________________________________________________________________________________________________
Control Enhancements:
(1)
WIRELESS ACCESS | AUTHENTICATION AND ENCRYPTION
The information system protects wireless access to the system using authentication of [Selection
(one or more): users; devices] and encryption.
Supplemental Guidance:
(2)
Related controls: SC-8, SC-13.
WIRELESS ACCESS | MONITORING UNAUTHORIZED CONNECTIONS
[Withdrawn: Incorporated into SI-4].
(3)
WIRELESS ACCESS | DISABLE WIRELESS NETWORKING
The organization disables, when not intended for use, wireless networking capabilities internally
embedded within information system components prior to issuance and deployment.
Supplemental Guidance:
(4)
Related control: AC-19.
WIRELESS ACCESS | RESTRICT CONFIGURATIONS BY USERS
The organization identifies and explicitly authorizes users allowed to independently configure
wireless networking capabilities.
Supplemental Guidance: Organizational authorizations to allow selected users to configure
wireless networking capability are enforced in part, by the access enforcement mechanisms
employed within organizational information systems. Related controls: AC-3, SC-15.
(5)
WIRELESS ACCESS | ANTENNAS / TRANSMISSION POWER LEVELS
The organization selects radio antennas and calibrates transmission power levels to reduce the
probability that usable signals can be received outside of organization-controlled boundaries.
Supplemental Guidance: Actions that may be taken by organizations to limit unauthorized use
of wireless communications outside of organization-controlled boundaries include, for
example: (i) reducing the power of wireless transmissions so that the transmissions are less
likely to emit a signal that can be used by adversaries outside of the physical perimeters of
organizations; (ii) employing measures such as TEMPEST to control wireless emanations;
and (iii) using directional/beam forming antennas that reduce the likelihood that unintended
receivers will be able to intercept signals. Prior to taking such actions, organizations can
conduct periodic wireless surveys to understand the radio frequency profile of organizational
information systems as well as other systems that may be operating in the area. Related
control: PE-19.
References:
NIST Special Publications 800-48, 800-94, 800-97.
Priority and Baseline Allocation:
P1
AC-19
LOW AC-18
MOD AC-18 (1)
HIGH AC-18 (1) (4) (5)
ACCESS CONTROL FOR MOBILE DEVICES
Control:
The organization:
a.
Establishes usage restrictions, configuration requirements, connection requirements, and
implementation guidance for organization-controlled mobile devices; and
b.
Authorizes the connection of mobile devices to organizational information systems.
A mobile device is a computing device that: (i) has a small form factor
such that it can easily be carried by a single individual; (ii) is designed to operate without a
physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, nonremovable or removable data storage; and (iv) includes a self-contained power source. Mobile
devices may also include voice communication capabilities, on-board sensors that allow the device
to capture information, and/or built-in features for synchronizing local data with remote locations.
Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated
with a single individual and the device is usually in close proximity to the individual; however, the
degree of proximity can vary depending upon on the form factor and size of the device. The
Supplemental Guidance:
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and Organizations
________________________________________________________________________________________________
processing, storage, and transmission capability of the mobile device may be comparable to or
merely a subset of desktop systems, depending upon the nature and intended purpose of the
device. Due to the large variety of mobile devices with different technical characteristics and
capabilities, organizational restrictions may vary for the different classes/types of such devices.
Usage restrictions and specific implementation guidance for mobile devices include, for example,
configuration management, device identification and authentication, implementation of mandatory
protective software (e.g., malicious code detection, firewall), scanning devices for malicious code,
updating virus protection software, scanning for critical software updates and patches, conducting
primary operating system (and possibly other resident software) integrity checks, and disabling
unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to
provide adequate security for mobile devices goes beyond the requirements in this control. Many
safeguards and countermeasures for mobile devices are reflected in other security controls in the
catalog allocated in the initial control baselines as starting points for the development of security
plans and overlays using the tailoring process. There may also be some degree of overlap in the
requirements articulated by the security controls within the different families of controls. AC-20
addresses mobile devices that are not organization-controlled. Related controls: AC-3, AC-7, AC18, AC-20, CA-9, CM-2, IA-2, IA-3, MP-2, MP-4, MP-5, PL-4, SC-7, SC-43, SI-3, SI-4.
Control Enhancements:
(1)
ACCESS CONTROL FOR MOBILE DEVICES | USE OF WRITABLE / PORTABLE STORAGE DEVICES
(2)
ACCESS CONTROL FOR MOBILE DEVICES | USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES
[Withdrawn: Incorporated into MP-7].
[Withdrawn: Incorporated into MP-7].
(3)
ACCESS CONTROL FOR MOBILE DEVICES | USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER
[Withdrawn: Incorporated into MP-7].
(4)
ACCESS CONTROL FOR MOBILE DEVICES | RESTRICTIONS FOR CLASSIFIED INFORMATION
The organization:
(a)
Prohibits the use of unclassified mobile devices in facilities containing information systems
processing, storing, or transmitting classified information unless specifically permitted by the
authorizing official; and
(b) Enforces the following restrictions on individuals permitted by the authorizing official to use
unclassified mobile devices in facilities containing information systems processing, storing,
or transmitting classified information:
(c)
(1)
Connection of unclassified mobile devices to classified information systems is
prohibited;
(2)
Connection of unclassified mobile devices to unclassified information systems requires
approval from the authorizing official;
(3)
Use of internal or external modems or wireless interfaces within the unclassified mobile
devices is prohibited; and
(4)
Unclassified mobile devices and the information stored on those devices are subject to
random reviews and inspections by [Assignment: organization-defined security officials],
and if classified information is found, the incident handling policy is followed.
Restricts the connection of classified mobile devices to classified information systems in
accordance with [Assignment: organization-defined security policies].
Supplemental Guidance:
(5)
Related controls: CA-6, IR-4.
ACCESS CONTROL FOR MOBILE DEVICES | FULL DEVICE / CONTAINER-BASED ENCRYPTION
The organization employs [Selection: full-device encryption; container encryption] to protect the
confidentiality and integrity of information on [Assignment: organization-defined mobile devices].
Supplemental Guidance: Container-based encryption provides a more fine-grained approach to
the encryption of data/information on mobile devices, including for example, encrypting
selected data structures such as files, records, or fields. Related controls: MP-5, SC-13, SC28.
References:
APPENDIX F-AC
OMB Memorandum 06-16; NIST Special Publications 800-114, 800-124, 800-164.
PAGE F-31
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Priority and Baseline Allocation:
P1
AC-20
LOW AC-19
MOD AC-19 (5)
HIGH AC-19 (5)
USE OF EXTERNAL INFORMATION SYSTEMS
The organization establishes terms and conditions, consistent with any trust relationships
established with other organizations owning, operating, and/or maintaining external information
systems, allowing authorized individuals to:
Control:
a.
Access the information system from external information systems; and
b.
Process, store, or transmit organization-controlled information using external information
systems.
External information systems are information systems or components of
information systems that are outside of the authorization boundary established by organizations
and for which organizations typically have no direct supervision and authority over the application
of required security controls or the assessment of control effectiveness. External information
systems include, for example: (i) personally owned information systems/devices (e.g., notebook
computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and
communications devices resident in commercial or public facilities (e.g., hotels, train stations,
convention centers, shopping malls, or airports); (iii) information systems owned or controlled by
nonfederal governmental organizations; and (iv) federal information systems that are not owned
by, operated by, or under the direct supervision and authority of organizations. This control also
addresses the use of external information systems for the processing, storage, or transmission of
organizational information, including, for example, accessing cloud services (e.g., infrastructure as
a service, platform as a service, or software as a service) from organizational information systems.
Supplemental Guidance:
For some external information systems (i.e., information systems operated by other federal
agencies, including organizations subordinate to those agencies), the trust relationships that have
been established between those organizations and the originating organization may be such, that
no explicit terms and conditions are required. Information systems within these organizations
would not be considered external. These situations occur when, for example, there are pre-existing
sharing/trust agreements (either implicit or explicit) established between federal agencies or
organizations subordinate to those agencies, or when such trust agreements are specified by
applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for
example, organizational personnel, contractors, or other individuals with authorized access to
organizational information systems and over which organizations have the authority to impose
rules of behavior with regard to system access. Restrictions that organizations impose on
authorized individuals need not be uniform, as those restrictions may vary depending upon the
trust relationships between organizations. Therefore, organizations may choose to impose different
security restrictions on contractors than on state, local, or tribal governments.
This control does not apply to the use of external information systems to access public interfaces
to organizational information systems (e.g., individuals accessing federal information through
www.usa.gov). Organizations establish terms and conditions for the use of external information
systems in accordance with organizational security policies and procedures. Terms and conditions
address as a minimum: types of applications that can be accessed on organizational information
systems from external information systems; and the highest security category of information that
can be processed, stored, or transmitted on external information systems. If terms and conditions
with the owners of external information systems cannot be established, organizations may impose
restrictions on organizational personnel using those external systems. Related controls: AC-3, AC17, AC-19, CA-3, PL-4, SA-9.
APPENDIX F-AC
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Control Enhancements:
(1)
USE OF EXTERNAL INFORMATION SYSTEMS | LIMITS ON AUTHORIZED USE
The organization permits authorized individuals to use an external information system to access
the information system or to process, store, or transmit organization-controlled information only
when the organization:
(a)
Verifies the implementation of required security controls on the external system as specified
in the organization’s information security policy and security plan; or
(b) Retains approved information system connection or processing agreements with the
organizational entity hosting the external information system.
Supplemental Guidance: This control enhancement recognizes that there are circumstances
where individuals using external information systems (e.g., contractors, coalition partners)
need to access organizational information systems. In those situations, organizations need
confidence that the external information systems contain the necessary security safeguards
(i.e., security controls), so as not to compromise, damage, or otherwise harm organizational
information systems. Verification that the required security controls have been implemented
can be achieved, for example, by third-party, independent assessments, attestations, or other
means, depending on the confidence level required by organizations. Related control: CA-2.
(2)
USE OF EXTERNAL INFORMATION SYSTEMS | PORTABLE STORAGE DEVICES
The organization [Selection: restricts; prohibits] the use of organization-controlled portable
storage devices by authorized individuals on external information systems.
Supplemental Guidance: Limits on the use of organization-controlled portable storage devices
in external information systems include, for example, complete prohibition of the use of such
devices or restrictions on how the devices may be used and under what conditions the devices
may be used.
(3)
USE OF EXTERNAL INFORMATION SYSTEMS | NON-ORGANIZATIONALLY OWNED SYSTEMS / COMPONENTS / DEVICES
The organization [Selection: restricts; prohibits] the use of non-organizationally owned information
systems, system components, or devices to process, store, or transmit organizational information.
Supplemental Guidance: Non-organizationally owned devices include devices owned by other
organizations (e.g., federal/state agencies, contractors) and personally owned devices. There
are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently
high as to prohibit such use. In other cases, it may be such that the use of non-organizationally
owned devices is allowed but restricted in some way. Restrictions include, for example: (i)
requiring the implementation of organization-approved security controls prior to authorizing
such connections; (ii) limiting access to certain types of information, services, or applications;
(iii) using virtualization techniques to limit processing and storage activities to servers or
other system components provisioned by the organization; and (iv) agreeing to terms and
conditions for usage. For personally owned devices, organizations consult with the Office of
the General Counsel regarding legal issues associated with using such devices in operational
environments, including, for example, requirements for conducting forensic analyses during
investigations after an incident.
(4)
USE OF EXTERNAL INFORMATION SYSTEMS | NETWORK ACCESSIBLE STORAGE DEVICES
The organization prohibits the use of [Assignment: organization-defined network accessible
storage devices] in external information systems.
Supplemental Guidance: Network accessible storage devices in external information systems
include, for example, online storage devices in public, hybrid, or community cloud-based
systems.
References:
FIPS Publication 199.
Priority and Baseline Allocation:
P1
APPENDIX F-AC
LOW AC-20
MOD AC-20 (1) (2)
HIGH AC-20 (1) (2)
PAGE F-33
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AC-21
INFORMATION SHARING
Control:
The organization:
a.
Facilitates information sharing by enabling authorized users to determine whether access
authorizations assigned to the sharing partner match the access restrictions on the information
for [Assignment: organization-defined information sharing circumstances where user
discretion is required]; and
b.
Employs [Assignment: organization-defined automated mechanisms or manual processes] to
assist users in making information sharing/collaboration decisions.
This control applies to information that may be restricted in some manner
(e.g., privileged medical information, contract-sensitive information, proprietary information,
personally identifiable information, classified information related to special access programs or
compartments) based on some formal or administrative determination. Depending on the particular
information-sharing circumstances, sharing partners may be defined at the individual, group, or
organizational level. Information may be defined by content, type, security category, or special
access program/compartment. Related control: AC-3.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION SHARING | AUTOMATED DECISION SUPPORT
The information system enforces information-sharing decisions by authorized users based on
access authorizations of sharing partners and access restrictions on information to be shared.
(2)
INFORMATION SHARING | INFORMATION SEARCH AND RETRIEVAL
The information system implements information search and retrieval services that enforce
[Assignment: organization-defined information sharing restrictions].
References:
None.
Priority and Baseline Allocation:
P2
AC-22
LOW Not Selected
MOD AC-21
HIGH AC-21
PUBLICLY ACCESSIBLE CONTENT
Control:
The organization:
a.
Designates individuals authorized to post information onto a publicly accessible information
system;
b.
Trains authorized individuals to ensure that publicly accessible information does not contain
nonpublic information;
c.
Reviews the proposed content of information prior to posting onto the publicly accessible
information system to ensure that nonpublic information is not included; and
d.
Reviews the content on the publicly accessible information system for nonpublic information
[Assignment: organization-defined frequency] and removes such information, if discovered.
In accordance with federal laws, Executive Orders, directives, policies,
regulations, standards, and/or guidance, the general public is not authorized access to nonpublic
information (e.g., information protected under the Privacy Act and proprietary information). This
control addresses information systems that are controlled by the organization and accessible to the
general public, typically without identification or authentication. The posting of information on
non-organization information systems is covered by organizational policy. Related controls: AC-3,
AC-4, AT-2, AT-3, AU-13.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX F-AC
None.
None.
PAGE F-34
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________________________________________________________________________________________________
Priority and Baseline Allocation:
P3
AC-23
LOW AC-22
MOD AC-22
HIGH AC-22
DATA MINING PROTECTION
The organization employs [Assignment: organization-defined data mining prevention and
detection techniques] for [Assignment: organization-defined data storage objects] to adequately
detect and protect against data mining.
Control:
Data storage objects include, for example, databases, database records, and
database fields. Data mining prevention and detection techniques include, for example: (i) limiting
the types of responses provided to database queries; (ii) limiting the number/frequency of database
queries to increase the work factor needed to determine the contents of such databases; and (iii)
notifying organizational personnel when atypical database queries or accesses occur. This control
focuses on the protection of organizational information from data mining while such information
resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational
information that may have been mined or otherwise obtained from data stores and is now available
as open source information residing on external sites, for example, through social networking or
social media websites.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
AC-24
LOW Not Selected
MOD Not Selected
HIGH Not Selected
ACCESS CONTROL DECISIONS
The organization establishes procedures to ensure [Assignment: organization-defined
access control decisions] are applied to each access request prior to access enforcement.
Control:
Access control decisions (also known as authorization decisions) occur
when authorization information is applied to specific accesses. In contrast, access enforcement
occurs when information systems enforce access control decisions. While it is very common to
have access control decisions and access enforcement implemented by the same entity, it is not
required and it is not always an optimal implementation choice. For some architectures and
distributed information systems, different entities may perform access control decisions and access
enforcement.
Supplemental Guidance:
Control Enhancements:
(1)
ACCESS CONTROL DECISIONS | TRANSMIT ACCESS AUTHORIZATION INFORMATION
The information system transmits [Assignment: organization-defined access authorization
information] using [Assignment: organization-defined security safeguards] to [Assignment:
organization-defined information systems] that enforce access control decisions.
Supplemental Guidance: In distributed information systems, authorization processes and access
control decisions may occur in separate parts of the systems. In such instances, authorization
information is transmitted securely so timely access control decisions can be enforced at the
appropriate locations. To support the access control decisions, it may be necessary to transmit
as part of the access authorization information, supporting security attributes. This is due to
the fact that in distributed information systems, there are various access control decisions that
need to be made and different entities (e.g., services) make these decisions in a serial fashion,
each requiring some security attributes to make the decisions. Protecting access authorization
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information (i.e., access control decisions) ensures that such information cannot be altered,
spoofed, or otherwise compromised during transmission.
(2)
ACCESS CONTROL DECISIONS | NO USER OR PROCESS IDENTITY
The information system enforces access control decisions based on [Assignment: organizationdefined security attributes] that do not include the identity of the user or process acting on behalf
of the user.
In certain situations, it is important that access control decisions can be
made without information regarding the identity of the users issuing the requests. These are
generally instances where preserving individual privacy is of paramount importance. In other
situations, user identification information is simply not needed for access control decisions
and, especially in the case of distributed information systems, transmitting such information
with the needed degree of assurance may be very expensive or difficult to accomplish.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
AC-25
LOW Not Selected
MOD Not Selected
HIGH Not Selected
REFERENCE MONITOR
Control: The information system implements a reference monitor for [Assignment: organizationdefined access control policies] that is tamperproof, always invoked, and small enough to be
subject to analysis and testing, the completeness of which can be assured.
Information is represented internally within information systems using
abstractions known as data structures. Internal data structures can represent different types of
entities, both active and passive. Active entities, also known as subjects, are typically associated
with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known
as objects, are typically associated with data structures such as records, buffers, tables, files, interprocess pipes, and communications ports. Reference monitors typically enforce mandatory access
control policies—a type of access control that restricts access to objects based on the identity of
subjects or groups to which the subjects belong. The access controls are mandatory because
subjects with certain privileges (i.e., access permissions) are restricted from passing those
privileges on to any other subjects, either directly or indirectly—that is, the information system
strictly enforces the access control policy based on the rule set established by the policy. The
tamperproof property of the reference monitor prevents adversaries from compromising the
functioning of the mechanism. The always invoked property prevents adversaries from bypassing
the mechanism and hence violating the security policy. The smallness property helps to ensure the
completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies
(i.e., latent flaws) that would prevent the enforcement of the security policy. Related controls: AC3, AC-16, SC-3, SC-39.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
APPENDIX F-AC
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PAGE F-36
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FAMILY: AWARENESS AND TRAINING
AT-1
SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A security awareness and training policy that addresses purpose, scope, roles,
responsibilities, management commitment, coordination among organizational entities,
and compliance; and
2.
Procedures to facilitate the implementation of the security awareness and training policy
and associated security awareness and training controls; and
Reviews and updates the current:
1.
Security awareness and training policy [Assignment: organization-defined frequency];
and
2.
Security awareness and training procedures [Assignment: organization-defined
frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the AT family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-16, 800-50, 800-100.
Priority and Baseline Allocation:
P1
AT-2
LOW AT-1
MOD AT-1
HIGH AT-1
SECURITY AWARENESS TRAINING
The organization provides basic security awareness training to information system users
(including managers, senior executives, and contractors):
Control:
a.
As part of initial training for new users;
b.
When required by information system changes; and
c.
[Assignment: organization-defined frequency] thereafter.
Organizations determine the appropriate content of security awareness
training and security awareness techniques based on the specific organizational requirements and
the information systems to which personnel have authorized access. The content includes a basic
understanding of the need for information security and user actions to maintain security and to
respond to suspected security incidents. The content also addresses awareness of the need for
operations security. Security awareness techniques can include, for example, displaying posters,
offering supplies inscribed with security reminders, generating email advisories/notices from
Supplemental Guidance:
APPENDIX F-AT
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senior organizational officials, displaying logon screen messages, and conducting information
security awareness events. Related controls: AT-3, AT-4, PL-4.
Control Enhancements:
(1)
SECURITY AWARENESS | PRACTICAL EXERCISES
The organization includes practical exercises in security awareness training that simulate actual
cyber attacks.
Practical exercises may include, for example, no-notice social
engineering attempts to collect information, gain unauthorized access, or simulate the adverse
impact of opening malicious email attachments or invoking, via spear phishing attacks,
malicious web links. Related controls: CA-2, CA-7, CP-4, IR-3.
Supplemental Guidance:
(2)
SECURITY AWARENESS | INSIDER THREAT
The organization includes security awareness training on recognizing and reporting potential
indicators of insider threat.
Supplemental Guidance: Potential indicators and possible precursors of insider threat can
include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to
information not required for job performance, unexplained access to financial resources,
bullying or sexual harassment of fellow employees, workplace violence, and other serious
violations of organizational policies, procedures, directives, rules, or practices. Security
awareness training includes how to communicate employee and management concerns
regarding potential indicators of insider threat through appropriate organizational channels in
accordance with established organizational policies and procedures. Related controls: PL-4,
PM-12, PS-3, PS-6.
C.F.R. Part 5 Subpart C (5 C.F.R. 930.301); Executive Order 13587; NIST Special
Publication 800-50.
References:
Priority and Baseline Allocation:
P1
AT-3
LOW AT-2
MOD AT-2 (2)
HIGH AT-2 (2)
ROLE-BASED SECURITY TRAINING
The organization provides role-based security training to personnel with assigned security
roles and responsibilities:
Control:
a.
Before authorizing access to the information system or performing assigned duties;
b.
When required by information system changes; and
c.
[Assignment: organization-defined frequency] thereafter.
Organizations determine the appropriate content of security training based
on the assigned roles and responsibilities of individuals and the specific security requirements of
organizations and the information systems to which personnel have authorized access. In addition,
organizations provide enterprise architects, information system developers, software developers,
acquisition/procurement officials, information system managers, system/network administrators,
personnel conducting configuration management and auditing activities, personnel performing
independent verification and validation activities, security control assessors, and other personnel
having access to system-level software, adequate security-related technical training specifically
tailored for their assigned duties. Comprehensive role-based training addresses management,
operational, and technical roles and responsibilities covering physical, personnel, and technical
safeguards and countermeasures. Such training can include for example, policies, procedures,
tools, and artifacts for the organizational security roles defined. Organizations also provide the
training necessary for individuals to carry out their responsibilities related to operations and
supply chain security within the context of organizational information security programs. RoleSupplemental Guidance:
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based security training also applies to contractors providing services to federal agencies. Related
controls: AT-2, AT-4, PL-4, PS-7, SA-3, SA-12, SA-16.
Control Enhancements:
(1)
ROLE-BASED SECURITY TRAINING | ENVIRONMENTAL CONTROLS
The organization provides [Assignment: organization-defined personnel or roles] with initial and
[Assignment: organization-defined frequency] training in the employment and operation of
environmental controls.
Supplemental Guidance: Environmental controls include, for example, fire suppression and
detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses,
smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations
identify personnel with specific roles and responsibilities associated with environmental
controls requiring specialized training. Related controls: PE-1, PE-13, PE-14, PE-15.
(2)
ROLE-BASED SECURITY TRAINING | PHYSICAL SECURITY CONTROLS
The organization provides [Assignment: organization-defined personnel or roles] with initial and
[Assignment: organization-defined frequency] training in the employment and operation of
physical security controls.
Physical security controls include, for example, physical access control
devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards
(deployment and operating procedures). Organizations identify personnel with specific roles
and responsibilities associated with physical security controls requiring specialized training.
Related controls: PE-2, PE-3, PE-4, PE-5.
Supplemental Guidance:
(3)
ROLE-BASED SECURITY TRAINING | PRACTICAL EXERCISES
The organization includes practical exercises in security training that reinforce training objectives.
Practical exercises may include, for example, security training for
software developers that includes simulated cyber attacks exploiting common software
vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior
leaders/executives. These types of practical exercises help developers better understand the
effects of such vulnerabilities and appreciate the need for security coding standards and
processes.
Supplemental Guidance:
(4)
ROLE-BASED SECURITY TRAINING | SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR
The organization provides training to its personnel on [Assignment: organization-defined
indicators of malicious code] to recognize suspicious communications and anomalous behavior in
organizational information systems.
A well-trained workforce provides another organizational safeguard
that can be employed as part of a defense-in-depth strategy to protect organizations against
malicious code coming in to organizations via email or the web applications. Personnel are
trained to look for indications of potentially suspicious email (e.g., receiving an unexpected
email, receiving an email containing strange or poor grammar, or receiving an email from an
unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are
also trained on how to respond to such suspicious email or web communications (e.g., not
opening attachments, not clicking on embedded web links, and checking the source of email
addresses). For this process to work effectively, all organizational personnel are trained and
made aware of what constitutes suspicious communications. Training personnel on how to
recognize anomalous behaviors in organizational information systems can potentially provide
early warning for the presence of malicious code. Recognition of such anomalous behavior by
organizational personnel can supplement automated malicious code detection and protection
tools and systems employed by organizations.
Supplemental Guidance:
References:
C.F.R. Part 5 Subpart C (5 C.F.R. 930.301); NIST Special Publications 800-16, 800-
50.
Priority and Baseline Allocation:
P1
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MOD AT-3
HIGH AT-3
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AT-4
SECURITY TRAINING RECORDS
Control:
The organization:
a.
Documents and monitors individual information system security training activities including
basic security awareness training and specific information system security training; and
b.
Retains individual training records for [Assignment: organization-defined time period].
Documentation for specialized training may be maintained by individual
supervisors at the option of the organization. Related controls: AT-2, AT-3, PM-14.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P3
AT-5
LOW AT-4
MOD AT-4
HIGH AT-4
CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
[Withdrawn: Incorporated into PM-15].
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and Organizations
________________________________________________________________________________________________
FAMILY: AUDIT AND ACCOUNTABILITY
AU-1
AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
An audit and accountability policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the audit and accountability policy and
associated audit and accountability controls; and
Reviews and updates the current:
1.
Audit and accountability policy [Assignment: organization-defined frequency]; and
2.
Audit and accountability procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the AU family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
AU-2
LOW AU-1
MOD AU-1
HIGH AU-1
AUDIT EVENTS
Control:
The organization:
a.
Determines that the information system is capable of auditing the following events:
[Assignment: organization-defined auditable events];
b.
Coordinates the security audit function with other organizational entities requiring auditrelated information to enhance mutual support and to help guide the selection of auditable
events;
c.
Provides a rationale for why the auditable events are deemed to be adequate to support afterthe-fact investigations of security incidents; and
d.
Determines that the following events are to be audited within the information system:
[Assignment: organization-defined audited events (the subset of the auditable events defined
in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified
event].
An event is any observable occurrence in an organizational information
system. Organizations identify audit events as those events which are significant and relevant to
Supplemental Guidance:
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the security of information systems and the environments in which those systems operate in order
to meet specific and ongoing audit needs. Audit events can include, for example, password
changes, failed logons, or failed accesses related to information systems, administrative privilege
usage, PIV credential usage, or third-party credential usage. In determining the set of auditable
events, organizations consider the auditing appropriate for each of the security controls to be
implemented. To balance auditing requirements with other information system needs, this control
also requires identifying that subset of auditable events that are audited at a given point in time.
For example, organizations may determine that information systems must have the capability to
log every file access both successful and unsuccessful, but not activate that capability except for
specific circumstances due to the potential burden on system performance. Auditing requirements,
including the need for auditable events, may be referenced in other security controls and control
enhancements. Organizations also include auditable events that are required by applicable federal
laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be
generated at various levels of abstraction, including at the packet level as information traverses the
network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and
can facilitate the identification of root causes to problems. Organizations consider in the definition
of auditable events, the auditing necessary to cover related events such as the steps in distributed,
transaction-based processes (e.g., processes that are distributed across multiple organizations) and
actions that occur in service-oriented architectures. Related controls: AC-6, AC-17, AU-3, AU-12,
MA-4, MP-2, MP-4, SI-4.
Control Enhancements:
(1)
AUDIT EVENTS | COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES
[Withdrawn: Incorporated into AU-12].
(2)
AUDIT EVENTS | SELECTION OF AUDIT EVENTS BY COMPONENT
[Withdrawn: Incorporated into AU-12].
(3)
AUDIT EVENTS | REVIEWS AND UPDATES
The organization reviews and updates the audited events [Assignment: organization-defined
frequency].
Over time, the events that organizations believe should be audited may
change. Reviewing and updating the set of audited events periodically is necessary to ensure
that the current set is still necessary and sufficient.
Supplemental Guidance:
(4)
AUDIT EVENTS | PRIVILEGED FUNCTIONS
[Withdrawn: Incorporated into AC-6 (9)].
References:
NIST Special Publication 800-92; Web: http://idmanagement.gov.
Priority and Baseline Allocation:
P1
AU-3
LOW AU-2
MOD AU-2 (3)
HIGH AU-2 (3)
CONTENT OF AUDIT RECORDS
Control: The information system generates audit records containing information that establishes
what type of event occurred, when the event occurred, where the event occurred, the source of the
event, the outcome of the event, and the identity of any individuals or subjects associated with the
event.
Audit record content that may be necessary to satisfy the requirement of
this control, includes, for example, time stamps, source and destination addresses, user/process
identifiers, event descriptions, success/fail indications, filenames involved, and access control or
flow control rules invoked. Event outcomes can include indicators of event success or failure and
event-specific results (e.g., the security state of the information system after the event occurred).
Related controls: AU-2, AU-8, AU-12, SI-11.
Supplemental Guidance:
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and Organizations
________________________________________________________________________________________________
Control Enhancements:
(1)
CONTENT OF AUDIT RECORDS | ADDITIONAL AUDIT INFORMATION
The information system generates audit records containing the following additional information:
[Assignment: organization-defined additional, more detailed information].
Detailed information that organizations may consider in audit records
includes, for example, full text recording of privileged commands or the individual identities
of group account users. Organizations consider limiting the additional audit information to
only that information explicitly needed for specific audit requirements. This facilitates the use
of audit trails and audit logs by not including information that could potentially be misleading
or could make it more difficult to locate information of interest.
Supplemental Guidance:
(2)
CONTENT OF AUDIT RECORDS | CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT
The information system provides centralized management and configuration of the content to be
captured in audit records generated by [Assignment: organization-defined information system
components].
This control enhancement requires that the content to be captured in
audit records be configured from a central location (necessitating automation). Organizations
coordinate the selection of required audit content to support the centralized management and
configuration capability provided by the information system. Related controls: AU-6, AU-7.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
AU-4
LOW AU-3
MOD AU-3 (1)
HIGH AU-3 (1) (2)
AUDIT STORAGE CAPACITY
The organization allocates audit record storage capacity in accordance with [Assignment:
organization-defined audit record storage requirements].
Control:
Organizations consider the types of auditing to be performed and the audit
processing requirements when allocating audit storage capacity. Allocating sufficient audit storage
capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss
or reduction of auditing capability. Related controls: AU-2, AU-5, AU-6, AU-7, AU-11, SI-4.
Supplemental Guidance:
Control Enhancements:
(1)
AUDIT STORAGE CAPACITY | TRANSFER TO ALTERNATE STORAGE
The information system off-loads audit records [Assignment: organization-defined frequency] onto
a different system or media than the system being audited.
Off-loading is a process designed to preserve the confidentiality and
integrity of audit records by moving the records from the primary information system to a
secondary or alternate system. It is a common process in information systems with limited
audit storage capacity; the audit storage is used only in a transitory fashion until the system
can communicate with the secondary or alternate system designated for storing the audit
records, at which point the information is transferred.
References: None.
Supplemental Guidance:
Priority and Baseline Allocation:
P1
APPENDIX F-AU
LOW AU-4
MOD AU-4
HIGH AU-4
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AU-5
RESPONSE TO AUDIT PROCESSING FAILURES
Control:
The information system:
a.
Alerts [Assignment: organization-defined personnel or roles] in the event of an audit
processing failure; and
b.
Takes the following additional actions: [Assignment: organization-defined actions to be taken
(e.g., shut down information system, overwrite oldest audit records, stop generating audit
records)].
Audit processing failures include, for example, software/hardware errors,
failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded.
Organizations may choose to define additional actions for different audit processing failures (e.g.,
by type, by location, by severity, or a combination of such factors). This control applies to each
audit data storage repository (i.e., distinct information system component where audit records are
stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories
combined), or both. Related controls: AU-4, SI-12.
Supplemental Guidance:
Control Enhancements:
(1)
RESPONSE TO AUDIT PROCESSING FAILURES | AUDIT STORAGE CAPACITY
The information system provides a warning to [Assignment: organization-defined personnel, roles,
and/or locations] within [Assignment: organization-defined time period] when allocated audit
record storage volume reaches [Assignment: organization-defined percentage] of repository
maximum audit record storage capacity.
Organizations may have multiple audit data storage repositories
distributed across multiple information system components, with each repository having
different storage volume capacities.
Supplemental Guidance:
(2)
RESPONSE TO AUDIT PROCESSING FAILURES | REAL-TIME ALERTS
The information system provides an alert in [Assignment: organization-defined real-time period] to
[Assignment: organization-defined personnel, roles, and/or locations] when the following audit
failure events occur: [Assignment: organization-defined audit failure events requiring real-time
alerts].
Alerts provide organizations with urgent messages. Real-time alerts
provide these messages at information technology speed (i.e., the time from event detection to
alert occurs in seconds or less).
Supplemental Guidance:
(3)
RESPONSE TO AUDIT PROCESSING FAILURES | CONFIGURABLE TRAFFIC VOLUME THRESHOLDS
The information system enforces configurable network communications traffic volume thresholds
reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those
thresholds.
Organizations have the capability to reject or delay the processing of
network communications traffic if auditing such traffic is determined to exceed the storage
capacity of the information system audit function. The rejection or delay response is triggered
by the established organizational traffic volume thresholds which can be adjusted based on
changes to audit storage capacity.
Supplemental Guidance:
(4)
RESPONSE TO AUDIT PROCESSING FAILURES | SHUTDOWN ON FAILURE
The information system invokes a [Selection: full system shutdown; partial system shutdown;
degraded operational mode with limited mission/business functionality available] in the event of
[Assignment: organization-defined audit failures], unless an alternate audit capability exists.
Organizations determine the types of audit failures that can trigger
automatic information system shutdowns or degraded operations. Because of the importance
of ensuring mission/business continuity, organizations may determine that the nature of the
audit failure is not so severe that it warrants a complete shutdown of the information system
supporting the core organizational missions/business operations. In those instances, partial
information system shutdowns or operating in a degraded mode with reduced capability may
be viable alternatives. Related control: AU-15.
Supplemental Guidance:
References:
APPENDIX F-AU
None.
PAGE F-44
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________________________________________________________________________________________________
Priority and Baseline Allocation:
P1
AU-6
LOW AU-5
MOD AU-5
HIGH AU-5 (1) (2)
AUDIT REVIEW, ANALYSIS, AND REPORTING
Control:
The organization:
a.
Reviews and analyzes information system audit records [Assignment: organization-defined
frequency] for indications of [Assignment: organization-defined inappropriate or unusual
activity]; and
b.
Reports findings to [Assignment: organization-defined personnel or roles].
Audit review, analysis, and reporting covers information security-related
auditing performed by organizations including, for example, auditing that results from monitoring
of account usage, remote access, wireless connectivity, mobile device connection, configuration
settings, system component inventory, use of maintenance tools and nonlocal maintenance,
physical access, temperature and humidity, equipment delivery and removal, communications at
the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported
to organizational entities that include, for example, incident response team, help desk, information
security group/department. If organizations are prohibited from reviewing and analyzing audit
information or unable to conduct such activities (e.g., in certain national security applications or
systems), the review/analysis may be carried out by other organizations granted such authority.
Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11,
IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3,
SI-4, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
AUDIT REVIEW, ANALYSIS, AND REPORTING | PROCESS INTEGRATION
The organization employs automated mechanisms to integrate audit review, analysis, and
reporting processes to support organizational processes for investigation and response to
suspicious activities.
Organizational processes benefiting from integrated audit review,
analysis, and reporting include, for example, incident response, continuous monitoring,
contingency planning, and Inspector General audits. Related controls: AU-12, PM-7.
Supplemental Guidance:
(2)
AUDIT REVIEW, ANALYSIS, AND REPORTING | AUTOMATED SECURITY ALERTS
[Withdrawn: Incorporated into SI-4].
(3)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATE AUDIT REPOSITORIES
The organization analyzes and correlates audit records across different repositories to gain
organization-wide situational awareness.
Organization-wide situational awareness includes awareness across all
three tiers of risk management (i.e., organizational, mission/business process, and information
system) and supports cross-organization awareness. Related controls: AU-12, IR-4.
Supplemental Guidance:
(4)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CENTRAL REVIEW AND ANALYSIS
The information system provides the capability to centrally review and analyze audit records from
multiple components within the system.
Automated mechanisms for centralized reviews and analyses include,
for example, Security Information Management products. Related controls: AU-2, AU-12.
Supplemental Guidance:
(5)
AUDIT REVIEW, ANALYSIS, AND REPORTING | INTEGRATION / SCANNING AND MONITORING CAPABILITIES
The organization integrates analysis of audit records with analysis of [Selection (one or more):
vulnerability scanning information; performance data; information system monitoring information;
[Assignment: organization-defined data/information collected from other sources]] to further
enhance the ability to identify inappropriate or unusual activity.
APPENDIX F-AU
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This control enhancement does not require vulnerability scanning, the
generation of performance data, or information system monitoring. Rather, the enhancement
requires that the analysis of information being otherwise produced in these areas is integrated
with the analysis of audit information. Security Event and Information Management System
tools can facilitate audit record aggregation/consolidation from multiple information system
components as well as audit record correlation and analysis. The use of standardized audit
record analysis scripts developed by organizations (with localized script adjustments, as
necessary) provides more cost-effective approaches for analyzing audit record information
collected. The correlation of audit record information with vulnerability scanning information
is important in determining the veracity of vulnerability scans and correlating attack detection
events with scanning results. Correlation with performance data can help uncover denial of
service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with
system monitoring information can assist in uncovering attacks and in better relating audit
information to operational situations. Related controls: AU-12, IR-4, RA-5.
Supplemental Guidance:
(6)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH PHYSICAL MONITORING
The organization correlates information from audit records with information obtained from
monitoring physical access to further enhance the ability to identify suspicious, inappropriate,
unusual, or malevolent activity.
The correlation of physical audit information and audit logs from
information systems may assist organizations in identifying examples of suspicious behavior
or supporting evidence of such behavior. For example, the correlation of an individual’s
identity for logical access to certain information systems with the additional physical security
information that the individual was actually present at the facility when the logical access
occurred, may prove to be useful in investigations.
Supplemental Guidance:
(7)
AUDIT REVIEW, ANALYSIS, AND REPORTING | PERMITTED ACTIONS
The organization specifies the permitted actions for each [Selection (one or more): information
system process; role; user] associated with the review, analysis, and reporting of audit
information.
Organizations specify permitted actions for information system
processes, roles, and/or users associated with the review, analysis, and reporting of audit
records through account management techniques. Specifying permitted actions on audit
information is a way to enforce the principle of least privilege. Permitted actions are enforced
by the information system and include, for example, read, write, execute, append, and delete.
Supplemental Guidance:
(8)
AUDIT REVIEW, ANALYSIS, AND REPORTING | FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS
The organization performs a full text analysis of audited privileged commands in a physically
distinct component or subsystem of the information system, or other information system that is
dedicated to that analysis.
This control enhancement requires a distinct environment for the
dedicated analysis of audit information related to privileged users without compromising such
information on the information system where the users have elevated privileges including the
capability to execute privileged commands. Full text analysis refers to analysis that considers
the full text of privileged commands (i.e., commands and all parameters) as opposed to
analysis that considers only the name of the command. Full text analysis includes, for
example, the use of pattern matching and heuristics. Related controls: AU-3, AU-9, AU-11,
AU-12.
Supplemental Guidance:
(9)
AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES
The organization correlates information from nontechnical sources with audit information to
enhance organization-wide situational awareness.
Nontechnical sources include, for example, human resources records
documenting organizational policy violations (e.g., sexual harassment incidents, improper use
of organizational information assets). Such information can lead organizations to a more
directed analytical effort to detect potential malicious insider activity. Due to the sensitive
nature of the information available from nontechnical sources, organizations limit access to
such information to minimize the potential for the inadvertent release of privacy-related
information to individuals that do not have a need to know. Thus, correlation of information
Supplemental Guidance:
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from nontechnical sources with audit information generally occurs only when individuals are
suspected of being involved in a security incident. Organizations obtain legal advice prior to
initiating such actions. Related control: AT-2.
(10) AUDIT REVIEW, ANALYSIS, AND REPORTING | AUDIT LEVEL ADJUSTMENT
The organization adjusts the level of audit review, analysis, and reporting within the information
system when there is a change in risk based on law enforcement information, intelligence
information, or other credible sources of information.
The frequency, scope, and/or depth of the audit review, analysis, and
reporting may be adjusted to meet organizational needs based on new information received.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
AU-7
LOW AU-6
MOD AU-6 (1) (3)
HIGH AU-6 (1) (3) (5) (6)
AUDIT REDUCTION AND REPORT GENERATION
Control:
The information system provides an audit reduction and report generation capability that:
a.
Supports on-demand audit review, analysis, and reporting requirements and after-the-fact
investigations of security incidents; and
b.
Does not alter the original content or time ordering of audit records.
Audit reduction is a process that manipulates collected audit information
and organizes such information in a summary format that is more meaningful to analysts. Audit
reduction and report generation capabilities do not always emanate from the same information
system or from the same organizational entities conducting auditing activities. Audit reduction
capability can include, for example, modern data mining techniques with advanced data filters to
identify anomalous behavior in audit records. The report generation capability provided by the
information system can generate customizable reports. Time ordering of audit records can be a
significant issue if the granularity of the timestamp in the record is insufficient. Related control:
AU-6.
Supplemental Guidance:
Control Enhancements:
(1)
AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC PROCESSING
The information system provides the capability to process audit records for events of interest
based on [Assignment: organization-defined audit fields within audit records].
Events of interest can be identified by the content of specific audit
record fields including, for example, identities of individuals, event types, event locations,
event times, event dates, system resources involved, IP addresses involved, or information
objects accessed. Organizations may define audit event criteria to any degree of granularity
required, for example, locations selectable by general networking location (e.g., by network or
subnetwork) or selectable by specific information system component. Related controls: AU-2,
AU-12.
Supplemental Guidance:
(2)
AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC SORT AND SEARCH
The information system provides the capability to sort and search audit records for events of
interest based on the content of [Assignment: organization-defined audit fields within audit
records].
Sorting and searching of audit records may be based upon the contents
of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet
Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.
Supplemental Guidance:
References:
APPENDIX F-AU
None.
PAGE F-47
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and Organizations
________________________________________________________________________________________________
Priority and Baseline Allocation:
LOW Not Selected
P2
AU-8
MOD AU-7 (1)
HIGH AU-7 (1)
TIME STAMPS
Control:
The information system:
a.
Uses internal system clocks to generate time stamps for audit records; and
b.
Records time stamps for audit records that can be mapped to Coordinated Universal Time
(UTC) or Greenwich Mean Time (GMT) and meets [Assignment: organization-defined
granularity of time measurement].
Time stamps generated by the information system include date and time.
Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of
Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time
measurements refers to the degree of synchronization between information system clocks and
reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within
tens of milliseconds. Organizations may define different time granularities for different system
components. Time service can also be critical to other security capabilities such as access control
and identification and authentication, depending on the nature of the mechanisms used to support
those capabilities. Related controls: AU-3, AU-12.
Supplemental Guidance:
Control Enhancements:
(1)
TIME STAMPS | SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
The information system:
(a)
Compares the internal information system clocks [Assignment: organization-defined
frequency] with [Assignment: organization-defined authoritative time source]; and
(b) Synchronizes the internal system clocks to the authoritative time source when the time
difference is greater than [Assignment: organization-defined time period].
This control enhancement provides uniformity of time stamps for
information systems with multiple system clocks and systems connected over a network.
Supplemental Guidance:
(2)
TIME STAMPS | SECONDARY AUTHORITATIVE TIME SOURCE
The information system identifies a secondary authoritative time source that is located in a
different geographic region than the primary authoritative time source.
References:
None.
Priority and Baseline Allocation:
P1
AU-9
LOW AU-8
MOD AU-8 (1)
HIGH AU-8 (1)
PROTECTION OF AUDIT INFORMATION
Control: The information system protects audit information and audit tools from unauthorized
access, modification, and deletion.
Audit information includes all information (e.g., audit records, audit
settings, and audit reports) needed to successfully audit information system activity. This control
focuses on technical protection of audit information. Physical protection of audit information is
addressed by media protection controls and physical and environmental protection controls.
Related controls: AC-3, AC-6, MP-2, MP-4, PE-2, PE-3, PE-6.
Supplemental Guidance:
APPENDIX F-AU
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________________________________________________________________________________________________
Control Enhancements:
(1)
PROTECTION OF AUDIT INFORMATION | HARDWARE WRITE-ONCE MEDIA
The information system writes audit trails to hardware-enforced, write-once media.
This control enhancement applies to the initial generation of audit
trails (i.e., the collection of audit records that represents the audit information to be used for
detection, analysis, and reporting purposes) and to the backup of those audit trails. The
enhancement does not apply to the initial generation of audit records prior to being written to
an audit trail. Write-once, read-many (WORM) media includes, for example, Compact DiskRecordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of
switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB)
drives results in write-protected, but not write-once, media. Related controls: AU-4, AU-5.
Supplemental Guidance:
(2)
PROTECTION OF AUDIT INFORMATION | AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
The information system backs up audit records [Assignment: organization-defined frequency] onto
a physically different system or system component than the system or component being audited.
This control enhancement helps to ensure that a compromise of the
information system being audited does not also result in a compromise of the audit records.
Related controls: AU-4, AU-5, AU-11.
Supplemental Guidance:
(3)
PROTECTION OF AUDIT INFORMATION | CRYPTOGRAPHIC PROTECTION
The information system implements cryptographic mechanisms to protect the integrity of audit
information and audit tools.
Cryptographic mechanisms used for protecting the integrity of audit
information include, for example, signed hash functions using asymmetric cryptography
enabling distribution of the public key to verify the hash information while maintaining the
confidentiality of the secret key used to generate the hash. Related controls: AU-10, SC-12,
SC-13.
Supplemental Guidance:
(4)
PROTECTION OF AUDIT INFORMATION | ACCESS BY SUBSET OF PRIVILEGED USERS
The organization authorizes access to management of audit functionality to only [Assignment:
organization-defined subset of privileged users].
Individuals with privileged access to an information system and who
are also the subject of an audit by that system, may affect the reliability of audit information
by inhibiting audit activities or modifying audit records. This control enhancement requires
that privileged access be further defined between audit-related privileges and other privileges,
thus limiting the users with audit-related privileges. Related control: AC-5.
Supplemental Guidance:
(5)
PROTECTION OF AUDIT INFORMATION | DUAL AUTHORIZATION
The organization enforces dual authorization for [Selection (one or more): movement; deletion] of
[Assignment: organization-defined audit information].
Organizations may choose different selection options for different
types of audit information. Dual authorization mechanisms require the approval of two
authorized individuals in order to execute. Dual authorization may also be known as twoperson control. Related controls: AC-3, MP-2.
Supplemental Guidance:
(6)
PROTECTION OF AUDIT INFORMATION | READ ONLY ACCESS
The organization authorizes read-only access to audit information to [Assignment: organizationdefined subset of privileged users].
Restricting privileged user authorizations to read-only helps to limit
the potential damage to organizations that could be initiated by such users (e.g., deleting audit
records to cover up malicious activity).
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
APPENDIX F-AU
LOW AU-9
MOD AU-9 (4)
HIGH AU-9 (2) (3) (4)
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AU-10
NON-REPUDIATION
The information system protects against an individual (or process acting on behalf of an
individual) falsely denying having performed [Assignment: organization-defined actions to be
covered by non-repudiation].
Control:
Types of individual actions covered by non-repudiation include, for
example, creating information, sending and receiving messages, approving information (e.g.,
indicating concurrence or signing a contract). Non-repudiation protects individuals against later
claims by: (i) authors of not having authored particular documents; (ii) senders of not having
transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not
having signed documents. Non-repudiation services can be used to determine if information
originated from a particular individual, or if an individual took specific actions (e.g., sending an
email, signing a contract, approving a procurement request) or received specific information.
Organizations obtain non-repudiation services by employing various techniques or mechanisms
(e.g., digital signatures, digital message receipts). Related controls: SC-12, SC-8, SC-13, SC-16,
SC-17, SC-23.
Supplemental Guidance:
Control Enhancements:
(1)
NON-REPUDIATION | ASSOCIATION OF IDENTITIES
The information system:
(a)
Binds the identity of the information producer with the information to [Assignment:
organization-defined strength of binding]; and
(b) Provides the means for authorized individuals to determine the identity of the producer of the
information.
This control enhancement supports audit requirements that provide
organizational personnel with the means to identify who produced specific information in the
event of an information transfer. Organizations determine and approve the strength of the
binding between the information producer and the information based on the security category
of the information and relevant risk factors. Related controls: AC-4, AC-16.
Supplemental Guidance:
(2)
NON-REPUDIATION | VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
The information system:
(a)
Validates the binding of the information producer identity to the information at [Assignment:
organization-defined frequency]; and
(b) Performs [Assignment: organization-defined actions] in the event of a validation error.
This control enhancement prevents the modification of information
between production and review. The validation of bindings can be achieved, for example, by
the use of cryptographic checksums. Organizations determine if validations are in response to
user requests or generated automatically. Related controls: AC-3, AC-4, AC-16.
Supplemental Guidance:
(3)
NON-REPUDIATION | CHAIN OF CUSTODY
The information system maintains reviewer/releaser identity and credentials within the established
chain of custody for all information reviewed or released.
Chain of custody is a process that tracks the movement of evidence
through its collection, safeguarding, and analysis life cycle by documenting each person who
handled the evidence, the date and time it was collected or transferred, and the purpose for the
transfer. If the reviewer is a human or if the review function is automated but separate from
the release/transfer function, the information system associates the identity of the reviewer of
the information to be released with the information and the information label. In the case of
human reviews, this control enhancement provides organizational officials the means to
identify who reviewed and released the information. In the case of automated reviews, this
control enhancement ensures that only approved review functions are employed. Related
controls: AC-4, AC-16.
Supplemental Guidance:
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(4)
NON-REPUDIATION | VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY
The information system:
(a)
Validates the binding of the information reviewer identity to the information at the transfer or
release points prior to release/transfer between [Assignment: organization-defined security
domains]; and
(b) Performs [Assignment: organization-defined actions] in the event of a validation error.
This control enhancement prevents the modification of information
between review and transfer/release. The validation of bindings can be achieved, for example,
by the use of cryptographic checksums. Organizations determine validations are in response
to user requests or generated automatically. Related controls: AC-4, AC-16.
Supplemental Guidance:
(5)
NON-REPUDIATION | DIGITAL SIGNATURES
[Withdrawn: Incorporated into SI-7].
References:
None.
Priority and Baseline Allocation:
P2
AU-11
LOW Not Selected
MOD Not Selected
HIGH AU-10
AUDIT RECORD RETENTION
The organization retains audit records for [Assignment: organization-defined time period
consistent with records retention policy] to provide support for after-the-fact investigations of
security incidents and to meet regulatory and organizational information retention requirements.
Control:
Organizations retain audit records until it is determined that they are no
longer needed for administrative, legal, audit, or other operational purposes. This includes, for
example, retention and availability of audit records relative to Freedom of Information Act (FOIA)
requests, subpoenas, and law enforcement actions. Organizations develop standard categories of
audit records relative to such types of actions and standard response processes for each type of
action. The National Archives and Records Administration (NARA) General Records Schedules
provide federal policy on record retention. Related controls: AU-4, AU-5, AU-9, MP-6.
Supplemental Guidance:
Control Enhancements:
(1)
AUDIT RECORD RETENTION | LONG-TERM RETRIEVAL CAPABILITY
The organization employs [Assignment: organization-defined measures] to ensure that long-term
audit records generated by the information system can be retrieved.
Measures employed by organizations to help facilitate the retrieval of
audit records include, for example, converting records to newer formats, retaining equipment
capable of reading the records, and retaining necessary documentation to help organizational
personnel understand how to interpret the records.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P3
AU-12
LOW AU-11
MOD AU-11
HIGH AU-11
AUDIT GENERATION
Control:
a.
APPENDIX F-AU
The information system:
Provides audit record generation capability for the auditable events defined in AU-2 a. at
[Assignment: organization-defined information system components];
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b.
Allows [Assignment: organization-defined personnel or roles] to select which auditable
events are to be audited by specific components of the information system; and
c.
Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
Audit records can be generated from many different information system
components. The list of audited events is the set of events for which audits are to be generated.
These events are typically a subset of all events for which the information system is capable of
generating audit records. Related controls: AC-3, AU-2, AU-3, AU-6, AU-7.
Supplemental Guidance:
Control Enhancements:
(1)
AUDIT GENERATION | SYSTEM-WIDE / TIME-CORRELATED AUDIT TRAIL
The information system compiles audit records from [Assignment: organization-defined
information system components] into a system-wide (logical or physical) audit trail that is timecorrelated to within [Assignment: organization-defined level of tolerance for the relationship
between time stamps of individual records in the audit trail].
Audit trails are time-correlated if the time stamps in the individual
audit records can be reliably related to the time stamps in other audit records to achieve a time
ordering of the records within organizational tolerances. Related controls: AU-8, AU-12.
Supplemental Guidance:
(2)
AUDIT GENERATION | STANDARDIZED FORMATS
The information system produces a system-wide (logical or physical) audit trail composed of audit
records in a standardized format.
Audit information that is normalized to common standards promotes
interoperability and exchange of such information between dissimilar devices and information
systems. This facilitates production of event information that can be more readily analyzed
and correlated. Standard formats for audit records include, for example, system log records
and audit records compliant with Common Event Expressions (CEE). If logging mechanisms
within information systems do not conform to standardized formats, systems may convert
individual audit records into standardized formats when compiling system-wide audit trails.
Supplemental Guidance:
(3)
AUDIT GENERATION | CHANGES BY AUTHORIZED INDIVIDUALS
The information system provides the capability for [Assignment: organization-defined individuals
or roles] to change the auditing to be performed on [Assignment: organization-defined information
system components] based on [Assignment: organization-defined selectable event criteria] within
[Assignment: organization-defined time thresholds].
This control enhancement enables organizations to extend or limit
auditing as necessary to meet organizational requirements. Auditing that is limited to conserve
information system resources may be extended to address certain threat situations. In addition,
auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and
reporting. Organizations can establish time thresholds in which audit actions are changed, for
example, near real-time, within minutes, or within hours. Related control: AU-7.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
AU-13
LOW AU-12
MOD AU-12
HIGH AU-12 (1) (3)
MONITORING FOR INFORMATION DISCLOSURE
The organization monitors [Assignment: organization-defined open source information
and/or information sites] [Assignment: organization-defined frequency] for evidence of
unauthorized disclosure of organizational information.
Control:
Open source information includes, for example, social networking sites.
Related controls: PE-3, SC-7.
Supplemental Guidance:
APPENDIX F-AU
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________________________________________________________________________________________________
Control Enhancements:
(1)
MONITORING FOR INFORMATION DISCLOSURE | USE OF AUTOMATED TOOLS
The organization employs automated mechanisms to determine if organizational information has
been disclosed in an unauthorized manner.
Automated mechanisms can include, for example, automated scripts to
monitor new posts on selected websites, and commercial services providing notifications and
alerts to organizations.
Supplemental Guidance:
(2)
MONITORING FOR INFORMATION DISCLOSURE | REVIEW OF MONITORED SITES
The organization reviews the open source information sites being monitored [Assignment:
organization-defined frequency].
References:
None.
Priority and Baseline Allocation:
P0
AU-14
LOW Not Selected
MOD Not Selected
HIGH Not Selected
SESSION AUDIT
Control: The information system provides the capability for authorized users to select a user
session to capture/record or view/hear.
Session audits include, for example, monitoring keystrokes, tracking
websites visited, and recording information and/or file transfers. Session auditing activities are
developed, integrated, and used in consultation with legal counsel in accordance with applicable
federal laws, Executive Orders, directives, policies, regulations, or standards. Related controls:
AC-3, AU-4, AU-5, AU-9, AU-11.
Supplemental Guidance:
Control Enhancements:
(1)
SESSION AUDIT | SYSTEM START-UP
The information system initiates session audits at system start-up.
(2)
SESSION AUDIT | CAPTURE/RECORD AND LOG CONTENT
The information system provides the capability for authorized users to capture/record and log
content related to a user session.
(3)
SESSION AUDIT | REMOTE VIEWING / LISTENING
The information system provides the capability for authorized users to remotely view/hear all
content related to an established user session in real time.
References:
None.
Priority and Baseline Allocation:
P0
AU-15
LOW Not Selected
MOD Not Selected
HIGH Not Selected
ALTERNATE AUDIT CAPABILITY
The organization provides an alternate audit capability in the event of a failure in primary
audit capability that provides [Assignment: organization-defined alternate audit functionality].
Control:
Since an alternate audit capability may be a short-term protection employed
until the failure in the primary auditing capability is corrected, organizations may determine that
the alternate audit capability need only provide a subset of the primary audit functionality that is
impacted by the failure. Related control: AU-5.
Supplemental Guidance:
Control Enhancements:
APPENDIX F-AU
None.
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References:
None.
Priority and Baseline Allocation:
P0
AU-16
LOW Not Selected
MOD Not Selected
HIGH Not Selected
CROSS-ORGANIZATIONAL AUDITING
Control: The organization employs [Assignment: organization-defined methods] for coordinating
[Assignment: organization-defined audit information] among external organizations when audit
information is transmitted across organizational boundaries.
When organizations use information systems and/or services of external
organizations, the auditing capability necessitates a coordinated approach across organizations.
For example, maintaining the identity of individuals that requested particular services across
organizational boundaries may often be very difficult, and doing so may prove to have significant
performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g.,
the type of auditing capability provided by service-oriented architectures) simply captures the
identity of individuals issuing requests at the initial information system, and subsequent systems
record that the requests emanated from authorized individuals. Related control: AU-6.
Supplemental Guidance:
Control Enhancements:
(1)
CROSS-ORGANIZATIONAL AUDITING | IDENTITY PRESERVATION
The organization requires that the identity of individuals be preserved in cross-organizational audit
trails.
This control enhancement applies when there is a need to be able to
trace actions that are performed across organizational boundaries to a specific individual.
Supplemental Guidance:
(2)
CROSS-ORGANIZATIONAL AUDITING | SHARING OF AUDIT INFORMATION
The organization provides cross-organizational audit information to [Assignment: organizationdefined organizations] based on [Assignment: organization-defined cross-organizational sharing
agreements].
Because of the distributed nature of the audit information, crossorganization sharing of audit information may be essential for effective analysis of the
auditing being performed. For example, the audit records of one organization may not provide
sufficient information to determine the appropriate or inappropriate use of organizational
information resources by individuals in other organizations. In some instances, only the home
organizations of individuals have the appropriate knowledge to make such determinations,
thus requiring the sharing of audit information among organizations.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
APPENDIX F-AU
LOW Not Selected
MOD Not Selected
HIGH Not Selected
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FAMILY: SECURITY ASSESSMENT AND AUTHORIZATION
CA-1
SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
Control:
a.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel
or roles]:
b.
1.
A security assessment and authorization policy that addresses purpose, scope, roles,
responsibilities, management commitment, coordination among organizational
entities, and compliance; and
2.
Procedures to facilitate the implementation of the security assessment and
authorization policy and associated security assessment and authorization controls;
and
Reviews and updates the current:
1.
Security assessment and authorization policy [Assignment: organization-defined
frequency]; and
2.
Security assessment and authorization procedures [Assignment: organization-defined
frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the CA family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-37, 800-53A, 800-100.
Priority and Baseline Allocation:
LOW CA-1
P1
CA-2
MOD CA-1
HIGH CA-1
SECURITY ASSESSMENTS
Control:
a.
The organization:
Develops a security assessment plan that describes the scope of the assessment including:
1.
Security controls and control enhancements under assessment;
2.
Assessment procedures to be used to determine security control effectiveness; and
3.
Assessment environment, assessment team, and assessment roles and responsibilities;
b.
Assesses the security controls in the information system and its environment of operation
[Assignment: organization-defined frequency] to determine the extent to which the controls
are implemented correctly, operating as intended, and producing the desired outcome with
respect to meeting established security requirements;
c.
Produces a security assessment report that documents the results of the assessment; and
APPENDIX F-CA
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d.
Provides the results of the security control assessment to [Assignment: organization-defined
individuals or roles].
Organizations assess security controls in organizational information
systems and the environments in which those systems operate as part of: (i) initial and ongoing
security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv)
system development life cycle activities. Security assessments: (i) ensure that information security
is built into organizational information systems; (ii) identify weaknesses and deficiencies early in
the development process; (iii) provide essential information needed to make risk-based decisions
as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation
procedures. Assessments are conducted on the implemented security controls from Appendix F
(main catalog) and Appendix G (Program Management controls) as documented in System
Security Plans and Information Security Program Plans. Organizations can use other types of
assessment activities such as vulnerability scanning and system monitoring to maintain the
security posture of information systems during the entire life cycle. Security assessment reports
document assessment results in sufficient detail as deemed necessary by organizations, to
determine the accuracy and completeness of the reports and whether the security controls are
implemented correctly, operating as intended, and producing the desired outcome with respect to
meeting security requirements. The FISMA requirement for assessing security controls at least
annually does not require additional assessment activities to those activities already in place in
organizational security authorization processes. Security assessment results are provided to the
individuals or roles appropriate for the types of assessments being conducted. For example,
assessments conducted in support of security authorization decisions are provided to authorizing
officials or authorizing official designated representatives.
Supplemental Guidance:
To satisfy annual assessment requirements, organizations can use assessment results from the
following sources: (i) initial or ongoing information system authorizations; (ii) continuous
monitoring; or (iii) system development life cycle activities. Organizations ensure that security
assessment results are current, relevant to the determination of security control effectiveness, and
obtained with the appropriate level of assessor independence. Existing security control assessment
results can be reused to the extent that the results are still valid and can also be supplemented with
additional assessments as needed. Subsequent to initial authorizations and in accordance with
OMB policy, organizations assess security controls during continuous monitoring. Organizations
establish the frequency for ongoing security control assessments in accordance with organizational
continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful
examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities
such as regulatory agencies) are outside the scope of this control. Related controls: CA-5, CA-6,
CA-7, PM-9, RA-5, SA-11, SA-12, SI-4.
Control Enhancements:
(1)
SECURITY ASSESSMENTS | INDEPENDENT ASSESSORS
The organization employs assessors or assessment teams with [Assignment: organization-defined
level of independence] to conduct security control assessments.
Independent assessors or assessment teams are individuals or groups
who conduct impartial assessments of organizational information systems. Impartiality
implies that assessors are free from any perceived or actual conflicts of interest with regard to
the development, operation, or management of the organizational information systems under
assessment or to the determination of security control effectiveness. To achieve impartiality,
assessors should not: (i) create a mutual or conflicting interest with the organizations where
the assessments are being conducted; (ii) assess their own work; (iii) act as management or
employees of the organizations they are serving; or (iv) place themselves in positions of
advocacy for the organizations acquiring their services. Independent assessments can be
obtained from elements within organizations or can be contracted to public or private sector
entities outside of organizations. Authorizing officials determine the required level of
independence based on the security categories of information systems and/or the ultimate risk
to organizational operations, organizational assets, or individuals. Authorizing officials also
determine if the level of assessor independence provides sufficient assurance that the results
Supplemental Guidance:
APPENDIX F-CA
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are sound and can be used to make credible, risk-based decisions. This includes determining
whether contracted security assessment services have sufficient independence, for example,
when information system owners are not directly involved in contracting processes or cannot
unduly influence the impartiality of assessors conducting assessments. In special situations,
for example, when organizations that own the information systems are small or organizational
structures require that assessments are conducted by individuals that are in the developmental,
operational, or management chain of system owners, independence in assessment processes
can be achieved by ensuring that assessment results are carefully reviewed and analyzed by
independent teams of experts to validate the completeness, accuracy, integrity, and reliability
of the results. Organizations recognize that assessments performed for purposes other than
direct support to authorization decisions are, when performed by assessors with sufficient
independence, more likely to be useable for such decisions, thereby reducing the need to
repeat assessments.
(2)
SECURITY ASSESSMENTS | SPECIALIZED ASSESSMENTS
The organization includes as part of security control assessments, [Assignment: organizationdefined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth
monitoring; vulnerability scanning; malicious user testing; insider threat assessment;
performance/load testing; [Assignment: organization-defined other forms of security assessment]].
Organizations can employ information system monitoring, insider
threat assessments, malicious user testing, and other forms of testing (e.g., verification and
validation) to improve readiness by exercising organizational capabilities and indicating
current performance levels as a means of focusing actions to improve security. Organizations
conduct assessment activities in accordance with applicable federal laws, Executive Orders,
directives, policies, regulations, and standards. Authorizing officials approve the assessment
methods in coordination with the organizational risk executive function. Organizations can
incorporate vulnerabilities uncovered during assessments into vulnerability remediation
processes. Related controls: PE-3, SI-2.
Supplemental Guidance:
(3)
SECURITY ASSESSMENTS | EXTERNAL ORGANIZATIONS
The organization accepts the results of an assessment of [Assignment: organization-defined
information system] performed by [Assignment: organization-defined external organization] when
the assessment meets [Assignment: organization-defined requirements].
Organizations may often rely on assessments of specific information
systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing
existing assessment evidence) can significantly decrease the time and resources required for
organizational assessments by limiting the amount of independent assessment activities that
organizations need to perform. The factors that organizations may consider in determining
whether to accept assessment results from external organizations can vary. Determinations for
accepting assessment results can be based on, for example, past assessment experiences one
organization has had with another organization, the reputation that organizations have with
regard to assessments, the level of detail of supporting assessment documentation provided, or
mandates imposed upon organizations by federal legislation, policies, or directives.
Supplemental Guidance:
Executive Order 13587; FIPS Publication 199; NIST Special Publications 800-37,
800-39, 800-53A, 800-115, 800-137.
References:
Priority and Baseline Allocation:
P2
CA-3
LOW CA-2
MOD CA-2 (1)
HIGH CA-2 (1) (2)
SYSTEM INTERCONNECTIONS
Control:
a.
APPENDIX F-CA
The organization:
Authorizes connections from the information system to other information systems through the
use of Interconnection Security Agreements;
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b.
Documents, for each interconnection, the interface characteristics, security requirements, and
the nature of the information communicated; and
c.
Reviews and updates Interconnection Security Agreements [Assignment: organization-defined
frequency].
This control applies to dedicated connections between information systems
(i.e., system interconnections) and does not apply to transitory, user-controlled connections such
as email and website browsing. Organizations carefully consider the risks that may be introduced
when information systems are connected to other systems with different security requirements and
security controls, both within organizations and external to organizations. Authorizing officials
determine the risk associated with information system connections and the appropriate controls
employed. If interconnecting systems have the same authorizing official, organizations do not
need to develop Interconnection Security Agreements. Instead, organizations can describe the
interface characteristics between those interconnecting systems in their respective security plans.
If interconnecting systems have different authorizing officials within the same organization,
organizations can either develop Interconnection Security Agreements or describe the interface
characteristics between systems in the security plans for the respective systems. Organizations
may also incorporate Interconnection Security Agreement information into formal contracts,
especially for interconnections established between federal agencies and nonfederal (i.e., private
sector) organizations. Risk considerations also include information systems sharing the same
networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices),
there may be specialized connections in place during preoperational testing. Such connections may
require Interconnection Security Agreements and be subject to additional security controls.
Related controls: AC-3, AC-4, AC-20, AU-2, AU-12, AU-16, CA-7, IA-3, SA-9, SC-7, SI-4.
Supplemental Guidance:
Control Enhancements:
(1)
SYSTEM INTERCONNECTIONS | UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
The organization prohibits the direct connection of an [Assignment: organization-defined
unclassified, national security system] to an external network without the use of [Assignment:
organization-defined boundary protection device].
Organizations typically do not have control over external networks
(e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate
communications (i.e., information flows) between unclassified national security systems and
external networks. This control enhancement is required for organizations processing, storing,
or transmitting Controlled Unclassified Information (CUI).
Supplemental Guidance:
(2)
SYSTEM INTERCONNECTIONS | CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS
The organization prohibits the direct connection of a classified, national security system to an
external network without the use of [Assignment: organization-defined boundary protection
device].
Organizations typically do not have control over external networks
(e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate
communications (i.e., information flows) between classified national security systems and
external networks. In addition, approved boundary protection devices (typically managed
interface/cross-domain systems) provide information flow enforcement from information
systems to external networks.
Supplemental Guidance:
(3)
SYSTEM INTERCONNECTIONS
| UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS
The organization prohibits the direct connection of an [Assignment: organization-defined
unclassified, non-national security system] to an external network without the use of [Assignment;
organization-defined boundary protection device].
Organizations typically do not have control over external networks
(e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate
communications (i.e., information flows) between unclassified non-national security systems
and external networks. This control enhancement is required for organizations processing,
storing, or transmitting Controlled Unclassified Information (CUI).
Supplemental Guidance:
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(4)
SYSTEM INTERCONNECTIONS
| CONNECTIONS TO PUBLIC NETWORKS
The organization prohibits the direct connection of an [Assignment: organization-defined
information system] to a public network.
A public network is any network accessible to the general public
including, for example, the Internet and organizational extranets with public access.
Supplemental Guidance:
(5)
| RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception]
policy for allowing [Assignment: organization-defined information systems] to connect to external
information systems.
SYSTEM INTERCONNECTIONS
Organizations can constrain information system connectivity to
external domains (e.g., websites) by employing one of two policies with regard to such
connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the
two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of
the two policies). For either policy, organizations determine what exceptions, if any, are
acceptable. Related control: CM-7.
Supplemental Guidance:
References:
FIPS Publication 199; NIST Special Publication 800-47.
Priority and Baseline Allocation:
P1
CA-4
LOW CA-3
MOD CA-3 (5)
HIGH CA-3 (5)
SECURITY CERTIFICATION
[Withdrawn: Incorporated into CA-2].
CA-5
PLAN OF ACTION AND MILESTONES
Control:
The organization:
a.
Develops a plan of action and milestones for the information system to document the
organization’s planned remedial actions to correct weaknesses or deficiencies noted during
the assessment of the security controls and to reduce or eliminate known vulnerabilities in the
system; and
b.
Updates existing plan of action and milestones [Assignment: organization-defined frequency]
based on the findings from security controls assessments, security impact analyses, and
continuous monitoring activities.
Plans of action and milestones are key documents in security authorization
packages and are subject to federal reporting requirements established by OMB. Related controls:
CA-2, CA-7, CM-4, PM-4.
Supplemental Guidance:
Control Enhancements:
(1)
| AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
The organization employs automated mechanisms to help ensure that the plan of action and
milestones for the information system is accurate, up to date, and readily available.
PLAN OF ACTION AND MILESTONES
References:
OMB Memorandum 02-01; NIST Special Publication 800-37.
Priority and Baseline Allocation:
P3
APPENDIX F-CA
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MOD CA-5
HIGH CA-5
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CA-6
SECURITY AUTHORIZATION
Control:
The organization:
a.
Assigns a senior-level executive or manager as the authorizing official for the information
system;
b.
Ensures that the authorizing official authorizes the information system for processing before
commencing operations; and
c.
Updates the security authorization [Assignment: organization-defined frequency].
Security authorizations are official management decisions, conveyed
through authorization decision documents, by senior organizational officials or executives (i.e.,
authorizing officials) to authorize operation of information systems and to explicitly accept the
risk to organizational operations and assets, individuals, other organizations, and the Nation based
on the implementation of agreed-upon security controls. Authorizing officials provide budgetary
oversight for organizational information systems or assume responsibility for the mission/business
operations supported by those systems. The security authorization process is an inherently federal
responsibility and therefore, authorizing officials must be federal employees. Through the security
authorization process, authorizing officials assume responsibility and are accountable for security
risks associated with the operation and use of organizational information systems. Accordingly,
authorizing officials are in positions with levels of authority commensurate with understanding
and accepting such information security-related risks. OMB policy requires that organizations
conduct ongoing authorizations of information systems by implementing continuous monitoring
programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so
separate reauthorization processes are not necessary. Through the employment of comprehensive
continuous monitoring processes, critical information contained in authorization packages (i.e.,
security plans, security assessment reports, and plans of action and milestones) is updated on an
ongoing basis, providing authorizing officials and information system owners with an up-to-date
status of the security state of organizational information systems and environments of operation.
To reduce the administrative cost of security reauthorization, authorizing officials use the results
of continuous monitoring processes to the maximum extent possible as the basis for rendering
reauthorization decisions. Related controls: CA-2, CA-7, PM-9, PM-10.
Supplemental Guidance:
Control Enhancements:
References:
None.
OMB Circular A-130; OMB Memorandum 11-33; NIST Special Publications 800-37,
800-137.
Priority and Baseline Allocation:
P2
CA-7
LOW CA-6
MOD CA-6
HIGH CA-6
CONTINUOUS MONITORING
Control: The organization develops a continuous monitoring strategy and implements a continuous
monitoring program that includes:
a.
Establishment of [Assignment: organization-defined metrics] to be monitored;
b.
Establishment of [Assignment: organization-defined frequencies] for monitoring and
[Assignment: organization-defined frequencies] for assessments supporting such monitoring;
c.
Ongoing security control assessments in accordance with the organizational continuous
monitoring strategy;
d.
Ongoing security status monitoring of organization-defined metrics in accordance with the
organizational continuous monitoring strategy;
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e.
Correlation and analysis of security-related information generated by assessments and
monitoring;
f.
Response actions to address results of the analysis of security-related information; and
g.
Reporting the security status of organization and the information system to [Assignment:
organization-defined personnel or roles] [Assignment: organization-defined frequency].
Continuous monitoring programs facilitate ongoing awareness of threats,
vulnerabilities, and information security to support organizational risk management decisions. The
terms continuous and ongoing imply that organizations assess/analyze security controls and
information security-related risks at a frequency sufficient to support organizational risk-based
decisions. The results of continuous monitoring programs generate appropriate risk response
actions by organizations. Continuous monitoring programs also allow organizations to maintain
the security authorizations of information systems and common controls over time in highly
dynamic environments of operation with changing mission/business needs, threats, vulnerabilities,
and technologies. Having access to security-related information on a continuing basis through
reports/dashboards gives organizational officials the capability to make more effective and timely
risk management decisions, including ongoing security authorization decisions. Automation
supports more frequent updates to security authorization packages, hardware/software/firmware
inventories, and other system information. Effectiveness is further enhanced when continuous
monitoring outputs are formatted to provide information that is specific, measurable, actionable,
relevant, and timely. Continuous monitoring activities are scaled in accordance with the security
categories of information systems. Related controls: CA-2, CA-5, CA-6, CM-3, CM-4, PM-6, PM9, RA-5, SA-11, SA-12, SI-2, SI-4.
Supplemental Guidance:
Control Enhancements:
(1)
CONTINUOUS MONITORING | INDEPENDENT ASSESSMENT
The organization employs assessors or assessment teams with [Assignment: organization-defined
level of independence] to monitor the security controls in the information system on an ongoing
basis.
Organizations can maximize the value of assessments of security
controls during the continuous monitoring process by requiring that such assessments be
conducted by assessors or assessment teams with appropriate levels of independence based on
continuous monitoring strategies. Assessor independence provides a degree of impartiality to
the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual
or conflicting interest with the organizations where the assessments are being conducted; (ii)
assess their own work; (iii) act as management or employees of the organizations they are
serving; or (iv) place themselves in advocacy positions for the organizations acquiring their
services.
Supplemental Guidance:
(2)
CONTINUOUS MONITORING | TYPES OF ASSESSMENTS
(3)
CONTINUOUS MONITORING | TREND ANALYSES
[Withdrawn: Incorporated into CA-2].
The organization employs trend analyses to determine if security control implementations, the
frequency of continuous monitoring activities, and/or the types of activities used in the continuous
monitoring process need to be modified based on empirical data.
Trend analyses can include, for example, examining recent threat
information regarding the types of threat events that have occurred within the organization or
across the federal government, success rates of certain types of cyber attacks, emerging
vulnerabilities in information technologies, evolving social engineering techniques, results
from multiple security control assessments, the effectiveness of configuration settings, and
findings from Inspectors General or auditors.
Supplemental Guidance:
OMB Memorandum 11-33; NIST Special Publications 800-37, 800-39, 800-53A, 800115, 800-137; US-CERT Technical Cyber Security Alerts; DoD Information Assurance
Vulnerability Alerts.
References:
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Priority and Baseline Allocation:
P2
CA-8
LOW CA-7
MOD CA-7 (1)
HIGH CA-7 (1)
PENETRATION TESTING
Control: The organization conducts penetration testing [Assignment: organization-defined
frequency] on [Assignment: organization-defined information systems or system components].
Penetration testing is a specialized type of assessment conducted on
information systems or individual system components to identify vulnerabilities that could be
exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine
the degree of resistance organizational information systems have to adversaries within a set of
specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate
the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a
more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the
results of vulnerability analyses to support penetration testing activities. Penetration testing can be
conducted on the hardware, software, or firmware components of an information system and can
exercise both physical and technical security controls. A standard method for penetration testing
includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest
identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to
determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement
before the commencement of penetration testing scenarios. Organizations correlate the penetration
testing rules of engagement with the tools, techniques, and procedures that are anticipated to be
employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on
the level of independence required for personnel conducting penetration testing. Related control:
SA-12.
Supplemental Guidance:
Control Enhancements:
(1)
PENETRATION TESTING | INDEPENDENT PENETRATION AGENT OR TEAM
The organization employs an independent penetration agent or penetration team to perform
penetration testing on the information system or system components.
Independent penetration agents or teams are individuals or groups who
conduct impartial penetration testing of organizational information systems. Impartiality
implies that penetration agents or teams are free from any perceived or actual conflicts of
interest with regard to the development, operation, or management of the information systems
that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides
additional information regarding independent assessments that can be applied to penetration
testing. Related control: CA-2.
Supplemental Guidance:
(2)
PENETRATION TESTING | RED TEAM EXERCISES
The organization employs [Assignment: organization-defined red team exercises] to simulate
attempts by adversaries to compromise organizational information systems in accordance with
[Assignment: organization-defined rules of engagement].
Red team exercises extend the objectives of penetration testing by
examining the security posture of organizations and their ability to implement effective cyber
defenses. As such, red team exercises reflect simulated adversarial attempts to compromise
organizational mission/business functions and provide a comprehensive assessment of the
security state of information systems and organizations. Simulated adversarial attempts to
compromise organizational missions/business functions and the information systems that
support those missions/functions may include technology-focused attacks (e.g., interactions
with hardware, software, or firmware components and/or mission/business processes) and
social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or
personal conversations). While penetration testing may be largely laboratory-based testing,
organizations use red team exercises to provide more comprehensive assessments that reflect
Supplemental Guidance:
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real-world conditions. Red team exercises can be used to improve security awareness and
training and to assess levels of security control effectiveness.
References:
None.
Priority and Baseline Allocation:
P2
CA-9
LOW Not Selected
MOD Not Selected
HIGH CA-8
INTERNAL SYSTEM CONNECTIONS
Control:
The organization:
a.
Authorizes internal connections of [Assignment: organization-defined information system
components or classes of components] to the information system; and
b.
Documents, for each internal connection, the interface characteristics, security requirements,
and the nature of the information communicated.
This control applies to connections between organizational information
systems and (separate) constituent system components (i.e., intra-system connections) including,
for example, system connections with mobile devices, notebook/desktop computers, printers,
copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual
internal connection, organizations can authorize internal connections for a class of components
with common characteristics and/or configurations, for example, all digital printers, scanners, and
copiers with a specified processing, storage, and transmission capability or all smart phones with a
specific baseline configuration. Related controls: AC-3, AC-4, AC-18, AC-19, AU-2, AU-12, CA7, CM-2, IA-3, SC-7, SI-4.
Supplemental Guidance:
Control Enhancements:
(1)
INTERNAL SYSTEM CONNECTIONS | SECURITY COMPLIANCE CHECKS
The information system performs security compliance checks on constituent system components
prior to the establishment of the internal connection.
Security compliance checks may include, for example, verification of
the relevant baseline configuration. Related controls: CM-6.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P2
APPENDIX F-CA
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MOD CA-9
HIGH CA-9
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FAMILY: CONFIGURATION MANAGEMENT
CM-1
CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A configuration management policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the configuration management policy and
associated configuration management controls; and
Reviews and updates the current:
1.
Configuration management policy [Assignment: organization-defined frequency]; and
2.
Configuration management procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the CM family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
CM-2
LOW CM-1
MOD CM-1
HIGH CM-1
BASELINE CONFIGURATION
Control: The organization develops, documents, and maintains under configuration control, a
current baseline configuration of the information system.
This control establishes baseline configurations for information systems
and system components including communications and connectivity-related aspects of systems.
Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications
for information systems or configuration items within those systems. Baseline configurations
serve as a basis for future builds, releases, and/or changes to information systems. Baseline
configurations include information about information system components (e.g., standard software
packages installed on workstations, notebook computers, servers, network components, or mobile
devices; current version numbers and patch information on operating systems and applications;
and configuration settings/parameters), network topology, and the logical placement of those
components within the system architecture. Maintaining baseline configurations requires creating
new baselines as organizational information systems change over time. Baseline configurations of
information systems reflect the current enterprise architecture. Related controls: CM-3, CM-6,
CM-8, CM-9, SA-10, PM-5, PM-7.
Supplemental Guidance:
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Control Enhancements:
(1)
BASELINE CONFIGURATION | REVIEWS AND UPDATES
The organization reviews and updates the baseline configuration of the information system:
(a)
[Assignment: organization-defined frequency];
(b) When required due to [Assignment organization-defined circumstances]; and
(c)
As an integral part of information system component installations and upgrades.
Supplemental Guidance:
(2)
Related control: CM-5.
BASELINE CONFIGURATION | AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
The organization employs automated mechanisms to maintain an up-to-date, complete, accurate,
and readily available baseline configuration of the information system.
Automated mechanisms that help organizations maintain consistent
baseline configurations for information systems include, for example, hardware and software
inventory tools, configuration management tools, and network management tools. Such tools
can be deployed and/or allocated as common controls, at the information system level, or at
the operating system or component level (e.g., on workstations, servers, notebook computers,
network components, or mobile devices). Tools can be used, for example, to track version
numbers on operating system applications, types of software installed, and current patch
levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for
organizations that choose to combine information system component inventory and baseline
configuration activities. Related controls: CM-7, RA-5.
Supplemental Guidance:
(3)
BASELINE CONFIGURATION | RETENTION OF PREVIOUS CONFIGURATIONS
The organization retains [Assignment: organization-defined previous versions of baseline
configurations of the information system] to support rollback.
Retaining previous versions of baseline configurations to support
rollback may include, for example, hardware, software, firmware, configuration files, and
configuration records.
Supplemental Guidance:
(4)
BASELINE CONFIGURATION | UNAUTHORIZED SOFTWARE
[Withdrawn: Incorporated into CM-7].
(5)
BASELINE CONFIGURATION | AUTHORIZED SOFTWARE
[Withdrawn: Incorporated into CM-7].
(6)
BASELINE CONFIGURATION | DEVELOPMENT AND TEST ENVIRONMENTS
The organization maintains a baseline configuration for information system development and test
environments that is managed separately from the operational baseline configuration.
Establishing separate baseline configurations for development, testing,
and operational environments helps protect information systems from unplanned/unexpected
events related to development and testing activities. Separate baseline configurations allow
organizations to apply the configuration management that is most appropriate for each type of
configuration. For example, management of operational configurations typically emphasizes
the need for stability, while management of development/test configurations requires greater
flexibility. Configurations in the test environment mirror the configurations in the operational
environment to the extent practicable so that the results of the testing are representative of the
proposed changes to the operational systems. This control enhancement requires separate
configurations but not necessarily separate physical environments. Related controls: CM-4,
SC-3, SC-7.
Supplemental Guidance:
(7)
BASELINE CONFIGURATION | CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
The organization:
(a)
Issues [Assignment: organization-defined information systems, system components, or
devices] with [Assignment: organization-defined configurations] to individuals traveling to
locations that the organization deems to be of significant risk; and
(b) Applies [Assignment: organization-defined security safeguards] to the devices when the
individuals return.
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When it is known that information systems, system components, or
devices (e.g., notebook computers, mobile devices) will be located in high-risk areas,
additional security controls may be implemented to counter the greater threat in such areas
coupled with the lack of physical security relative to organizational-controlled areas. For
example, organizational policies and procedures for notebook computers used by individuals
departing on and returning from travel include, for example, determining which locations are
of concern, defining required configurations for the devices, ensuring that the devices are
configured as intended before travel is initiated, and applying specific safeguards to the
device after travel is completed. Specially configured notebook computers include, for
example, computers with sanitized hard drives, limited applications, and additional hardening
(e.g., more stringent configuration settings). Specified safeguards applied to mobile devices
upon return from travel include, for example, examining the device for signs of physical
tampering and purging/reimaging the hard disk drive. Protecting information residing on
mobile devices is covered in the media protection family.
Supplemental Guidance:
References:
NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1
CM-3
LOW CM-2
MOD CM-2 (1) (3) (7)
HIGH CM-2 (1) (2) (3) (7)
CONFIGURATION CHANGE CONTROL
Control:
The organization:
a.
Determines the types of changes to the information system that are configuration-controlled;
b.
Reviews proposed configuration-controlled changes to the information system and approves
or disapproves such changes with explicit consideration for security impact analyses;
c.
Documents configuration change decisions associated with the information system;
d.
Implements approved configuration-controlled changes to the information system;
e.
Retains records of configuration-controlled changes to the information system for
[Assignment: organization-defined time period];
f.
Audits and reviews activities associated with configuration-controlled changes to the
information system; and
g.
Coordinates and provides oversight for configuration change control activities through
[Assignment: organization-defined configuration change control element (e.g., committee,
board)] that convenes [Selection (one or more): [Assignment: organization-defined
frequency]; [Assignment: organization-defined configuration change conditions]].
Configuration change controls for organizational information systems
involve the systematic proposal, justification, implementation, testing, review, and disposition of
changes to the systems, including system upgrades and modifications. Configuration change
control includes changes to baseline configurations for components and configuration items of
information systems, changes to configuration settings for information technology products (e.g.,
operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized
changes, and changes to remediate vulnerabilities. Typical processes for managing configuration
changes to information systems include, for example, Configuration Control Boards that approve
proposed changes to systems. For new development information systems or systems undergoing
major upgrades, organizations consider including representatives from development organizations
on the Configuration Control Boards. Auditing of changes includes activities before and after
changes are made to organizational information systems and the auditing activities required to
implement such changes. Related controls: CA-7, CM-2, CM-4, CM-5, CM-6, CM-9, SA-10, SI2, SI-12.
Supplemental Guidance:
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Control Enhancements:
(1)
CONFIGURATION CHANGE CONTROL | AUTOMATED DOCUMENT / NOTIFICATION / PROHIBITION OF CHANGES
The organization employs automated mechanisms to:
(a)
Document proposed changes to the information system;
(b) Notify [Assignment: organized-defined approval authorities] of proposed changes to the
information system and request change approval;
(c)
Highlight proposed changes to the information system that have not been approved or
disapproved by [Assignment: organization-defined time period];
(d) Prohibit changes to the information system until designated approvals are received;
(2)
(e)
Document all changes to the information system; and
(f)
Notify [Assignment: organization-defined personnel] when approved changes to the
information system are completed.
CONFIGURATION CHANGE CONTROL | TEST / VALIDATE / DOCUMENT CHANGES
The organization tests, validates, and documents changes to the information system before
implementing the changes on the operational system.
Changes to information systems include modifications to hardware,
software, or firmware components and configuration settings defined in CM-6. Organizations
ensure that testing does not interfere with information system operations. Individuals/groups
conducting tests understand organizational security policies and procedures, information
system security policies and procedures, and the specific health, safety, and environmental
risks associated with particular facilities/processes. Operational systems may need to be taken
off-line, or replicated to the extent feasible, before testing can be conducted. If information
systems must be taken off-line for testing, the tests are scheduled to occur during planned
system outages whenever possible. If testing cannot be conducted on operational systems,
organizations employ compensating controls (e.g., testing on replicated systems).
Supplemental Guidance:
(3)
CONFIGURATION CHANGE CONTROL | AUTOMATED CHANGE IMPLEMENTATION
The organization employs automated mechanisms to implement changes to the current
information system baseline and deploys the updated baseline across the installed base.
(4)
CONFIGURATION CHANGE CONTROL | SECURITY REPRESENTATIVE
The organization requires an information security representative to be a member of the
[Assignment: organization-defined configuration change control element].
Information security representatives can include, for example, senior
agency information security officers, information system security officers, or information
system security managers. Representation by personnel with information security expertise is
important because changes to information system configurations can have unintended side
effects, some of which may be security-relevant. Detecting such changes early in the process
can help avoid unintended, negative consequences that could ultimately affect the security
state of organizational information systems. The configuration change control element in this
control enhancement reflects the change control elements defined by organizations in CM-3.
Supplemental Guidance:
(5)
CONFIGURATION CHANGE CONTROL | AUTOMATED SECURITY RESPONSE
The information system implements [Assignment: organization-defined security responses]
automatically if baseline configurations are changed in an unauthorized manner.
Security responses include, for example, halting information system
processing, halting selected system functions, or issuing alerts/notifications to organizational
personnel when there is an unauthorized modification of a configuration item.
Supplemental Guidance:
(6)
CONFIGURATION CHANGE CONTROL | CRYPTOGRAPHY MANAGEMENT
The organization ensures that cryptographic mechanisms used to provide [Assignment:
organization-defined security safeguards] are under configuration management.
Regardless of the cryptographic means employed (e.g., public key,
private key, shared secrets), organizations ensure that there are processes and procedures in
place to effectively manage those means. For example, if devices use certificates as a basis for
Supplemental Guidance:
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identification and authentication, there needs to be a process in place to address the expiration
of those certificates. Related control: SC-13.
References:
NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1
CM-4
LOW Not Selected
MOD CM-3 (2)
HIGH CM-3 (1) (2)
SECURITY IMPACT ANALYSIS
The organization analyzes changes to the information system to determine potential
security impacts prior to change implementation.
Control:
Organizational personnel with information security responsibilities (e.g.,
Information System Administrators, Information System Security Officers, Information System
Security Managers, and Information System Security Engineers) conduct security impact analyses.
Individuals conducting security impact analyses possess the necessary skills/technical expertise to
analyze the changes to information systems and the associated security ramifications. Security
impact analysis may include, for example, reviewing security plans to understand security control
requirements and reviewing system design documentation to understand control implementation
and how specific changes might affect the controls. Security impact analyses may also include
assessments of risk to better understand the impact of the changes and to determine if additional
security controls are required. Security impact analyses are scaled in accordance with the security
categories of the information systems. Related controls: CA-2, CA-7, CM-3, CM-9, SA-4, SA-5,
SA-10, SI-2.
Supplemental Guidance:
Control Enhancements:
(1)
SECURITY IMPACT ANALYSIS | SEPARATE TEST ENVIRONMENTS
The organization analyzes changes to the information system in a separate test environment
before implementation in an operational environment, looking for security impacts due to flaws,
weaknesses, incompatibility, or intentional malice.
Separate test environment in this context means an environment that is
physically or logically isolated and distinct from the operational environment. The separation
is sufficient to ensure that activities in the test environment do not impact activities in the
operational environment, and information in the operational environment is not inadvertently
transmitted to the test environment. Separate environments can be achieved by physical or
logical means. If physically separate test environments are not used, organizations determine
the strength of mechanism required when implementing logical separation (e.g., separation
achieved through virtual machines). Related controls: SA-11, SC-3, SC-7.
Supplemental Guidance:
(2)
SECURITY IMPACT ANALYSIS | VERIFICATION OF SECURITY FUNCTIONS
The organization, after the information system is changed, checks the security functions to verify
that the functions are implemented correctly, operating as intended, and producing the desired
outcome with regard to meeting the security requirements for the system.
Implementation is this context refers to installing changed code in the
operational information system. Related control: SA-11.
Supplemental Guidance:
References:
NIST Special Publication 800-128.
Priority and Baseline Allocation:
P2
APPENDIX F-CM
LOW CM-4
MOD CM-4
HIGH CM-4 (1)
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CM-5
ACCESS RESTRICTIONS FOR CHANGE
The organization defines, documents, approves, and enforces physical and logical access
restrictions associated with changes to the information system.
Control:
Any changes to the hardware, software, and/or firmware components of
information systems can potentially have significant effects on the overall security of the systems.
Therefore, organizations permit only qualified and authorized individuals to access information
systems for purposes of initiating changes, including upgrades and modifications. Organizations
maintain records of access to ensure that configuration change control is implemented and to
support after-the-fact actions should organizations discover any unauthorized changes. Access
restrictions for change also include software libraries. Access restrictions include, for example,
physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries,
abstract layers (e.g., changes implemented into third-party interfaces rather than directly into
information systems), and change windows (e.g., changes occur only during specified times,
making unauthorized changes easy to discover). Related controls: AC-3, AC-6, PE-3.
Supplemental Guidance:
Control Enhancements:
(1)
ACCESS RESTRICTIONS FOR CHANGE | AUTOMATED ACCESS ENFORCEMENT / AUDITING
The information system enforces access restrictions and supports auditing of the enforcement
actions.
Supplemental Guidance:
(2)
Related controls: AU-2, AU-12, AU-6, CM-3, CM-6.
ACCESS RESTRICTIONS FOR CHANGE | REVIEW SYSTEM CHANGES
The organization reviews information system changes [Assignment: organization-defined
frequency] and [Assignment: organization-defined circumstances] to determine whether
unauthorized changes have occurred.
Indications that warrant review of information system changes and the
specific circumstances justifying such reviews may be obtained from activities carried out by
organizations during the configuration change process. Related controls: AU-6, AU-7, CM-3,
CM-5, PE-6, PE-8.
Supplemental Guidance:
(3)
ACCESS RESTRICTIONS FOR CHANGE | SIGNED COMPONENTS
The information system prevents the installation of [Assignment: organization-defined software
and firmware components] without verification that the component has been digitally signed using
a certificate that is recognized and approved by the organization.
Software and firmware components prevented from installation unless
signed with recognized and approved certificates include, for example, software and firmware
version updates, patches, service packs, device drivers, and basic input output system (BIOS)
updates. Organizations can identify applicable software and firmware components by type, by
specific items, or a combination of both. Digital signatures and organizational verification of
such signatures, is a method of code authentication. Related controls: CM-7, SC-13, SI-7.
Supplemental Guidance:
(4)
ACCESS RESTRICTIONS FOR CHANGE | DUAL AUTHORIZATION
The organization enforces dual authorization for implementing changes to [Assignment:
organization-defined information system components and system-level information].
Organizations employ dual authorization to ensure that any changes to
selected information system components and information cannot occur unless two qualified
individuals implement such changes. The two individuals possess sufficient skills/expertise to
determine if the proposed changes are correct implementations of approved changes. Dual
authorization may also be known as two-person control. Related controls: AC-5, CM-3.
Supplemental Guidance:
(5)
ACCESS RESTRICTIONS FOR CHANGE | LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
The organization:
(a)
Limits privileges to change information system components and system-related information
within a production or operational environment; and
(b) Reviews and reevaluates privileges [Assignment: organization-defined frequency].
In many organizations, information systems support multiple core
missions/business functions. Limiting privileges to change information system components
with respect to operational systems is necessary because changes to a particular information
Supplemental Guidance:
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system component may have far-reaching effects on mission/business processes supported by
the system where the component resides. The complex, many-to-many relationships between
systems and mission/business processes are in some cases, unknown to developers. Related
control: AC-2.
(6)
ACCESS RESTRICTIONS FOR CHANGE | LIMIT LIBRARY PRIVILEGES
The organization limits privileges to change software resident within software libraries.
Supplemental Guidance:
(7)
Software libraries include privileged programs. Related control: AC-2.
ACCESS RESTRICTIONS FOR CHANGE | AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS
[Withdrawn: Incorporated into SI-7].
References:
None.
Priority and Baseline Allocation:
P1
CM-6
LOW Not Selected
MOD CM-5
HIGH CM-5 (1) (2) (3)
CONFIGURATION SETTINGS
Control:
The organization:
a.
Establishes and documents configuration settings for information technology products
employed within the information system using [Assignment: organization-defined security
configuration checklists] that reflect the most restrictive mode consistent with operational
requirements;
b.
Implements the configuration settings;
c.
Identifies, documents, and approves any deviations from established configuration settings for
[Assignment: organization-defined information system components] based on [Assignment:
organization-defined operational requirements]; and
d.
Monitors and controls changes to the configuration settings in accordance with organizational
policies and procedures.
Configuration settings are the set of parameters that can be changed in
hardware, software, or firmware components of the information system that affect the security
posture and/or functionality of the system. Information technology products for which securityrelated configuration settings can be defined include, for example, mainframe computers, servers
(e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations,
input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls,
routers, gateways, voice and data switches, wireless access points, network appliances, sensors),
operating systems, middleware, and applications. Security-related parameters are those parameters
impacting the security state of information systems including the parameters required to satisfy
other security control requirements. Security-related parameters include, for example: (i) registry
settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports,
protocols, services, and remote connections. Organizations establish organization-wide
configuration settings and subsequently derive specific settings for information systems. The
established settings become part of the systems configuration baseline.
Supplemental Guidance:
Common secure configurations (also referred to as security configuration checklists, lockdown
and hardening guides, security reference guides, security technical implementation guides) provide
recognized, standardized, and established benchmarks that stipulate secure configuration settings
for specific information technology platforms/products and instructions for configuring those
information system components to meet operational requirements. Common secure configurations
can be developed by a variety of organizations including, for example, information technology
product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and
other organizations in the public and private sectors. Common secure configurations include the
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United States Government Configuration Baseline (USGCB) which affects the implementation of
CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol
(SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration)
provide an effective method to uniquely identify, track, and control configuration settings. OMB
establishes federal policy on configuration requirements for federal information systems. Related
controls: AC-19, CM-2, CM-3, CM-7, SI-4.
Control Enhancements:
(1)
CONFIGURATION SETTINGS | AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION
The organization employs automated mechanisms to centrally manage, apply, and verify
configuration settings for [Assignment: organization-defined information system components].
Supplemental Guidance:
(2)
Related controls: CA-7, CM-4.
CONFIGURATION SETTINGS | RESPOND TO UNAUTHORIZED CHANGES
The organization employs [Assignment: organization-defined security safeguards] to respond to
unauthorized changes to [Assignment: organization-defined configuration settings].
Responses to unauthorized changes to configuration settings can
include, for example, alerting designated organizational personnel, restoring established
configuration settings, or in extreme cases, halting affected information system processing.
Related controls: IR-4, SI-7.
Supplemental Guidance:
(3)
CONFIGURATION SETTINGS | UNAUTHORIZED CHANGE DETECTION
[Withdrawn: Incorporated into SI-7].
(4)
CONFIGURATION SETTINGS | CONFORMANCE DEMONSTRATION
[Withdrawn: Incorporated into CM-4].
OMB Memoranda 07-11, 07-18, 08-22; NIST Special Publications 800-70, 800-128;
Web: http://nvd.nist.gov, http://checklists.nist.gov, http://www.nsa.gov.
References:
Priority and Baseline Allocation:
P1
CM-7
LOW CM-6
MOD CM-6
HIGH CM-6 (1) (2)
LEAST FUNCTIONALITY
Control:
The organization:
a.
Configures the information system to provide only essential capabilities; and
b.
Prohibits or restricts the use of the following functions, ports, protocols, and/or services:
[Assignment: organization-defined prohibited or restricted functions, ports, protocols, and/or
services].
Information systems can provide a wide variety of functions and services.
Some of the functions and services, provided by default, may not be necessary to support essential
organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient
to provide multiple services from single information system components, but doing so increases
risk over limiting the services provided by any one component. Where feasible, organizations limit
component functionality to a single function per device (e.g., email servers or web servers, but not
both). Organizations review functions and services provided by information systems or individual
components of information systems, to determine which functions and services are candidates for
elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing).
Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g.,
Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information
systems to prevent unauthorized connection of devices, unauthorized transfer of information, or
unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and
prevention systems, and end-point protections such as firewalls and host-based intrusion detection
Supplemental Guidance:
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systems to identify and prevent the use of prohibited functions, ports, protocols, and services.
Related controls: AC-6, CM-2, RA-5, SA-5, SC-7.
Control Enhancements:
(1)
LEAST FUNCTIONALITY | PERIODIC REVIEW
The organization:
(a)
Reviews the information system [Assignment: organization-defined frequency] to identify
unnecessary and/or nonsecure functions, ports, protocols, and services; and
(b) Disables [Assignment: organization-defined functions, ports, protocols, and services within
the information system deemed to be unnecessary and/or nonsecure].
The organization can either make a determination of the relative
security of the function, port, protocol, and/or service or base the security decision on the
assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of
less than secure protocols. Related controls: AC-18, CM-7, IA-2.
Supplemental Guidance:
(2)
LEAST FUNCTIONALITY | PREVENT PROGRAM EXECUTION
The information system prevents program execution in accordance with [Selection (one or more):
[Assignment: organization-defined policies regarding software program usage and restrictions];
rules authorizing the terms and conditions of software program usage].
Supplemental Guidance:
(3)
Related controls: CM-8, PM-5.
LEAST FUNCTIONALITY | REGISTRATION COMPLIANCE
The organization ensures compliance with [Assignment: organization-defined registration
requirements for functions, ports, protocols, and services].
Organizations use the registration process to manage, track, and
provide oversight for information systems and implemented functions, ports, protocols, and
services.
Supplemental Guidance:
(4)
LEAST FUNCTIONALITY | UNAUTHORIZED SOFTWARE / BLACKLISTING
The organization:
(a)
Identifies [Assignment: organization-defined software programs not authorized to execute on
the information system];
(b) Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized
software programs on the information system; and
(c)
Reviews and updates the list of unauthorized software programs [Assignment: organizationdefined frequency].
The process used to identify software programs that are not authorized
to execute on organizational information systems is commonly referred to as blacklisting.
Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting
(the stronger of the two policies) is the preferred approach for restricting software program
execution. Related controls: CM-6, CM-8, PM-5.
Supplemental Guidance:
(5)
LEAST FUNCTIONALITY | AUTHORIZED SOFTWARE / WHITELISTING
The organization:
(a)
Identifies [Assignment: organization-defined software programs authorized to execute on the
information system];
(b) Employs a deny-all, permit-by-exception policy to allow the execution of authorized software
programs on the information system; and
(c)
Reviews and updates the list of authorized software programs [Assignment: organizationdefined frequency].
The process used to identify software programs that are authorized to
execute on organizational information systems is commonly referred to as whitelisting. In
addition to whitelisting, organizations consider verifying the integrity of white-listed software
programs using, for example, cryptographic checksums, digital signatures, or hash functions.
Verification of white-listed software can occur either prior to execution or at system startup.
Related controls: CM-2, CM-6, CM-8, PM-5, SA-10, SC-34, SI-7.
Supplemental Guidance:
APPENDIX F-CM
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References:
DoD Instruction 8551.01.
Priority and Baseline Allocation:
LOW CM-7
P1
CM-8
MOD CM-7 (1) (2) (4)
HIGH CM-7 (1) (2) (5)
INFORMATION SYSTEM COMPONENT INVENTORY
Control:
a.
b.
The organization:
Develops and documents an inventory of information system components that:
1.
Accurately reflects the current information system;
2.
Includes all components within the authorization boundary of the information system;
3.
Is at the level of granularity deemed necessary for tracking and reporting; and
4.
Includes [Assignment: organization-defined information deemed necessary to achieve
effective information system component accountability]; and
Reviews and updates the information system component inventory [Assignment:
organization-defined frequency].
Organizations may choose to implement centralized information system
component inventories that include components from all organizational information systems. In
such situations, organizations ensure that the resulting inventories include system-specific
information required for proper component accountability (e.g., information system association,
information system owner). Information deemed necessary for effective accountability of
information system components includes, for example, hardware inventory specifications,
software license information, software version numbers, component owners, and for networked
components or devices, machine names and network addresses. Inventory specifications include,
for example, manufacturer, device type, model, serial number, and physical location. Related
controls: CM-2, CM-6, PM-5.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION SYSTEM COMPONENT INVENTORY | UPDATES DURING INSTALLATIONS / REMOVALS
The organization updates the inventory of information system components as an integral part of
component installations, removals, and information system updates.
(2)
INFORMATION SYSTEM COMPONENT INVENTORY | AUTOMATED MAINTENANCE
The organization employs automated mechanisms to help maintain an up-to-date, complete,
accurate, and readily available inventory of information system components.
Organizations maintain information system inventories to the extent
feasible. Virtual machines, for example, can be difficult to monitor because such machines are
not visible to the network when not in use. In such cases, organizations maintain as up-todate, complete, and accurate an inventory as is deemed reasonable. This control enhancement
can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine
information system component inventory and baseline configuration activities. Related
control: SI-7.
Supplemental Guidance:
(3)
INFORMATION SYSTEM COMPONENT INVENTORY | AUTOMATED UNAUTHORIZED COMPONENT DETECTION
The organization:
(a)
Employs automated mechanisms [Assignment: organization-defined frequency] to detect the
presence of unauthorized hardware, software, and firmware components within the
information system; and
(b) Takes the following actions when unauthorized components are detected: [Selection (one or
more): disables network access by such components; isolates the components; notifies
[Assignment: organization-defined personnel or roles]].
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This control enhancement is applied in addition to the monitoring for
unauthorized remote connections and mobile devices. Monitoring for unauthorized system
components may be accomplished on an ongoing basis or by the periodic scanning of systems
for that purpose. Automated mechanisms can be implemented within information systems or
in other separate devices. Isolation can be achieved, for example, by placing unauthorized
information system components in separate domains or subnets or otherwise quarantining
such components. This type of component isolation is commonly referred to as sandboxing.
Related controls: AC-17, AC-18, AC-19, CA-7, SI-3, SI-4, SI-7, RA-5.
Supplemental Guidance:
(4)
INFORMATION SYSTEM COMPONENT INVENTORY | ACCOUNTABILITY INFORMATION
The organization includes in the information system component inventory information, a means for
identifying by [Selection (one or more): name; position; role], individuals responsible/accountable
for administering those components.
Identifying individuals who are both responsible and accountable for
administering information system components helps to ensure that the assigned components
are properly administered and organizations can contact those individuals if some action is
required (e.g., component is determined to be the source of a breach/compromise, component
needs to be recalled/replaced, or component needs to be relocated).
Supplemental Guidance:
(5)
INFORMATION SYSTEM COMPONENT INVENTORY | NO DUPLICATE ACCOUNTING OF COMPONENTS
The organization verifies that all components within the authorization boundary of the information
system are not duplicated in other information system component inventories.
This control enhancement addresses the potential problem of duplicate
accounting of information system components in large or complex interconnected systems.
Supplemental Guidance:
(6)
INFORMATION SYSTEM COMPONENT INVENTORY | ASSESSED CONFIGURATIONS / APPROVED DEVIATIONS
The organization includes assessed component configurations and any approved deviations to
current deployed configurations in the information system component inventory.
This control enhancement focuses on configuration settings established
by organizations for information system components, the specific components that have been
assessed to determine compliance with the required configuration settings, and any approved
deviations from established configuration settings. Related controls: CM-2, CM-6.
Supplemental Guidance:
(7)
INFORMATION SYSTEM COMPONENT INVENTORY | CENTRALIZED REPOSITORY
The organization provides a centralized repository for the inventory of information system
components.
Organizations may choose to implement centralized information
system component inventories that include components from all organizational information
systems. Centralized repositories of information system component inventories provide
opportunities for efficiencies in accounting for organizational hardware, software, and
firmware assets. Such repositories may also help organizations rapidly identify the location
and responsible individuals of system components that have been compromised, breached, or
are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized
inventories include system-specific information required for proper component accountability
(e.g., information system association, information system owner).
Supplemental Guidance:
(8)
INFORMATION SYSTEM COMPONENT INVENTORY | AUTOMATED LOCATION TRACKING
The organization employs automated mechanisms to support tracking of information system
components by geographic location.
The use of automated mechanisms to track the location of information
system components can increase the accuracy of component inventories. Such capability may
also help organizations rapidly identify the location and responsible individuals of system
components that have been compromised, breached, or are otherwise in need of mitigation
actions.
Supplemental Guidance:
(9)
INFORMATION SYSTEM COMPONENT INVENTORY | ASSIGNMENT OF COMPONENTS TO SYSTEMS
The organization:
(a)
APPENDIX F-CM
Assigns [Assignment: organization-defined acquired information system components] to an
information system; and
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(b) Receives an acknowledgement from the information system owner of this assignment.
Organizations determine the criteria for or types of information system
components (e.g., microprocessors, motherboards, software, programmable logic controllers,
and network devices) that are subject to this control enhancement. Related control: SA-4.
Supplemental Guidance:
References:
NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1
CM-9
LOW CM-8
MOD CM-8 (1) (3) (5)
HIGH CM-8 (1) (2) (3) (4) (5)
CONFIGURATION MANAGEMENT PLAN
Control: The organization develops, documents, and implements a configuration management plan
for the information system that:
a.
Addresses roles, responsibilities, and configuration management processes and procedures;
b.
Establishes a process for identifying configuration items throughout the system development
life cycle and for managing the configuration of the configuration items;
c.
Defines the configuration items for the information system and places the configuration items
under configuration management; and
d.
Protects the configuration management plan from unauthorized disclosure and modification.
Configuration management plans satisfy the requirements in configuration
management policies while being tailored to individual information systems. Such plans define
detailed processes and procedures for how configuration management is used to support system
development life cycle activities at the information system level. Configuration management plans
are typically developed during the development/acquisition phase of the system development life
cycle. The plans describe how to move changes through change management processes, how to
update configuration settings and baselines, how to maintain information system component
inventories, how to control development, test, and operational environments, and how to develop,
release, and update key documents. Organizations can employ templates to help ensure consistent
and timely development and implementation of configuration management plans. Such templates
can represent a master configuration management plan for the organization at large with subsets of
the plan implemented on a system by system basis. Configuration management approval processes
include designation of key management stakeholders responsible for reviewing and approving
proposed changes to information systems, and personnel that conduct security impact analyses
prior to the implementation of changes to the systems. Configuration items are the information
system items (hardware, software, firmware, and documentation) to be configuration-managed. As
information systems continue through the system development life cycle, new configuration items
may be identified and some existing configuration items may no longer need to be under
configuration control. Related controls: CM-2, CM-3, CM-4, CM-5, CM-8, SA-10.
Supplemental Guidance:
Control Enhancements:
(1)
CONFIGURATION MANAGEMENT PLAN | ASSIGNMENT OF RESPONSIBILITY
The organization assigns responsibility for developing the configuration management process to
organizational personnel that are not directly involved in information system development.
In the absence of dedicated configuration management teams assigned
within organizations, system developers may be tasked to develop configuration management
processes using personnel who are not directly involved in system development or integration.
This separation of duties ensures that organizations establish and maintain a sufficient degree
of independence between the information system development and integration processes and
configuration management processes to facilitate quality control and more effective oversight.
Supplemental Guidance:
References:
APPENDIX F-CM
NIST Special Publication 800-128.
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Priority and Baseline Allocation:
P1
CM-10
LOW Not Selected
MOD CM-9
HIGH CM-9
SOFTWARE USAGE RESTRICTIONS
Control:
The organization:
a.
Uses software and associated documentation in accordance with contract agreements and
copyright laws;
b.
Tracks the use of software and associated documentation protected by quantity licenses to
control copying and distribution; and
c.
Controls and documents the use of peer-to-peer file sharing technology to ensure that this
capability is not used for the unauthorized distribution, display, performance, or reproduction
of copyrighted work.
Software license tracking can be accomplished by manual methods (e.g.,
simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on
organizational needs. Related controls: AC-17, CM-8, SC-7.
Supplemental Guidance:
Control Enhancements:
(1)
SOFTWARE USAGE RESTRICTIONS | OPEN SOURCE SOFTWARE
The organization establishes the following restrictions on the use of open source software:
[Assignment: organization-defined restrictions].
Open source software refers to software that is available in source code
form. Certain software rights normally reserved for copyright holders are routinely provided
under software license agreements that permit individuals to study, change, and improve the
software. From a security perspective, the major advantage of open source software is that it
provides organizations with the ability to examine the source code. However, there are also
various licensing issues associated with open source software including, for example, the
constraints on derivative use of such software.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P2
CM-11
LOW CM-10
MOD CM-10
HIGH CM-10
USER-INSTALLED SOFTWARE
Control:
a.
b.
c.
The organization:
Establishes [Assignment: organization-defined policies] governing the installation of software
by users;
Enforces software installation policies through [Assignment: organization-defined methods];
and
Monitors policy compliance at [Assignment: organization-defined frequency].
If provided the necessary privileges, users have the ability to install
software in organizational information systems. To maintain control over the types of software
installed, organizations identify permitted and prohibited actions regarding software installation.
Permitted software installations may include, for example, updates and security patches to existing
software and downloading applications from organization-approved “app stores.” Prohibited
software installations may include, for example, software with unknown or suspect pedigrees or
software that organizations consider potentially malicious. The policies organizations select
Supplemental Guidance:
APPENDIX F-CM
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governing user-installed software may be organization-developed or provided by some external
entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user
accounts), automated methods (e.g., configuration settings implemented on organizational
information systems), or both. Related controls: AC-3, CM-2, CM-3, CM-5, CM-6, CM-7, PL-4.
Control Enhancements:
(1)
USER-INSTALLED SOFTWARE | ALERTS FOR UNAUTHORIZED INSTALLATIONS
The information system alerts [Assignment: organization-defined personnel or roles] when the
unauthorized installation of software is detected.
Supplemental Guidance:
(2)
Related controls: CA-7, SI-4.
USER-INSTALLED SOFTWARE | PROHIBIT INSTALLATION WITHOUT PRIVILEGED STATUS
The information system prohibits user installation of software without explicit privileged status.
Privileged status can be obtained, for example, by serving in the role
of system administrator. Related control: AC-6.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
APPENDIX F-CM
LOW CM-11
MOD CM-11
HIGH CM-11
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FAMILY: CONTINGENCY PLANNING
CP-1
CONTINGENCY PLANNING POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A contingency planning policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the contingency planning policy and
associated contingency planning controls; and
Reviews and updates the current:
1.
Contingency planning policy [Assignment: organization-defined frequency]; and
2.
Contingency planning procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the CP family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
Federal Continuity Directive 1; NIST Special Publications 800-12, 800-34, 800-100.
Priority and Baseline Allocation:
LOW CP-1
P1
CP-2
MOD CP-1
HIGH CP-1
CONTINGENCY PLAN
Control:
a.
APPENDIX F-CP
The organization:
Develops a contingency plan for the information system that:
1.
Identifies essential missions and business functions and associated contingency
requirements;
2.
Provides recovery objectives, restoration priorities, and metrics;
3.
Addresses contingency roles, responsibilities, assigned individuals with contact
information;
4.
Addresses maintaining essential missions and business functions despite an information
system disruption, compromise, or failure;
5.
Addresses eventual, full information system restoration without deterioration of the
security safeguards originally planned and implemented; and
6.
Is reviewed and approved by [Assignment: organization-defined personnel or roles];
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b.
Distributes copies of the contingency plan to [Assignment: organization-defined key
contingency personnel (identified by name and/or by role) and organizational elements];
c.
Coordinates contingency planning activities with incident handling activities;
d.
Reviews the contingency plan for the information system [Assignment: organization-defined
frequency];
e.
Updates the contingency plan to address changes to the organization, information system, or
environment of operation and problems encountered during contingency plan implementation,
execution, or testing;
f.
Communicates contingency plan changes to [Assignment: organization-defined key
contingency personnel (identified by name and/or by role) and organizational elements]; and
g.
Protects the contingency plan from unauthorized disclosure and modification.
Contingency planning for information systems is part of an overall
organizational program for achieving continuity of operations for mission/business functions.
Contingency planning addresses both information system restoration and implementation of
alternative mission/business processes when systems are compromised. The effectiveness of
contingency planning is maximized by considering such planning throughout the phases of the
system development life cycle. Performing contingency planning on hardware, software, and
firmware development can be an effective means of achieving information system resiliency.
Contingency plans reflect the degree of restoration required for organizational information
systems since not all systems may need to fully recover to achieve the level of continuity of
operations desired. Information system recovery objectives reflect applicable laws, Executive
Orders, directives, policies, standards, regulations, and guidelines. In addition to information
system availability, contingency plans also address other security-related events resulting in a
reduction in mission and/or business effectiveness, such as malicious attacks compromising the
confidentiality or integrity of information systems. Actions addressed in contingency plans
include, for example, orderly/graceful degradation, information system shutdown, fallback to a
manual mode, alternate information flows, and operating in modes reserved for when systems are
under attack. By closely coordinating contingency planning with incident handling activities,
organizations can ensure that the necessary contingency planning activities are in place and
activated in the event of a security incident. Related controls: AC-14, CP-6, CP-7, CP-8, CP-9,
CP-10, IR-4, IR-8, MP-2, MP-4, MP-5, PM-8, PM-11.
Supplemental Guidance:
Control Enhancements:
(1)
CONTINGENCY PLAN | COORDINATE WITH RELATED PLANS
The organization coordinates contingency plan development with organizational elements
responsible for related plans.
Plans related to contingency plans for organizational information
systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity
of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber
Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency
Plans.
Supplemental Guidance:
(2)
CONTINGENCY PLAN | CAPACITY PLANNING
The organization conducts capacity planning so that necessary capacity for information
processing, telecommunications, and environmental support exists during contingency
operations.
Capacity planning is needed because different types of threats (e.g.,
natural disasters, targeted cyber attacks) can result in a reduction of the available processing,
telecommunications, and support services originally intended to support the organizational
missions/business functions. Organizations may need to anticipate degraded operations during
contingency operations and factor such degradation into capacity planning.
Supplemental Guidance:
(3)
CONTINGENCY PLAN | RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
The organization plans for the resumption of essential missions and business functions within
[Assignment: organization-defined time period] of contingency plan activation.
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Organizations may choose to carry out the contingency planning
activities in this control enhancement as part of organizational business continuity planning
including, for example, as part of business impact analyses. The time period for resumption of
essential missions/business functions may be dependent on the severity/extent of disruptions
to the information system and its supporting infrastructure. Related control: PE-12.
Supplemental Guidance:
(4)
CONTINGENCY PLAN | RESUME ALL MISSIONS / BUSINESS FUNCTIONS
The organization plans for the resumption of all missions and business functions within
[Assignment: organization-defined time period] of contingency plan activation.
Organizations may choose to carry out the contingency planning
activities in this control enhancement as part of organizational business continuity planning
including, for example, as part of business impact analyses. The time period for resumption of
all missions/business functions may be dependent on the severity/extent of disruptions to the
information system and its supporting infrastructure. Related control: PE-12.
Supplemental Guidance:
(5)
CONTINGENCY PLAN | CONTINUE ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
The organization plans for the continuance of essential missions and business functions with little
or no loss of operational continuity and sustains that continuity until full information system
restoration at primary processing and/or storage sites.
Organizations may choose to carry out the contingency planning
activities in this control enhancement as part of organizational business continuity planning
including, for example, as part of business impact analyses. Primary processing and/or storage
sites defined by organizations as part of contingency planning may change depending on the
circumstances associated with the contingency (e.g., backup sites may become primary sites).
Related control: PE-12.
Supplemental Guidance:
(6)
CONTINGENCY PLAN | ALTERNATE PROCESSING / STORAGE SITE
The organization plans for the transfer of essential missions and business functions to alternate
processing and/or storage sites with little or no loss of operational continuity and sustains that
continuity through information system restoration to primary processing and/or storage sites.
Organizations may choose to carry out the contingency planning
activities in this control enhancement as part of organizational business continuity planning
including, for example, as part of business impact analyses. Primary processing and/or storage
sites defined by organizations as part of contingency planning may change depending on the
circumstances associated with the contingency (e.g., backup sites may become primary sites).
Related control: PE-12.
Supplemental Guidance:
(7)
CONTINGENCY PLAN | COORDINATE WITH EXTERNAL SERVICE PROVIDERS
The organization coordinates its contingency plan with the contingency plans of external service
providers to ensure that contingency requirements can be satisfied.
When the capability of an organization to successfully carry out its
core missions/business functions is dependent on external service providers, developing a
timely and comprehensive contingency plan may become more challenging. In this situation,
organizations coordinate contingency planning activities with the external entities to ensure
that the individual plans reflect the overall contingency needs of the organization. Related
control: SA-9.
Supplemental Guidance:
(8)
CONTINGENCY PLAN | IDENTIFY CRITICAL ASSETS
The organization identifies critical information system assets supporting essential missions and
business functions.
Organizations may choose to carry out the contingency planning
activities in this control enhancement as part of organizational business continuity planning
including, for example, as part of business impact analyses. Organizations identify critical
information system assets so that additional safeguards and countermeasures can be employed
(above and beyond those safeguards and countermeasures routinely implemented) to help
ensure that organizational missions/business functions can continue to be conducted during
contingency operations. In addition, the identification of critical information assets facilitates
the prioritization of organizational resources. Critical information system assets include
technical and operational aspects. Technical aspects include, for example, information
Supplemental Guidance:
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technology services, information system components, information technology products, and
mechanisms. Operational aspects include, for example, procedures (manually executed
operations) and personnel (individuals operating technical safeguards and/or executing
manual procedures). Organizational program protection plans can provide assistance in
identifying critical assets. Related controls: SA-14, SA-15.
References:
Federal Continuity Directive 1; NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1
CP-3
LOW CP-2
MOD CP-2 (1) (3) (8)
HIGH CP-2 (1) (2) (3) (4) (5) (8)
CONTINGENCY TRAINING
Control: The organization provides contingency training to information system users consistent
with assigned roles and responsibilities:
a.
Within [Assignment: organization-defined time period] of assuming a contingency role or
responsibility;
b.
When required by information system changes; and
c.
[Assignment: organization-defined frequency] thereafter.
Contingency training provided by organizations is linked to the assigned
roles and responsibilities of organizational personnel to ensure that the appropriate content and
level of detail is included in such training. For example, regular users may only need to know
when and where to report for duty during contingency operations and if normal duties are affected;
system administrators may require additional training on how to set up information systems at
alternate processing and storage sites; and managers/senior leaders may receive more specific
training on how to conduct mission-essential functions in designated off-site locations and how to
establish communications with other governmental entities for purposes of coordination on
contingency-related activities. Training for contingency roles/responsibilities reflects the specific
continuity requirements in the contingency plan. Related controls: AT-2, AT-3, CP-2, IR-2.
Supplemental Guidance:
Control Enhancements:
(1)
CONTINGENCY TRAINING | SIMULATED EVENTS
The organization incorporates simulated events into contingency training to facilitate effective
response by personnel in crisis situations.
(2)
CONTINGENCY TRAINING | AUTOMATED TRAINING ENVIRONMENTS
The organization employs automated mechanisms to provide a more thorough and realistic
contingency training environment.
References:
Federal Continuity Directive 1; NIST Special Publications 800-16, 800-50.
Priority and Baseline Allocation:
P2
CP-4
LOW CP-3
MOD CP-3
HIGH CP-3 (1)
CONTINGENCY PLAN TESTING
Control:
The organization:
a.
Tests the contingency plan for the information system [Assignment: organization-defined
frequency] using [Assignment: organization-defined tests] to determine the effectiveness of
the plan and the organizational readiness to execute the plan;
b.
Reviews the contingency plan test results; and
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c.
Initiates corrective actions, if needed.
Methods for testing contingency plans to determine the effectiveness of the
plans and to identify potential weaknesses in the plans include, for example, walk-through and
tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises.
Organizations conduct testing based on the continuity requirements in contingency plans and
include a determination of the effects on organizational operations, assets, and individuals arising
due to contingency operations. Organizations have flexibility and discretion in the breadth, depth,
and timelines of corrective actions. Related controls: CP-2, CP-3, IR-3.
Supplemental Guidance:
Control Enhancements:
(1)
CONTINGENCY PLAN TESTING | COORDINATE WITH RELATED PLANS
The organization coordinates contingency plan testing with organizational elements responsible
for related plans.
Plans related to contingency plans for organizational information
systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity
of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber
Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not
require organizations to create organizational elements to handle related plans or to align such
elements with specific plans. It does require, however, that if such organizational elements are
responsible for related plans, organizations should coordinate with those elements. Related
controls: IR-8, PM-8.
Supplemental Guidance:
(2)
CONTINGENCY PLAN TESTING | ALTERNATE PROCESSING SITE
The organization tests the contingency plan at the alternate processing site:
(a)
To familiarize contingency personnel with the facility and available resources; and
(b) To evaluate the capabilities of the alternate processing site to support contingency
operations.
Supplemental Guidance:
(3)
Related control: CP-7.
CONTINGENCY PLAN TESTING | AUTOMATED TESTING
The organization employs automated mechanisms to more thoroughly and effectively test the
contingency plan.
Automated mechanisms provide more thorough and effective testing
of contingency plans, for example: (i) by providing more complete coverage of contingency
issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively
stressing the information system and supported missions.
Supplemental Guidance:
(4)
CONTINGENCY PLAN TESTING | FULL RECOVERY / RECONSTITUTION
The organization includes a full recovery and reconstitution of the information system to a known
state as part of contingency plan testing.
Supplemental Guidance:
References:
Related controls: CP-10, SC-24.
Federal Continuity Directive 1; FIPS Publication 199; NIST Special Publications 800-
34, 800-84.
Priority and Baseline Allocation:
P2
CP-5
LOW CP-4
MOD CP-4 (1)
HIGH CP-4 (1) (2)
CONTINGENCY PLAN UPDATE
[Withdrawn: Incorporated into CP-2].
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CP-6
ALTERNATE STORAGE SITE
Control:
The organization:
a.
Establishes an alternate storage site including necessary agreements to permit the storage and
retrieval of information system backup information; and
b.
Ensures that the alternate storage site provides information security safeguards equivalent to
that of the primary site.
Alternate storage sites are sites that are geographically distinct from
primary storage sites. An alternate storage site maintains duplicate copies of information and data
in the event that the primary storage site is not available. Items covered by alternate storage site
agreements include, for example, environmental conditions at alternate sites, access rules, physical
and environmental protection requirements, and coordination of delivery/retrieval of backup
media. Alternate storage sites reflect the requirements in contingency plans so that organizations
can maintain essential missions/business functions despite disruption, compromise, or failure in
organizational information systems. Related controls: CP-2, CP-7, CP-9, CP-10, MP-4.
Supplemental Guidance:
Control Enhancements:
(1)
ALTERNATE STORAGE SITE | SEPARATION FROM PRIMARY SITE
The organization identifies an alternate storage site that is separated from the primary storage site
to reduce susceptibility to the same threats.
Threats that affect alternate storage sites are typically defined in
organizational assessments of risk and include, for example, natural disasters, structural
failures, hostile cyber attacks, and errors of omission/commission. Organizations determine
what is considered a sufficient degree of separation between primary and alternate storage
sites based on the types of threats that are of concern. For one particular type of threat (i.e.,
hostile cyber attack), the degree of separation between sites is less relevant. Related control:
RA-3.
Supplemental Guidance:
(2)
ALTERNATE STORAGE SITE | RECOVERY TIME / POINT OBJECTIVES
The organization configures the alternate storage site to facilitate recovery operations in
accordance with recovery time and recovery point objectives.
(3)
ALTERNATE STORAGE SITE | ACCESSIBILITY
The organization identifies potential accessibility problems to the alternate storage site in the
event of an area-wide disruption or disaster and outlines explicit mitigation actions.
Area-wide disruptions refer to those types of disruptions that are broad
in geographic scope (e.g., hurricane, regional power outage) with such determinations made
by organizations based on organizational assessments of risk. Explicit mitigation actions
include, for example: (i) duplicating backup information at other alternate storage sites if
access problems occur at originally designated alternate sites; or (ii) planning for physical
access to retrieve backup information if electronic accessibility to the alternate site is
disrupted. Related control: RA-3.
Supplemental Guidance:
References:
NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1
CP-7
LOW Not Selected
MOD CP-6 (1) (3)
HIGH CP-6 (1) (2) (3)
ALTERNATE PROCESSING SITE
Control:
a.
APPENDIX F-CP
The organization:
Establishes an alternate processing site including necessary agreements to permit the transfer
and resumption of [Assignment: organization-defined information system operations] for
essential missions/business functions within [Assignment: organization-defined time period
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consistent with recovery time and recovery point objectives] when the primary processing
capabilities are unavailable;
b.
Ensures that equipment and supplies required to transfer and resume operations are available
at the alternate processing site or contracts are in place to support delivery to the site within
the organization-defined time period for transfer/resumption; and
c.
Ensures that the alternate processing site provides information security safeguards equivalent
to those of the primary site.
Alternate processing sites are sites that are geographically distinct from
primary processing sites. An alternate processing site provides processing capability in the event
that the primary processing site is not available. Items covered by alternate processing site
agreements include, for example, environmental conditions at alternate sites, access rules, physical
and environmental protection requirements, and coordination for the transfer/assignment of
personnel. Requirements are specifically allocated to alternate processing sites that reflect the
requirements in contingency plans to maintain essential missions/business functions despite
disruption, compromise, or failure in organizational information systems. Related controls: CP-2,
CP-6, CP-8, CP-9, CP-10, MA-6.
Supplemental Guidance:
Control Enhancements:
(1)
ALTERNATE PROCESSING SITE | SEPARATION FROM PRIMARY SITE
The organization identifies an alternate processing site that is separated from the primary
processing site to reduce susceptibility to the same threats.
Threats that affect alternate processing sites are typically defined in
organizational assessments of risk and include, for example, natural disasters, structural
failures, hostile cyber attacks, and errors of omission/commission. Organizations determine
what is considered a sufficient degree of separation between primary and alternate processing
sites based on the types of threats that are of concern. For one particular type of threat (i.e.,
hostile cyber attack), the degree of separation between sites is less relevant. Related control:
RA-3.
Supplemental Guidance:
(2)
ALTERNATE PROCESSING SITE | ACCESSIBILITY
The organization identifies potential accessibility problems to the alternate processing site in the
event of an area-wide disruption or disaster and outlines explicit mitigation actions.
Area-wide disruptions refer to those types of disruptions that are broad
in geographic scope (e.g., hurricane, regional power outage) with such determinations made
by organizations based on organizational assessments of risk. Related control: RA-3.
Supplemental Guidance:
(3)
ALTERNATE PROCESSING SITE | PRIORITY OF SERVICE
The organization develops alternate processing site agreements that contain priority-of-service
provisions in accordance with organizational availability requirements (including recovery time
objectives).
Priority-of-service agreements refer to negotiated agreements with
service providers that ensure that organizations receive priority treatment consistent with their
availability requirements and the availability of information resources at the alternate
processing site.
Supplemental Guidance:
(4)
ALTERNATE PROCESSING SITE | PREPARATION FOR USE
The organization prepares the alternate processing site so that the site is ready to be used as the
operational site supporting essential missions and business functions.
Site preparation includes, for example, establishing configuration
settings for information system components at the alternate processing site consistent with the
requirements for such settings at the primary site and ensuring that essential supplies and
other logistical considerations are in place. Related controls: CM-2, CM-6.
Supplemental Guidance:
(5)
ALTERNATE PROCESSING SITE | EQUIVALENT INFORMATION SECURITY SAFEGUARDS
[Withdrawn: Incorporated into CP-7].
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(6)
ALTERNATE PROCESSING SITE | INABILITY TO RETURN TO PRIMARY SITE
The organization plans and prepares for circumstances that preclude returning to the primary
processing site.
References:
NIST Special Publication 800-34.
Priority and Baseline Allocation:
LOW Not Selected
P1
CP-8
MOD CP-7 (1) (2) (3)
HIGH CP-7 (1) (2) (3) (4)
TELECOMMUNICATIONS SERVICES
Control: The organization establishes alternate telecommunications services including necessary
agreements to permit the resumption of [Assignment: organization-defined information system
operations] for essential missions and business functions within [Assignment: organizationdefined time period] when the primary telecommunications capabilities are unavailable at either
the primary or alternate processing or storage sites.
This control applies to telecommunications services (data and voice) for
primary and alternate processing and storage sites. Alternate telecommunications services reflect
the continuity requirements in contingency plans to maintain essential missions/business functions
despite the loss of primary telecommunications services. Organizations may specify different time
periods for primary/alternate sites. Alternate telecommunications services include, for example,
additional organizational or commercial ground-based circuits/lines or satellites in lieu of groundbased communications. Organizations consider factors such as availability, quality of service, and
access when entering into alternate telecommunications agreements. Related controls: CP-2, CP-6,
CP-7.
Supplemental Guidance:
Control Enhancements:
(1)
TELECOMMUNICATIONS SERVICES | PRIORITY OF SERVICE PROVISIONS
The organization:
(a)
Develops primary and alternate telecommunications service agreements that contain priorityof-service provisions in accordance with organizational availability requirements (including
recovery time objectives); and
(b) Requests Telecommunications Service Priority for all telecommunications services used for
national security emergency preparedness in the event that the primary and/or alternate
telecommunications services are provided by a common carrier.
Organizations consider the potential mission/business impact in
situations where telecommunications service providers are servicing other organizations with
similar priority-of-service provisions.
Supplemental Guidance:
(2)
TELECOMMUNICATIONS SERVICES | SINGLE POINTS OF FAILURE
The organization obtains alternate telecommunications services to reduce the likelihood of sharing
a single point of failure with primary telecommunications services.
(3)
TELECOMMUNICATIONS SERVICES | SEPARATION OF PRIMARY / ALTERNATE PROVIDERS
The organization obtains alternate telecommunications services from providers that are separated
from primary service providers to reduce susceptibility to the same threats.
Threats that affect telecommunications services are typically defined
in organizational assessments of risk and include, for example, natural disasters, structural
failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations
seek to reduce common susceptibilities by, for example, minimizing shared infrastructure
among telecommunications service providers and achieving sufficient geographic separation
between services. Organizations may consider using a single service provider in situations
where the service provider can provide alternate telecommunications services meeting the
separation needs addressed in the risk assessment.
Supplemental Guidance:
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(4)
TELECOMMUNICATIONS SERVICES | PROVIDER CONTINGENCY PLAN
The organization:
(a)
Requires primary and alternate telecommunications service providers to have contingency
plans;
(b) Reviews provider contingency plans to ensure that the plans meet organizational contingency
requirements; and
(c)
Obtains evidence of contingency testing/training by providers [Assignment: organizationdefined frequency].
Reviews of provider contingency plans consider the proprietary nature
of such plans. In some situations, a summary of provider contingency plans may be sufficient
evidence for organizations to satisfy the review requirement. Telecommunications service
providers may also participate in ongoing disaster recovery exercises in coordination with the
Department of Homeland Security, state, and local governments. Organizations may use these
types of activities to satisfy evidentiary requirements related to service provider contingency
plan reviews, testing, and training.
Supplemental Guidance:
(5)
TELECOMMUNICATIONS SERVICES | ALTERNATE TELECOMMUNICATION SERVICE TESTING
The organization tests alternate telecommunication services [Assignment: organization-defined
frequency].
NIST Special Publication 800-34; National Communications Systems Directive 3-10;
Web: http://www.dhs.gov/telecommunications-service-priority-tsp.
References:
Priority and Baseline Allocation:
P1
CP-9
LOW Not Selected
MOD CP-8 (1) (2)
HIGH CP-8 (1) (2) (3) (4)
INFORMATION SYSTEM BACKUP
Control:
The organization:
a.
Conducts backups of user-level information contained in the information system [Assignment:
organization-defined frequency consistent with recovery time and recovery point objectives];
b.
Conducts backups of system-level information contained in the information system
[Assignment: organization-defined frequency consistent with recovery time and recovery
point objectives];
c.
Conducts backups of information system documentation including security-related
documentation [Assignment: organization-defined frequency consistent with recovery time
and recovery point objectives]; and
d.
Protects the confidentiality, integrity, and availability of backup information at storage
locations.
System-level information includes, for example, system-state information,
operating system and application software, and licenses. User-level information includes any
information other than system-level information. Mechanisms employed by organizations to
protect the integrity of information system backups include, for example, digital signatures and
cryptographic hashes. Protection of system backup information while in transit is beyond the
scope of this control. Information system backups reflect the requirements in contingency plans as
well as other organizational requirements for backing up information. Related controls: CP-2, CP6, MP-4, MP-5, SC-13.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION SYSTEM BACKUP | TESTING FOR RELIABILITY / INTEGRITY
The organization tests backup information [Assignment: organization-defined frequency] to verify
media reliability and information integrity.
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Supplemental Guidance:
(2)
INFORMATION SYSTEM BACKUP | TEST RESTORATION USING SAMPLING
The organization uses a sample of backup information in the restoration of selected information
system functions as part of contingency plan testing.
Supplemental Guidance:
(3)
Related control: CP-4.
Related control: CP-4.
INFORMATION SYSTEM BACKUP | SEPARATE STORAGE FOR CRITICAL INFORMATION
The organization stores backup copies of [Assignment: organization-defined critical information
system software and other security-related information] in a separate facility or in a fire-rated
container that is not collocated with the operational system.
Critical information system software includes, for example, operating
systems, cryptographic key management systems, and intrusion detection/prevention systems.
Security-related information includes, for example, organizational inventories of hardware,
software, and firmware components. Alternate storage sites typically serve as separate storage
facilities for organizations. Related controls: CM-2, CM-8.
Supplemental Guidance:
(4)
INFORMATION SYSTEM BACKUP | PROTECTION FROM UNAUTHORIZED MODIFICATION
[Withdrawn: Incorporated into CP-9].
(5)
INFORMATION SYSTEM BACKUP | TRANSFER TO ALTERNATE STORAGE SITE
The organization transfers information system backup information to the alternate storage site
[Assignment: organization-defined time period and transfer rate consistent with the recovery time
and recovery point objectives].
Information system backup information can be transferred to alternate
storage sites either electronically or by physical shipment of storage media.
Supplemental Guidance:
(6)
INFORMATION SYSTEM BACKUP | REDUNDANT SECONDARY SYSTEM
The organization accomplishes information system backup by maintaining a redundant secondary
system that is not collocated with the primary system and that can be activated without loss of
information or disruption to operations.
Supplemental Guidance:
(7)
Related controls: CP-7, CP-10.
INFORMATION SYSTEM BACKUP | DUAL AUTHORIZATION
The organization enforces dual authorization for the deletion or destruction of [Assignment:
organization-defined backup information].
Dual authorization ensures that the deletion or destruction of backup
information cannot occur unless two qualified individuals carry out the task. Individuals
deleting/destroying backup information possess sufficient skills/expertise to determine if the
proposed deletion/destruction of backup information reflects organizational policies and
procedures. Dual authorization may also be known as two-person control. Related controls:
AC-3, MP-2.
Supplemental Guidance:
References:
NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1
CP-10
LOW CP-9
MOD CP-9 (1)
HIGH CP-9 (1) (2) (3) (5)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
Control: The organization provides for the recovery and reconstitution of the information system to
a known state after a disruption, compromise, or failure.
Recovery is executing information system contingency plan activities to
restore organizational missions/business functions. Reconstitution takes place following recovery
and includes activities for returning organizational information systems to fully operational states.
Recovery and reconstitution operations reflect mission and business priorities, recovery point/time
and reconstitution objectives, and established organizational metrics consistent with contingency
plan requirements. Reconstitution includes the deactivation of any interim information system
Supplemental Guidance:
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capabilities that may have been needed during recovery operations. Reconstitution also includes
assessments of fully restored information system capabilities, reestablishment of continuous
monitoring activities, potential information system reauthorizations, and activities to prepare the
systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities
employed by organizations can include both automated mechanisms and manual procedures.
Related controls: CA-2, CA-6, CA-7, CP-2, CP-6, CP-7, CP-9, SC-24.
Control Enhancements:
(1)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | CONTINGENCY PLAN TESTING
[Withdrawn: Incorporated into CP-4].
(2)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | TRANSACTION RECOVERY
The information system implements transaction recovery for systems that are transaction-based.
Transaction-based information systems include, for example, database
management systems and transaction processing systems. Mechanisms supporting transaction
recovery include, for example, transaction rollback and transaction journaling.
Supplemental Guidance:
(3)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | COMPENSATING SECURITY CONTROLS
[Withdrawn: Addressed through tailoring procedures].
(4)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | RESTORE WITHIN TIME PERIOD
The organization provides the capability to restore information system components within
[Assignment: organization-defined restoration time-periods] from configuration-controlled and
integrity-protected information representing a known, operational state for the components.
Restoration of information system components includes, for example,
reimaging which restores components to known, operational states. Related control: CM-2.
Supplemental Guidance:
(5)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | FAILOVER CAPABILITY
[Withdrawn: Incorporated into SI-13].
(6)
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | COMPONENT PROTECTION
The organization protects backup and restoration hardware, firmware, and software.
Protection of backup and restoration hardware, firmware, and software
components includes both physical and technical safeguards. Backup and restoration software
includes, for example, router tables, compilers, and other security-relevant system software.
Related controls: AC-3, AC-6, PE-3.
Supplemental Guidance:
References:
Federal Continuity Directive 1; NIST Special Publication 800-34.
Priority and Baseline Allocation:
P1
CP-11
LOW CP-10
MOD CP-10 (2)
HIGH CP-10 (2) (4)
ALTERNATE COMMUNICATIONS PROTOCOLS
Control: The information system provides the capability to employ [Assignment: organizationdefined alternative communications protocols] in support of maintaining continuity of operations.
Contingency plans and the associated training and testing for those plans,
incorporate an alternate communications protocol capability as part of increasing the resilience of
organizational information systems. Alternate communications protocols include, for example,
switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP
Version 6. Switching communications protocols may affect software applications and therefore,
the potential side effects of introducing alternate communications protocols are analyzed prior to
implementation.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX F-CP
None.
None.
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Priority and Baseline Allocation:
P0
CP-12
LOW Not Selected
MOD Not Selected
HIGH Not Selected
SAFE MODE
Control: The information system, when [Assignment: organization-defined conditions] are
detected, enters a safe mode of operation with [Assignment: organization-defined restrictions of
safe mode of operation].
For information systems supporting critical missions/business functions
including, for example, military operations and weapons systems, civilian space operations,
nuclear power plant operations, and air traffic control operations (especially real-time operational
environments), organizations may choose to identify certain conditions under which those systems
revert to a predefined safe mode of operation. The safe mode of operation, which can be activated
automatically or manually, restricts the types of activities or operations information systems could
execute when those conditions are encountered. Restriction includes, for example, allowing only
certain functions that could be carried out under limited power or with reduced communications
bandwidth.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
CP-13
LOW Not Selected
MOD Not Selected
HIGH Not Selected
ALTERNATIVE SECURITY MECHANISMS
Control: The organization employs [Assignment: organization-defined alternative or supplemental
security mechanisms] for satisfying [Assignment: organization-defined security functions] when
the primary means of implementing the security function is unavailable or compromised.
This control supports information system resiliency and contingency
planning/continuity of operations. To ensure mission/business continuity, organizations can
implement alternative or supplemental security mechanisms. These mechanisms may be less
effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure).
However, having the capability to readily employ these alternative/supplemental mechanisms
enhances overall mission/business continuity that might otherwise be adversely impacted if
organizational operations had to be curtailed until the primary means of implementing the
functions was restored. Given the cost and level of effort required to provide such alternative
capabilities, this control would typically be applied only to critical security capabilities provided
by information systems, system components, or information system services. For example, an
organization may issue to senior executives and system administrators one-time pads in case
multifactor tokens, the organization’s standard means for secure remote authentication, is
compromised. Related control: CP-2.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
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LOW Not Selected
MOD Not Selected
HIGH Not Selected
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FAMILY: IDENTIFICATION AND AUTHENTICATION
IA-1
IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
An identification and authentication policy that addresses purpose, scope, roles,
responsibilities, management commitment, coordination among organizational entities,
and compliance; and
2.
Procedures to facilitate the implementation of the identification and authentication policy
and associated identification and authentication controls; and
Reviews and updates the current:
1.
Identification and authentication policy [Assignment: organization-defined frequency];
and
2.
Identification and authentication procedures [Assignment: organization-defined
frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the IA family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
None.
FIPS Publication 201; NIST Special Publications 800-12, 800-63, 800-73, 800-76,
800-78, 800-100.
References:
Priority and Baseline Allocation:
P1
IA-2
LOW IA-1
MOD IA-1
HIGH IA-1
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
Control: The information system uniquely identifies and authenticates organizational users (or
processes acting on behalf of organizational users).
Organizational users include employees or individuals that organizations
deem to have equivalent status of employees (e.g., contractors, guest researchers). This control
applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC14; and (ii) accesses that occur through authorized use of group authenticators without individual
authentication. Organizations may require unique identification of individuals in group accounts
(e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations
employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor
authentication, or some combination thereof. Access to organizational information systems is
defined as either local access or network access. Local access is any access to organizational
information systems by users (or processes acting on behalf of users) where such access is
obtained by direct connections without the use of networks. Network access is access to
Supplemental Guidance:
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organizational information systems by users (or processes acting on behalf of users) where such
access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type
of network access that involves communication through external networks (e.g., the Internet).
Internal networks include local area networks and wide area networks. In addition, the use of
encrypted virtual private networks (VPNs) for network connections between organizationcontrolled endpoints and non-organization controlled endpoints may be treated as internal
networks from the perspective of protecting the confidentiality and integrity of information
traversing the network.
Organizations can satisfy the identification and authentication requirements in this control by
complying with the requirements in Homeland Security Presidential Directive 12 consistent with
the specific organizational implementation plans. Multifactor authentication requires the use of
two or more different factors to achieve authentication. The factors are defined as: (i) something
you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g.,
cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor
solutions that require devices separate from information systems gaining access include, for
example, hardware tokens providing time-based or challenge-response authenticators and smart
cards such as the U.S. Government Personal Identity Verification card and the DoD common
access card. In addition to identifying and authenticating users at the information system level
(i.e., at logon), organizations also employ identification and authentication mechanisms at the
application level, when necessary, to provide increased information security. Identification and
authentication requirements for other than organizational users are described in IA-8. Related
controls: AC-2, AC-3, AC-14, AC-17, AC-18, IA-4, IA-5, IA-8.
Control Enhancements:
(1)
IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO PRIVILEGED ACCOUNTS
The information system implements multifactor authentication for network access to privileged
accounts.
Supplemental Guidance:
(2)
Related control: AC-6.
IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS
The information system implements multifactor authentication for network access to nonprivileged accounts.
(3)
IDENTIFICATION AND AUTHENTICATION | LOCAL ACCESS TO PRIVILEGED ACCOUNTS
The information system implements multifactor authentication for local access to privileged
accounts.
Supplemental Guidance:
(4)
Related control: AC-6.
IDENTIFICATION AND AUTHENTICATION | LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS
The information system implements multifactor authentication for local access to non-privileged
accounts.
(5)
IDENTIFICATION AND AUTHENTICATION | GROUP AUTHENTICATION
The organization requires individuals to be authenticated with an individual authenticator when a
group authenticator is employed.
Requiring individuals to use individual authenticators as a second level
of authentication helps organizations to mitigate the risk of using group authenticators.
Supplemental Guidance:
(6)
IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO PRIVILEGED ACCOUNTS - SEPARATE DEVICE
The information system implements multifactor authentication for network access to privileged
accounts such that one of the factors is provided by a device separate from the system gaining
access and the device meets [Assignment: organization-defined strength of mechanism
requirements].
Supplemental Guidance:
(7)
Related control: AC-6.
IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - SEPARATE DEVICE
The information system implements multifactor authentication for network access to nonprivileged accounts such that one of the factors is provided by a device separate from the system
gaining access and the device meets [Assignment: organization-defined strength of mechanism
requirements].
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(8)
IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT
The information system implements replay-resistant authentication mechanisms for network
access to privileged accounts.
Authentication processes resist replay attacks if it is impractical to
achieve successful authentications by replaying previous authentication messages. Replayresistant techniques include, for example, protocols that use nonces or challenges such as
Transport Layer Security (TLS) and time synchronous or challenge-response one-time
authenticators.
Supplemental Guidance:
(9)
IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS - REPLAY RESISTANT
The information system implements replay-resistant authentication mechanisms for network
access to non-privileged accounts.
Authentication processes resist replay attacks if it is impractical to
achieve successful authentications by recording/replaying previous authentication messages.
Replay-resistant techniques include, for example, protocols that use nonces or challenges such
as Transport Layer Security (TLS) and time synchronous or challenge-response one-time
authenticators.
Supplemental Guidance:
(10) IDENTIFICATION AND AUTHENTICATION | SINGLE SIGN-ON
The information system provides a single sign-on capability for [Assignment: organization-defined
information system accounts and services].
Single sign-on enables users to log in once and gain access to multiple
information system resources. Organizations consider the operational efficiencies provided by
single sign-on capabilities with the increased risk from disclosures of single authenticators
providing access to multiple system resources.
Supplemental Guidance:
(11) IDENTIFICATION AND AUTHENTICATION | REMOTE ACCESS - SEPARATE DEVICE
The information system implements multifactor authentication for remote access to privileged and
non-privileged accounts such that one of the factors is provided by a device separate from the
system gaining access and the device meets [Assignment: organization-defined strength of
mechanism requirements].
For remote access to privileged/non-privileged accounts, the purpose
of requiring a device that is separate from the information system gaining access for one of
the factors during multifactor authentication is to reduce the likelihood of compromising
authentication credentials stored on the system. For example, adversaries deploying malicious
code on organizational information systems can potentially compromise such credentials
resident on the system and subsequently impersonate authorized users. Related control: AC-6.
Supplemental Guidance:
(12) IDENTIFICATION AND AUTHENTICATION | ACCEPTANCE OF PIV CREDENTIALS
The information system accepts and electronically verifies Personal Identity Verification (PIV)
credentials.
This control enhancement applies to organizations implementing
logical access control systems (LACS) and physical access control systems (PACS). Personal
Identity Verification (PIV) credentials are those credentials issued by federal agencies that
conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum
11-11 requires federal agencies to continue implementing the requirements specified in
HSPD-12 to enable agency-wide use of PIV credentials. Related controls: AU-2, PE-3, SA-4.
Supplemental Guidance:
(13) IDENTIFICATION AND AUTHENTICATION | OUT-OF-BAND AUTHENTICATION
The information system implements [Assignment: organization-defined out-of-band authentication]
under [Assignment: organization-defined conditions].
Out-of-band authentication (OOBA) refers to the use of two separate
communication paths to identify and authenticate users or devices to an information system.
The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and
generally is the path through which information flows. The second path (i.e., the out-of-band
path) is used to independently verify the authentication and/or requested action. For example,
a user authenticates via a notebook computer to a remote server to which the user desires
access, and requests some action of the server via that communication path. Subsequently, the
server contacts the user via the user’s cell phone to verify that the requested action originated
Supplemental Guidance:
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from the user. The user may either confirm the intended action to an individual on the
telephone or provide an authentication code via the telephone. This type of authentication can
be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The
conditions for activation can include, for example, suspicious activities, new threat indicators
or elevated threat levels, or the impact level or classification level of information in requested
transactions. Related controls: IA-10, IA-11, SC-37.
HSPD-12; OMB Memoranda 04-04, 06-16, 11-11; FIPS Publication 201; NIST
Special Publications 800-63, 800-73, 800-76, 800-78; FICAM Roadmap and Implementation
Guidance; Web: http://idmanagement.gov.
References:
Priority and Baseline Allocation:
LOW IA-2 (1) (12)
P1
IA-3
MOD IA-2 (1) (2) (3) (8) (11)
(12)
HIGH IA-2 (1) (2) (3) (4) (8) (9)
(11) (12)
DEVICE IDENTIFICATION AND AUTHENTICATION
The information system uniquely identifies and authenticates [Assignment: organizationdefined specific and/or types of devices] before establishing a [Selection (one or more): local;
remote; network] connection.
Control:
Supplemental Guidance:
Organizational devices requiring unique device-to-device identification and
authentication may be defined by type, by device, or by a combination of type/device. Information
systems typically use either shared known information (e.g., Media Access Control [MAC] or
Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or
organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol
[EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to
identify/authenticate devices on local and/or wide area networks. Organizations determine the
required strength of authentication mechanisms by the security categories of information systems.
Because of the challenges of applying this control on large scale, organizations are encouraged to
only apply the control to those limited number (and type) of devices that truly need to support this
capability. Related controls: AC-17, AC-18, AC-19, CA-3, IA-4, IA-5.
Control Enhancements:
(1)
DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION
The information system authenticates [Assignment: organization-defined specific devices and/or
types of devices] before establishing [Selection (one or more): local; remote; network] connection
using bidirectional authentication that is cryptographically based.
A local connection is any connection with a device communicating
without the use of a network. A network connection is any connection with a device that
communicates through a network (e.g., local area or wide area network, Internet). A remote
connection is any connection with a device communicating through an external network (e.g.,
the Internet). Bidirectional authentication provides stronger safeguards to validate the identity
of other devices for connections that are of greater risk (e.g., remote connections). Related
controls: SC-8, SC-12, SC-13.
Supplemental Guidance:
(2)
DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION
[Withdrawn: Incorporated into IA-3 (1)].
(3)
DEVICE IDENTIFICATION AND AUTHENTICATION | DYNAMIC ADDRESS ALLOCATION
The organization:
(a)
Standardizes dynamic address allocation lease information and the lease duration assigned to
devices in accordance with [Assignment: organization-defined lease information and lease
duration]; and
(b) Audits lease information when assigned to a device.
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DHCP-enabled clients obtaining leases for IP addresses from DHCP
servers, is a typical example of dynamic address allocation for devices. Related controls: AU2, AU-3, AU-6, AU-12.
Supplemental Guidance:
(4)
DEVICE IDENTIFICATION AND AUTHENTICATION | DEVICE ATTESTATION
The organization ensures that device identification and authentication based on attestation is
handled by [Assignment: organization-defined configuration management process].
Device attestation refers to the identification and authentication of a
device based on its configuration and known operating state. This might be determined via
some cryptographic hash of the device. If device attestation is the means of identification and
authentication, then it is important that patches and updates to the device are handled via a
configuration management process such that the those patches/updates are done securely and
at the same time do not disrupt the identification and authentication to other devices.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
IA-4
LOW Not Selected
MOD IA-3
HIGH IA-3
IDENTIFIER MANAGEMENT
Control:
The organization manages information system identifiers by:
a.
Receiving authorization from [Assignment: organization-defined personnel or roles] to assign
an individual, group, role, or device identifier;
b.
Selecting an identifier that identifies an individual, group, role, or device;
c.
Assigning the identifier to the intended individual, group, role, or device;
d.
Preventing reuse of identifiers for [Assignment: organization-defined time period]; and
e.
Disabling the identifier after [Assignment: organization-defined time period of inactivity].
Common device identifiers include, for example, media access control
(MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of
individual identifiers is not applicable to shared information system accounts (e.g., guest and
anonymous accounts). Typically, individual identifiers are the user names of the information
system accounts assigned to those individuals. In such instances, the account management
activities of AC-2 use account names provided by IA-4. This control also addresses individual
identifiers not necessarily associated with information system accounts (e.g., identifiers used in
physical security control databases accessed by badge reader systems for access to information
systems). Preventing reuse of identifiers implies preventing the assignment of previously used
individual, group, role, or device identifiers to different individuals, groups, roles, or devices.
Related controls: AC-2, IA-2, IA-3, IA-5, IA-8, SC-37.
Supplemental Guidance:
Control Enhancements:
(1)
IDENTIFIER MANAGEMENT | PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS
The organization prohibits the use of information system account identifiers that are the same as
public identifiers for individual electronic mail accounts.
Prohibiting the use of information systems account identifiers that are
the same as some public identifier such as the individual identifier section of an electronic
mail address, makes it more difficult for adversaries to guess user identifiers on organizational
information systems. Related control: AT-2.
Supplemental Guidance:
(2)
IDENTIFIER MANAGEMENT | SUPERVISOR AUTHORIZATION
The organization requires that the registration process to receive an individual identifier includes
supervisor authorization.
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(3)
IDENTIFIER MANAGEMENT | MULTIPLE FORMS OF CERTIFICATION
The organization requires multiple forms of certification of individual identification be presented to
the registration authority.
Requiring multiple forms of identification, such as documentary
evidence or a combination of documents and biometrics, reduces the likelihood of individuals
using fraudulent identification to establish an identity, or at least increases the work factor of
potential adversaries.
Supplemental Guidance:
(4)
IDENTIFIER MANAGEMENT | IDENTIFY USER STATUS
The organization manages individual identifiers by uniquely identifying each individual as
[Assignment: organization-defined characteristic identifying individual status].
Characteristics identifying the status of individuals include, for
example, contractors and foreign nationals. Identifying the status of individuals by specific
characteristics provides additional information about the people with whom organizational
personnel are communicating. For example, it might be useful for a government employee to
know that one of the individuals on an email message is a contractor. Related control: AT-2.
Supplemental Guidance:
(5)
IDENTIFIER MANAGEMENT | DYNAMIC MANAGEMENT
The information system dynamically manages identifiers.
In contrast to conventional approaches to identification which presume
static accounts for preregistered users, many distributed information systems including, for
example, service-oriented architectures, rely on establishing identifiers at run time for entities
that were previously unknown. In these situations, organizations anticipate and provision for
the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms
with appropriate authorities to validate identities and related credentials are essential. Related
control: AC-16.
Supplemental Guidance:
(6)
IDENTIFIER MANAGEMENT | CROSS-ORGANIZATION MANAGEMENT
The organization coordinates with [Assignment: organization-defined external organizations] for
cross-organization management of identifiers.
Cross-organization identifier management provides the capability for
organizations to appropriately identify individuals, groups, roles, or devices when conducting
cross-organization activities involving the processing, storage, or transmission of information.
Supplemental Guidance:
(7)
IDENTIFIER MANAGEMENT | IN-PERSON REGISTRATION
The organization requires that the registration process to receive an individual identifier be
conducted in person before a designated registration authority.
In-person registration reduces the likelihood of fraudulent identifiers
being issued because it requires the physical presence of individuals and actual face-to-face
interactions with designated registration authorities.
Supplemental Guidance:
References:
FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78.
Priority and Baseline Allocation:
P1
IA-5
LOW IA-4
MOD IA-4
HIGH IA-4
AUTHENTICATOR MANAGEMENT
Control:
The organization manages information system authenticators by:
a.
Verifying, as part of the initial authenticator distribution, the identity of the individual, group,
role, or device receiving the authenticator;
b.
Establishing initial authenticator content for authenticators defined by the organization;
c.
Ensuring that authenticators have sufficient strength of mechanism for their intended use;
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d.
Establishing and implementing administrative procedures for initial authenticator distribution,
for lost/compromised or damaged authenticators, and for revoking authenticators;
e.
Changing default content of authenticators prior to information system installation;
f.
Establishing minimum and maximum lifetime restrictions and reuse conditions for
authenticators;
g.
Changing/refreshing authenticators [Assignment: organization-defined time period by
authenticator type];
h.
Protecting authenticator content from unauthorized disclosure and modification;
i.
Requiring individuals to take, and having devices implement, specific security safeguards to
protect authenticators; and
j.
Changing authenticators for group/role accounts when membership to those accounts changes.
Individual authenticators include, for example, passwords, tokens,
biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g.,
the initial password) as opposed to requirements about authenticator content (e.g., minimum
password length). In many cases, developers ship information system components with factory
default authentication credentials to allow for initial installation and configuration. Default
authentication credentials are often well known, easily discoverable, and present a significant
security risk. The requirement to protect individual authenticators may be implemented via control
PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and
SC-28 for authenticators stored within organizational information systems (e.g., passwords stored
in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with
administrator privileges). Information systems support individual authenticator management by
organization-defined settings and restrictions for various authenticator characteristics including,
for example, minimum password length, password composition, validation time window for time
synchronous one-time tokens, and number of allowed rejections during the verification stage of
biometric authentication. Specific actions that can be taken to safeguard authenticators include, for
example, maintaining possession of individual authenticators, not loaning or sharing individual
authenticators with others, and reporting lost, stolen, or compromised authenticators immediately.
Authenticator management includes issuing and revoking, when no longer needed, authenticators
for temporary access such as that required for remote maintenance. Device authenticators include,
for example, certificates and passwords. Related controls: AC-2, AC-3, AC-6, CM-6, IA-2, IA-4,
IA-8, PL-4, PS-5, PS-6, SC-12, SC-13, SC-17, SC-28.
Supplemental Guidance:
Control Enhancements:
(1)
AUTHENTICATOR MANAGEMENT | PASSWORD-BASED AUTHENTICATION
The information system, for password-based authentication:
(a)
Enforces minimum password complexity of [Assignment: organization-defined requirements
for case sensitivity, number of characters, mix of upper-case letters, lower-case letters,
numbers, and special characters, including minimum requirements for each type];
(b) Enforces at least the following number of changed characters when new passwords are
created: [Assignment: organization-defined number];
(c)
Stores and transmits only cryptographically-protected passwords;
(d) Enforces password minimum and maximum lifetime restrictions of [Assignment: organizationdefined numbers for lifetime minimum, lifetime maximum];
(e)
Prohibits password reuse for [Assignment: organization-defined number] generations; and
(f)
Allows the use of a temporary password for system logons with an immediate change to a
permanent password.
This control enhancement applies to single-factor authentication of
individuals using passwords as individual or group authenticators, and in a similar manner,
when passwords are part of multifactor authenticators. This control enhancement does not
apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity
Supplemental Guidance:
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Verification cards). The implementation of such password mechanisms may not meet all of
the requirements in the enhancement. Cryptographically-protected passwords include, for
example, encrypted versions of passwords and one-way cryptographic hashes of passwords.
The number of changed characters refers to the number of changes required with respect to
the total number of positions in the current password. Password lifetime restrictions do not
apply to temporary passwords. To mitigate certain brute force attacks against passwords,
organizations may also consider salting passwords. Related control: IA-6.
(2)
AUTHENTICATOR MANAGEMENT | PKI-BASED AUTHENTICATION
The information system, for PKI-based authentication:
(a)
Validates certifications by constructing and verifying a certification path to an accepted trust
anchor including checking certificate status information;
(b) Enforces authorized access to the corresponding private key;
(c)
Maps the authenticated identity to the account of the individual or group; and
(d) Implements a local cache of revocation data to support path discovery and validation in case
of inability to access revocation information via the network.
Status information for certification paths includes, for example,
certificate revocation lists or certificate status protocol responses. For PIV cards, validation of
certifications involves the construction and verification of a certification path to the Common
Policy Root trust anchor including certificate policy processing. Related control: IA-6.
Supplemental Guidance:
(3)
AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION
The organization requires that the registration process to receive [Assignment: organizationdefined types of and/or specific authenticators] be conducted [Selection: in person; by a trusted
third party] before [Assignment: organization-defined registration authority] with authorization by
[Assignment: organization-defined personnel or roles].
(4)
AUTHENTICATOR MANAGEMENT | AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION
The organization employs automated tools to determine if password authenticators are sufficiently
strong to satisfy [Assignment: organization-defined requirements].
This control enhancement focuses on the creation of strong passwords
and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of
which is carried out by organizational information systems in IA-5 (1). Related controls: CA2, CA-7, RA-5.
Supplemental Guidance:
(5)
AUTHENTICATOR MANAGEMENT | CHANGE AUTHENTICATORS PRIOR TO DELIVERY
The organization requires developers/installers of information system components to provide
unique authenticators or change default authenticators prior to delivery/installation.
This control enhancement extends the requirement for organizations to
change default authenticators upon information system installation, by requiring developers
and/or installers to provide unique authenticators or change default authenticators for system
components prior to delivery and/or installation. However, it typically does not apply to the
developers of commercial off-the-shelve information technology products. Requirements for
unique authenticators can be included in acquisition documents prepared by organizations
when procuring information systems or system components.
Supplemental Guidance:
(6)
AUTHENTICATOR MANAGEMENT | PROTECTION OF AUTHENTICATORS
The organization protects authenticators commensurate with the security category of the
information to which use of the authenticator permits access.
For information systems containing multiple security categories of
information without reliable physical or logical separation between categories, authenticators
used to grant access to the systems are protected commensurate with the highest security
category of information on the systems.
Supplemental Guidance:
(7)
AUTHENTICATOR MANAGEMENT | NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS
The organization ensures that unencrypted static authenticators are not embedded in applications
or access scripts or stored on function keys.
Organizations exercise caution in determining whether embedded or
stored authenticators are in encrypted or unencrypted form. If authenticators are used in the
Supplemental Guidance:
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manner stored, then those representations are considered unencrypted authenticators. This is
irrespective of whether that representation is perhaps an encrypted version of something else
(e.g., a password).
(8)
AUTHENTICATOR MANAGEMENT | MULTIPLE INFORMATION SYSTEM ACCOUNTS
The organization implements [Assignment: organization-defined security safeguards] to manage
the risk of compromise due to individuals having accounts on multiple information systems.
When individuals have accounts on multiple information systems,
there is the risk that the compromise of one account may lead to the compromise of other
accounts if individuals use the same authenticators. Possible alternatives include, for example:
(i) having different authenticators on all systems; (ii) employing some form of single sign-on
mechanism; or (iii) including some form of one-time passwords on all systems.
Supplemental Guidance:
(9)
AUTHENTICATOR MANAGEMENT | CROSS-ORGANIZATION CREDENTIAL MANAGEMENT
The organization coordinates with [Assignment: organization-defined external organizations] for
cross-organization management of credentials.
Cross-organization management of credentials provides the capability
for organizations to appropriately authenticate individuals, groups, roles, or devices when
conducting cross-organization activities involving the processing, storage, or transmission of
information.
Supplemental Guidance:
(10) AUTHENTICATOR MANAGEMENT | DYNAMIC CREDENTIAL ASSOCIATION
The information system dynamically provisions identities.
Authentication requires some form of binding between an identity and
the authenticator used to confirm the identity. In conventional approaches, this binding is
established by pre-provisioning both the identity and the authenticator to the information
system. For example, the binding between a username (i.e., identity) and a password (i.e.,
authenticator) is accomplished by provisioning the identity and authenticator as a pair in the
information system. New authentication techniques allow the binding between the identity
and the authenticator to be implemented outside an information system. For example, with
smartcard credentials, the identity and the authenticator are bound together on the card. Using
these credentials, information systems can authenticate identities that have not been preprovisioned, dynamically provisioning the identity after authentication. In these situations,
organizations can anticipate the dynamic provisioning of identities. Preestablished trust
relationships and mechanisms with appropriate authorities to validate identities and related
credentials are essential.
Supplemental Guidance:
(11) AUTHENTICATOR MANAGEMENT | HARDWARE TOKEN-BASED AUTHENTICATION
The information system, for hardware token-based authentication, employs mechanisms that
satisfy [Assignment: organization-defined token quality requirements].
Hardware token-based authentication typically refers to the use of
PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card.
Organizations define specific requirements for tokens, such as working with a particular PKI.
Supplemental Guidance:
(12) AUTHENTICATOR MANAGEMENT | BIOMETRIC-BASED AUTHENTICATION
The information system, for biometric-based authentication, employs mechanisms that satisfy
[Assignment: organization-defined biometric quality requirements].
Unlike password-based authentication which provides exact matches
of user-input passwords to stored passwords, biometric authentication does not provide such
exact matches. Depending upon the type of biometric and the type of collection mechanism,
there is likely to be some divergence from the presented biometric and stored biometric which
serves as the basis of comparison. There will likely be both false positives and false negatives
when making such comparisons. The rate at which the false accept and false reject rates are
equal is known as the crossover rate. Biometric quality requirements include, for example,
acceptable crossover rates, as that essentially reflects the accuracy of the biometric.
Supplemental Guidance:
(13) AUTHENTICATOR MANAGEMENT | EXPIRATION OF CACHED AUTHENTICATORS
The information system prohibits the use of cached authenticators after [Assignment:
organization-defined time period].
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(14) AUTHENTICATOR MANAGEMENT | MANAGING CONTENT OF PKI TRUST STORES
The organization, for PKI-based authentication, employs a deliberate organization-wide
methodology for managing the content of PKI trust stores installed across all platforms including
networks, operating systems, browsers, and applications.
(15) AUTHENTICATOR MANAGEMENT | FICAM-APPROVED PRODUCTS AND SERVICES
The organization uses only FICAM-approved path discovery and validation products and services.
Federal Identity, Credential, and Access Management (FICAM)approved path discovery and validation products and services are those products and services
that have been approved through the FICAM conformance program, where applicable.
Supplemental Guidance:
OMB Memoranda 04-04, 11-11; FIPS Publication 201; NIST Special Publications
800-73, 800-63, 800-76, 800-78; FICAM Roadmap and Implementation Guidance;
Web: http://idmanagement.gov.
References:
Priority and Baseline Allocation:
P1
IA-6
LOW IA-5 (1) (11)
MOD IA-5 (1) (2) (3) (11)
HIGH IA-5 (1) (2) (3) (11)
AUTHENTICATOR FEEDBACK
The information system obscures feedback of authentication information during the
authentication process to protect the information from possible exploitation/use by unauthorized
individuals.
Control:
The feedback from information systems does not provide information that
would allow unauthorized individuals to compromise authentication mechanisms. For some types
of information systems or system components, for example, desktops/notebooks with relatively
large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types
of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be
less significant, and may need to be balanced against the increased likelihood of typographic input
errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is
selected accordingly. Obscuring the feedback of authentication information includes, for example,
displaying asterisks when users type passwords into input devices, or displaying feedback for a
very limited time before fully obscuring it. Related control: PE-18.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P2
IA-7
LOW IA-6
MOD IA-6
HIGH IA-6
CRYPTOGRAPHIC MODULE AUTHENTICATION
Control: The information system implements mechanisms for authentication to a cryptographic
module that meet the requirements of applicable federal laws, Executive Orders, directives,
policies, regulations, standards, and guidance for such authentication.
Authentication mechanisms may be required within a cryptographic
module to authenticate an operator accessing the module and to verify that the operator is
authorized to assume the requested role and perform services within that role. Related controls:
SC-12, SC-13.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX F-IA
None.
FIPS Publication 140; Web: http://csrc.nist.gov/groups/STM/cmvp/index.html.
PAGE F-99
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Priority and Baseline Allocation:
P1
IA-8
LOW IA-7
MOD IA-7
HIGH IA-7
IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
Control: The information system uniquely identifies and authenticates non-organizational users (or
processes acting on behalf of non-organizational users).
Non-organizational users include information system users other than
organizational users explicitly covered by IA-2. These individuals are uniquely identified and
authenticated for accesses other than those accesses explicitly identified and documented in AC14. In accordance with the E-Authentication E-Government initiative, authentication of nonorganizational users accessing federal information systems may be required to protect federal,
proprietary, or privacy-related information (with exceptions noted for national security systems).
Organizations use risk assessments to determine authentication needs and consider scalability,
practicality, and security in balancing the need to ensure ease of use for access to federal
information and information systems with the need to protect and adequately mitigate risk. IA-2
addresses identification and authentication requirements for access to information systems by
organizational users. Related controls: AC-2, AC-14, AC-17, AC-18, IA-2, IA-4, IA-5, MA-4,
RA-3, SA-12, SC-8.
Supplemental Guidance:
Control Enhancements:
(1)
IDENTIFICATION AND AUTHENTICATION | ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
The information system accepts and electronically verifies Personal Identity Verification (PIV)
credentials from other federal agencies.
This control enhancement applies to logical access control systems
(LACS) and physical access control systems (PACS). Personal Identity Verification (PIV)
credentials are those credentials issued by federal agencies that conform to FIPS Publication
201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies
to continue implementing the requirements specified in HSPD-12 to enable agency-wide use
of PIV credentials. Related controls: AU-2, PE-3, SA-4.
Supplemental Guidance:
(2)
IDENTIFICATION AND AUTHENTICATION | ACCEPTANCE OF THIRD-PARTY CREDENTIALS
The information system accepts only FICAM-approved third-party credentials.
This control enhancement typically applies to organizational
information systems that are accessible to the general public, for example, public-facing
websites. Third-party credentials are those credentials issued by nonfederal government
entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust
Framework Solutions initiative. Approved third-party credentials meet or exceed the set of
minimum federal government-wide technical, security, privacy, and organizational maturity
requirements. This allows federal government relying parties to trust such credentials at their
approved assurance levels. Related control: AU-2.
Supplemental Guidance:
(3)
IDENTIFICATION AND AUTHENTICATION | USE OF FICAM-APPROVED PRODUCTS
The organization employs only FICAM-approved information system components in [Assignment:
organization-defined information systems] to accept third-party credentials.
This control enhancement typically applies to information systems that
are accessible to the general public, for example, public-facing websites. FICAM-approved
information system components include, for example, information technology products and
software libraries that have been approved by the Federal Identity, Credential, and Access
Management conformance program. Related control: SA-4.
Supplemental Guidance:
(4)
IDENTIFICATION AND AUTHENTICATION | USE OF FICAM-ISSUED PROFILES
The information system conforms to FICAM-issued profiles.
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This control enhancement addresses open identity management
standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g.,
available in commercial information technology products), and interoperable as documented,
the United States Government assesses and scopes identity management standards and
technology implementations against applicable federal legislation, directives, policies, and
requirements. The result is FICAM-issued implementation profiles of approved protocols
(e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other
protocols such as the FICAM Backend Attribute Exchange). Related control: SA-4.
Supplemental Guidance:
(5)
IDENTIFICATION AND AUTHENTICATION | ACCEPTANCE OF PIV-I CREDENTIALS
The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I)
credentials.
This control enhancement: (i) applies to logical and physical access
control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to
interoperate with United States Government Personal Identity Verification (PIV) information
systems and that can be trusted by federal government-relying parties. The X.509 certificate
policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements.
The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and
NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special
Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose
PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider
is cross-certified (directly or through another PKI bridge) with the FBCA with policies that
have been mapped and approved as meeting the requirements of the PIV-I policies defined in
the FBCA certificate policy. Related control: AU-2.
Supplemental Guidance:
OMB Memoranda 04-04, 11-11, 10-06-2011; FICAM Roadmap and Implementation
Guidance; FIPS Publication 201; NIST Special Publications 800-63, 800-116; National Strategy
for Trusted Identities in Cyberspace; Web: http://idmanagement.gov.
References:
Priority and Baseline Allocation:
P1
IA-9
LOW IA-8 (1) (2) (3) (4)
MOD IA-8 (1) (2) (3) (4)
HIGH IA-8 (1) (2) (3) (4)
SERVICE IDENTIFICATION AND AUTHENTICATION
The organization identifies and authenticates [Assignment: organization-defined
information system services] using [Assignment: organization-defined security safeguards].
Control:
This control supports service-oriented architectures and other distributed
architectural approaches requiring the identification and authentication of information system
services. In such architectures, external services often appear dynamically. Therefore, information
systems should be able to determine in a dynamic manner, if external providers and associated
services are authentic. Safeguards implemented by organizational information systems to validate
provider and service authenticity include, for example, information or code signing, provenance
graphs, and/or electronic signatures indicating or including the sources of services.
Supplemental Guidance:
Control Enhancements:
(1)
SERVICE IDENTIFICATION AND AUTHENTICATION | INFORMATION EXCHANGE
The organization ensures that service providers receive, validate, and transmit identification and
authentication information.
(2)
SERVICE IDENTIFICATION AND AUTHENTICATION | TRANSMISSION OF DECISIONS
The organization ensures that identification and authentication decisions are transmitted between
[Assignment: organization-defined services] consistent with organizational policies.
For distributed architectures (e.g., service-oriented architectures), the
decisions regarding the validation of identification and authentication claims may be made by
services separate from the services acting on those decisions. In such situations, it is necessary
Supplemental Guidance:
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________________________________________________________________________________________________
to provide the identification and authentication decisions (as opposed to the actual identifiers
and authenticators) to the services that need to act on those decisions. Related control: SC-8.
References:
None.
Priority and Baseline Allocation:
P0
IA-10
LOW Not Selected
MOD Not Selected
HIGH Not Selected
ADAPTIVE IDENTIFICATION AND AUTHENTICATION
The organization requires that individuals accessing the information system employ
[Assignment: organization-defined supplemental authentication techniques or mechanisms] under
specific [Assignment: organization-defined circumstances or situations].
Control:
Adversaries may compromise individual authentication mechanisms and
subsequently attempt to impersonate legitimate users. This situation can potentially occur with any
authentication mechanisms employed by organizations. To address this threat, organizations may
employ specific techniques/mechanisms and establish protocols to assess suspicious behavior
(e.g., individuals accessing information that they do not typically access as part of their normal
duties, roles, or responsibilities, accessing greater quantities of information than the individuals
would routinely access, or attempting to access information from suspicious network addresses).
In these situations when certain preestablished conditions or triggers occur, organizations can
require selected individuals to provide additional authentication information. Another potential use
for adaptive identification and authentication is to increase the strength of mechanism based on the
number and/or types of records being accessed. Related controls: AU-6, SI-4.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
IA-11
LOW Not Selected
MOD Not Selected
HIGH Not Selected
RE-AUTHENTICATION
The organization requires users and devices to re-authenticate when [Assignment:
organization-defined circumstances or situations requiring re-authentication].
Control:
In addition to the re-authentication requirements associated with session
locks, organizations may require re-authentication of individuals and/or devices in other situations
including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security
categories of information systems change; (iv), when the execution of privileged functions occurs;
(v) after a fixed period of time; or (vi) periodically. Related control: AC-11.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
APPENDIX F-IA
LOW Not Selected
MOD Not Selected
HIGH Not Selected
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FAMILY: INCIDENT RESPONSE
IR-1
INCIDENT RESPONSE POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
An incident response policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the incident response policy and associated
incident response controls; and
Reviews and updates the current:
1.
Incident response policy [Assignment: organization-defined frequency]; and
2.
Incident response procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the IR family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-61, 800-83, 800-100.
Priority and Baseline Allocation:
P1
IR-2
LOW IR-1
MOD IR-1
HIGH IR-1
INCIDENT RESPONSE TRAINING
Control: The organization provides incident response training to information system users
consistent with assigned roles and responsibilities:
a.
Within [Assignment: organization-defined time period] of assuming an incident response role
or responsibility;
b.
When required by information system changes; and
c.
[Assignment: organization-defined frequency] thereafter.
Incident response training provided by organizations is linked to the
assigned roles and responsibilities of organizational personnel to ensure the appropriate content
and level of detail is included in such training. For example, regular users may only need to know
who to call or how to recognize an incident on the information system; system administrators may
require additional training on how to handle/remediate incidents; and incident responders may
receive more specific training on forensics, reporting, system recovery, and restoration. Incident
response training includes user training in the identification and reporting of suspicious activities,
both from external and internal sources. Related controls: AT-3, CP-3, IR-8.
Supplemental Guidance:
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Control Enhancements:
(1)
INCIDENT RESPONSE TRAINING | SIMULATED EVENTS
The organization incorporates simulated events into incident response training to facilitate
effective response by personnel in crisis situations.
(2)
INCIDENT RESPONSE TRAINING | AUTOMATED TRAINING ENVIRONMENTS
The organization employs automated mechanisms to provide a more thorough and realistic
incident response training environment.
References:
NIST Special Publications 800-16, 800-50.
Priority and Baseline Allocation:
P2
IR-3
LOW IR-2
MOD IR-2
HIGH IR-2 (1) (2)
INCIDENT RESPONSE TESTING
Control: The organization tests the incident response capability for the information system
[Assignment: organization-defined frequency] using [Assignment: organization-defined tests] to
determine the incident response effectiveness and documents the results.
Organizations test incident response capabilities to determine the overall
effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident
response testing includes, for example, the use of checklists, walk-through or tabletop exercises,
simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can
also include a determination of the effects on organizational operations (e.g., reduction in mission
capabilities), organizational assets, and individuals due to incident response. Related controls: CP4, IR-8.
Supplemental Guidance:
Control Enhancements:
(1)
INCIDENT RESPONSE TESTING | AUTOMATED TESTING
The organization employs automated mechanisms to more thoroughly and effectively test the
incident response capability.
Organizations use automated mechanisms to more thoroughly and
effectively test incident response capabilities, for example: (i) by providing more complete
coverage of incident response issues; (ii) by selecting more realistic test scenarios and test
environments; and (iii) by stressing the response capability. Related control: AT-2.
Supplemental Guidance:
(2)
INCIDENT RESPONSE TESTING | COORDINATION WITH RELATED PLANS
The organization coordinates incident response testing with organizational elements responsible
for related plans.
Organizational plans related to incident response testing include, for
example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity
of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and
Occupant Emergency Plans.
Supplemental Guidance:
References:
NIST Special Publications 800-84, 800-115.
Priority and Baseline Allocation:
P2
APPENDIX F-IR
LOW Not Selected
MOD IR-3 (2)
HIGH IR-3 (2)
PAGE F-104
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IR-4
INCIDENT HANDLING
Control:
The organization:
a.
Implements an incident handling capability for security incidents that includes preparation,
detection and analysis, containment, eradication, and recovery;
b.
Coordinates incident handling activities with contingency planning activities; and
c.
Incorporates lessons learned from ongoing incident handling activities into incident response
procedures, training, and testing, and implements the resulting changes accordingly.
Organizations recognize that incident response capability is dependent on
the capabilities of organizational information systems and the mission/business processes being
supported by those systems. Therefore, organizations consider incident response as part of the
definition, design, and development of mission/business processes and information systems.
Incident-related information can be obtained from a variety of sources including, for example,
audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and
reported supply chain events. Effective incident handling capability includes coordination among
many organizational entities including, for example, mission/business owners, information system
owners, authorizing officials, human resources offices, physical and personnel security offices,
legal departments, operations personnel, procurement offices, and the risk executive (function).
Related controls: AU-6, CM-6, CP-2, CP-4, IR-2, IR-3, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
INCIDENT HANDLING | AUTOMATED INCIDENT HANDLING PROCESSES
The organization employs automated mechanisms to support the incident handling process.
Automated mechanisms supporting incident handling processes
include, for example, online incident management systems.
Supplemental Guidance:
(2)
INCIDENT HANDLING | DYNAMIC RECONFIGURATION
The organization includes dynamic reconfiguration of [Assignment: organization-defined
information system components] as part of the incident response capability.
Dynamic reconfiguration includes, for example, changes to router
rules, access control lists, intrusion detection/prevention system parameters, and filter rules
for firewalls and gateways. Organizations perform dynamic reconfiguration of information
systems, for example, to stop attacks, to misdirect attackers, and to isolate components of
systems, thus limiting the extent of the damage from breaches or compromises. Organizations
include time frames for achieving the reconfiguration of information systems in the definition
of the reconfiguration capability, considering the potential need for rapid response in order to
effectively address sophisticated cyber threats. Related controls: AC-2, AC-4, AC-16, CM-2,
CM-3, CM-4.
Supplemental Guidance:
(3)
INCIDENT HANDLING | CONTINUITY OF OPERATIONS
The organization identifies [Assignment: organization-defined classes of incidents] and
[Assignment: organization-defined actions to take in response to classes of incidents] to ensure
continuation of organizational missions and business functions.
Classes of incidents include, for example, malfunctions due to
design/implementation errors and omissions, targeted malicious attacks, and untargeted
malicious attacks. Appropriate incident response actions include, for example, graceful
degradation, information system shutdown, fall back to manual mode/alternative technology
whereby the system operates differently, employing deceptive measures, alternate information
flows, or operating in a mode that is reserved solely for when systems are under attack.
Supplemental Guidance:
(4)
INCIDENT HANDLING | INFORMATION CORRELATION
The organization correlates incident information and individual incident responses to achieve an
organization-wide perspective on incident awareness and response.
Sometimes the nature of a threat event, for example, a hostile cyber
attack, is such that it can only be observed by bringing together information from different
sources including various reports and reporting procedures established by organizations.
Supplemental Guidance:
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(5)
INCIDENT HANDLING | AUTOMATIC DISABLING OF INFORMATION SYSTEM
The organization implements a configurable capability to automatically disable the information
system if [Assignment: organization-defined security violations] are detected.
(6)
INCIDENT HANDLING | INSIDER THREATS - SPECIFIC CAPABILITIES
The organization implements incident handling capability for insider threats.
While many organizations address insider threat incidents as an
inherent part of their organizational incident response capability, this control enhancement
provides additional emphasis on this type of threat and the need for specific incident handling
capabilities (as defined within organizations) to provide appropriate and timely responses.
Supplemental Guidance:
(7)
INCIDENT HANDLING | INSIDER THREATS - INTRA-ORGANIZATION COORDINATION
The organization coordinates incident handling capability for insider threats across [Assignment:
organization-defined components or elements of the organization].
Incident handling for insider threat incidents (including preparation,
detection and analysis, containment, eradication, and recovery) requires close coordination
among a variety of organizational components or elements to be effective. These components
or elements include, for example, mission/business owners, information system owners,
human resources offices, procurement offices, personnel/physical security offices, operations
personnel, and risk executive (function). In addition, organizations may require external
support from federal, state, and local law enforcement agencies.
Supplemental Guidance:
(8)
INCIDENT HANDLING | CORRELATION WITH EXTERNAL ORGANIZATIONS
The organization coordinates with [Assignment: organization-defined external organizations] to
correlate and share [Assignment: organization-defined incident information] to achieve a crossorganization perspective on incident awareness and more effective incident responses.
The coordination of incident information with external organizations
including, for example, mission/business partners, military/coalition partners, customers, and
multitiered developers, can provide significant benefits. Cross-organizational coordination
with respect to incident handling can serve as an important risk management capability. This
capability allows organizations to leverage critical information from a variety of sources to
effectively respond to information security-related incidents potentially affecting the
organization’s operations, assets, and individuals.
Supplemental Guidance:
(9)
INCIDENT HANDLING | DYNAMIC RESPONSE CAPABILITY
The organization employs [Assignment: organization-defined dynamic response capabilities] to
effectively respond to security incidents.
This control enhancement addresses the deployment of replacement or
new capabilities in a timely manner in response to security incidents (e.g., adversary actions
during hostile cyber attacks). This includes capabilities implemented at the mission/business
process level (e.g., activating alternative mission/business processes) and at the information
system level. Related control: CP-10.
Supplemental Guidance:
(10) INCIDENT HANDLING | SUPPLY CHAIN COORDINATION
The organization coordinates incident handling activities involving supply chain events with other
organizations involved in the supply chain.
Organizations involved in supply chain activities include, for example,
system/product developers, integrators, manufacturers, packagers, assemblers, distributors,
vendors, and resellers. Supply chain incidents include, for example, compromises/breaches
involving information system components, information technology products, development
processes or personnel, and distribution processes or warehousing facilities.
Supplemental Guidance:
References:
Executive Order 13587; NIST Special Publication 800-61.
Priority and Baseline Allocation:
P1
APPENDIX F-IR
LOW IR-4
MOD IR-4 (1)
HIGH IR-4 (1) (4)
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IR-5
INCIDENT MONITORING
Control:
The organization tracks and documents information system security incidents.
Documenting information system security incidents includes, for example,
maintaining records about each incident, the status of the incident, and other pertinent information
necessary for forensics, evaluating incident details, trends, and handling. Incident information can
be obtained from a variety of sources including, for example, incident reports, incident response
teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator
reports. Related controls: AU-6, IR-8, PE-6, SC-5, SC-7, SI-3, SI-4, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
INCIDENT MONITORING | AUTOMATED TRACKING / DATA COLLECTION / ANALYSIS
The organization employs automated mechanisms to assist in the tracking of security incidents
and in the collection and analysis of incident information.
Automated mechanisms for tracking security incidents and
collecting/analyzing incident information include, for example, the Einstein network
monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or
other electronic databases of incidents. Related controls: AU-7, IR-4.
Supplemental Guidance:
References:
NIST Special Publication 800-61.
Priority and Baseline Allocation:
P1
IR-6
LOW IR-5
MOD IR-5
HIGH IR-5 (1)
INCIDENT REPORTING
Control:
The organization:
a.
Requires personnel to report suspected security incidents to the organizational incident
response capability within [Assignment: organization-defined time period]; and
b.
Reports security incident information to [Assignment: organization-defined authorities].
The intent of this control is to address both specific incident reporting
requirements within an organization and the formal incident reporting requirements for federal
agencies and their subordinate organizations. Suspected security incidents include, for example,
the receipt of suspicious email communications that can potentially contain malicious code. The
types of security incidents reported, the content and timeliness of the reports, and the designated
reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Current federal policy requires that all federal agencies (unless
specifically exempted from such requirements) report security incidents to the United States
Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the
US-CERT Concept of Operations for Federal Cyber Security Incident Handling. Related controls:
IR-4, IR-5, IR-8.
Supplemental Guidance:
Control Enhancements:
(1)
INCIDENT REPORTING | AUTOMATED REPORTING
The organization employs automated mechanisms to assist in the reporting of security incidents.
Supplemental Guidance:
(2)
Related control: IR-7.
INCIDENT REPORTING | VULNERABILITIES RELATED TO INCIDENTS
The organization reports information system vulnerabilities associated with reported security
incidents to [Assignment: organization-defined personnel or roles].
(3)
INCIDENT REPORTING | COORDINATION WITH SUPPLY CHAIN
The organization provides security incident information to other organizations involved in the
supply chain for information systems or information system components related to the incident.
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Organizations involved in supply chain activities include, for example,
system/product developers, integrators, manufacturers, packagers, assemblers, distributors,
vendors, and resellers. Supply chain incidents include, for example, compromises/breaches
involving information system components, information technology products, development
processes or personnel, and distribution processes or warehousing facilities. Organizations
determine the appropriate information to share considering the value gained from support by
external organizations with the potential for harm due to sensitive information being released
to outside organizations of perhaps questionable trustworthiness.
Supplemental Guidance:
References:
NIST Special Publication 800-61; Web: http://www.us-cert.gov.
Priority and Baseline Allocation:
LOW IR-6
P1
IR-7
MOD IR-6 (1)
HIGH IR-6 (1)
INCIDENT RESPONSE ASSISTANCE
Control: The organization provides an incident response support resource, integral to the
organizational incident response capability that offers advice and assistance to users of the
information system for the handling and reporting of security incidents.
Incident response support resources provided by organizations include, for
example, help desks, assistance groups, and access to forensics services, when required. Related
controls: AT-2, IR-4, IR-6, IR-8, SA-9.
Supplemental Guidance:
Control Enhancements:
(1)
INCIDENT RESPONSE ASSISTANCE | AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
The organization employs automated mechanisms to increase the availability of incident responserelated information and support.
Automated mechanisms can provide a push and/or pull capability for
users to obtain incident response assistance. For example, individuals might have access to a
website to query the assistance capability, or conversely, the assistance capability may have
the ability to proactively send information to users (general distribution or targeted) as part of
increasing understanding of current response capabilities and support.
Supplemental Guidance:
(2)
INCIDENT RESPONSE ASSISTANCE | COORDINATION WITH EXTERNAL PROVIDERS
The organization:
(a)
Establishes a direct, cooperative relationship between its incident response capability and
external providers of information system protection capability; and
(b) Identifies organizational incident response team members to the external providers.
External providers of information system protection capability include,
for example, the Computer Network Defense program within the U.S. Department of
Defense. External providers help to protect, monitor, analyze, detect, and respond to
unauthorized activity within organizational information systems and networks.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P2
IR-8
LOW IR-7
MOD IR-7 (1)
HIGH IR-7 (1)
INCIDENT RESPONSE PLAN
Control:
a.
APPENDIX F-IR
The organization:
Develops an incident response plan that:
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1.
Provides the organization with a roadmap for implementing its incident response
capability;
2.
Describes the structure and organization of the incident response capability;
3.
Provides a high-level approach for how the incident response capability fits into the
overall organization;
4.
Meets the unique requirements of the organization, which relate to mission, size,
structure, and functions;
5.
Defines reportable incidents;
6.
Provides metrics for measuring the incident response capability within the organization;
7.
Defines the resources and management support needed to effectively maintain and
mature an incident response capability; and
8.
Is reviewed and approved by [Assignment: organization-defined personnel or roles];
b.
Distributes copies of the incident response plan to [Assignment: organization-defined incident
response personnel (identified by name and/or by role) and organizational elements];
c.
Reviews the incident response plan [Assignment: organization-defined frequency];
d.
Updates the incident response plan to address system/organizational changes or problems
encountered during plan implementation, execution, or testing;
e.
Communicates incident response plan changes to [Assignment: organization-defined incident
response personnel (identified by name and/or by role) and organizational elements]; and
f.
Protects the incident response plan from unauthorized disclosure and modification.
It is important that organizations develop and implement a coordinated
approach to incident response. Organizational missions, business functions, strategies, goals, and
objectives for incident response help to determine the structure of incident response capabilities.
As part of a comprehensive incident response capability, organizations consider the coordination
and sharing of information with external organizations, including, for example, external service
providers and organizations involved in the supply chain for organizational information systems.
Related controls: MP-2, MP-4, MP-5.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publication 800-61.
Priority and Baseline Allocation:
P1
IR-9
LOW IR-8
MOD IR-8
HIGH IR-8
INFORMATION SPILLAGE RESPONSE
Control:
The organization responds to information spills by:
a.
Identifying the specific information involved in the information system contamination;
b.
Alerting [Assignment: organization-defined personnel or roles] of the information spill using
a method of communication not associated with the spill;
c.
Isolating the contaminated information system or system component;
d.
Eradicating the information from the contaminated information system or component;
e.
Identifying other information systems or system components that may have been subsequently
contaminated; and
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f.
Performing other [Assignment: organization-defined actions].
Information spillage refers to instances where either classified or sensitive
information is inadvertently placed on information systems that are not authorized to process such
information. Such information spills often occur when information that is initially thought to be of
lower sensitivity is transmitted to an information system and then is subsequently determined to be
of higher sensitivity. At that point, corrective action is required. The nature of the organizational
response is generally based upon the degree of sensitivity of the spilled information (e.g., security
category or classification level), the security capabilities of the information system, the specific
nature of contaminated storage media, and the access authorizations (e.g., security clearances) of
individuals with authorized access to the contaminated system. The methods used to communicate
information about the spill after the fact do not involve methods directly associated with the actual
spill to minimize the risk of further spreading the contamination before such contamination is
isolated and eradicated.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION SPILLAGE RESPONSE | RESPONSIBLE PERSONNEL
The organization assigns [Assignment: organization-defined personnel or roles] with responsibility
for responding to information spills.
(2)
INFORMATION SPILLAGE RESPONSE | TRAINING
The organization provides information spillage response training [Assignment: organizationdefined frequency].
(3)
INFORMATION SPILLAGE RESPONSE | POST-SPILL OPERATIONS
The organization implements [Assignment: organization-defined procedures] to ensure that
organizational personnel impacted by information spills can continue to carry out assigned tasks
while contaminated systems are undergoing corrective actions.
Correction actions for information systems contaminated due to
information spillages may be very time-consuming. During those periods, personnel may not
have access to the contaminated systems, which may potentially affect their ability to conduct
organizational business.
Supplemental Guidance:
(4)
INFORMATION SPILLAGE RESPONSE | EXPOSURE TO UNAUTHORIZED PERSONNEL
The organization employs [Assignment: organization-defined security safeguards] for personnel
exposed to information not within assigned access authorizations.
Security safeguards include, for example, making personnel exposed
to spilled information aware of the federal laws, directives, policies, and/or regulations
regarding the information and the restrictions imposed based on exposure to such information.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
IR-10
LOW Not Selected
MOD Not Selected
HIGH Not Selected
INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
The organization establishes an integrated team of forensic/malicious code analysts, tool
developers, and real-time operations personnel.
Control:
Having an integrated team for incident response facilitates information
sharing. Such capability allows organizational personnel, including developers, implementers, and
operators, to leverage the team knowledge of the threat in order to implement defensive measures
that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid
detection of intrusions, development of appropriate mitigations, and the deployment of effective
defensive measures. For example, when an intrusion is detected, the integrated security analysis
team can rapidly develop an appropriate response for operators to implement, correlate the new
incident with information on past intrusions, and augment ongoing intelligence development. This
Supplemental Guidance:
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enables the team to identify adversary TTPs that are linked to the operations tempo or to specific
missions/business functions, and to define responsive actions in a way that does not disrupt the
mission/business operations. Ideally, information security analysis teams are distributed within
organizations to make the capability more resilient.
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
APPENDIX F-IR
LOW Not Selected
MOD Not Selected
HIGH Not Selected
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FAMILY: MAINTENANCE
MA-1
SYSTEM MAINTENANCE POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A system maintenance policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the system maintenance policy and
associated system maintenance controls; and
Reviews and updates the current:
1.
System maintenance policy [Assignment: organization-defined frequency]; and
2.
System maintenance procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the MA family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
MA-2
LOW MA-1
MOD MA-1
HIGH MA-1
CONTROLLED MAINTENANCE
Control:
The organization:
a.
Schedules, performs, documents, and reviews records of maintenance and repairs on
information system components in accordance with manufacturer or vendor specifications
and/or organizational requirements;
b.
Approves and monitors all maintenance activities, whether performed on site or remotely and
whether the equipment is serviced on site or removed to another location;
c.
Requires that [Assignment: organization-defined personnel or roles] explicitly approve the
removal of the information system or system components from organizational facilities for
off-site maintenance or repairs;
d.
Sanitizes equipment to remove all information from associated media prior to removal from
organizational facilities for off-site maintenance or repairs;
e.
Checks all potentially impacted security controls to verify that the controls are still
functioning properly following maintenance or repair actions; and
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f.
Includes [Assignment: organization-defined maintenance-related information] in
organizational maintenance records.
This control addresses the information security aspects of the information
system maintenance program and applies to all types of maintenance to any system component
(including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, inhouse, software maintenance agreement). System maintenance also includes those components not
directly associated with information processing and/or data/information retention such as scanners,
copiers, and printers. Information necessary for creating effective maintenance records includes,
for example: (i) date and time of maintenance; (ii) name of individuals or group performing the
maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed;
and (v) information system components/equipment removed or replaced (including identification
numbers, if applicable). The level of detail included in maintenance records can be informed by
the security categories of organizational information systems. Organizations consider supply chain
issues associated with replacement components for information systems. Related controls: CM-3,
CM-4, MA-4, MP-6, PE-16, SA-12, SI-2.
Supplemental Guidance:
Control Enhancements:
(1)
CONTROLLED MAINTENANCE | RECORD CONTENT
[Withdrawn: Incorporated into MA-2].
(2)
CONTROLLED MAINTENANCE | AUTOMATED MAINTENANCE ACTIVITIES
The organization:
(a)
Employs automated mechanisms to schedule, conduct, and document maintenance and
repairs; and
(b) Produces up-to date, accurate, and complete records of all maintenance and repair actions
requested, scheduled, in process, and completed.
Supplemental Guidance:
References:
Related controls: CA-7, MA-3.
None.
Priority and Baseline Allocation:
P2
MA-3
LOW MA-2
MOD MA-2
HIGH MA-2 (2)
MAINTENANCE TOOLS
Control:
The organization approves, controls, and monitors information system maintenance tools.
This control addresses security-related issues associated with maintenance
tools used specifically for diagnostic and repair actions on organizational information systems.
Maintenance tools can include hardware, software, and firmware items. Maintenance tools are
potential vehicles for transporting malicious code, either intentionally or unintentionally, into a
facility and subsequently into organizational information systems. Maintenance tools can include,
for example, hardware/software diagnostic test equipment and hardware/software packet sniffers.
This control does not cover hardware/software components that may support information system
maintenance, yet are a part of the system, for example, the software implementing “ping,” “ls,”
“ipconfig,” or the hardware and software implementing the monitoring port of an Ethernet switch.
Related controls: MA-2, MA-5, MP-6.
Supplemental Guidance:
Control Enhancements:
(1)
MAINTENANCE TOOLS | INSPECT TOOLS
The organization inspects the maintenance tools carried into a facility by maintenance personnel
for improper or unauthorized modifications.
If, upon inspection of maintenance tools, organizations determine that
the tools have been modified in an improper/unauthorized manner or contain malicious code,
Supplemental Guidance:
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the incident is handled consistent with organizational policies and procedures for incident
handling. Related control: SI-7.
(2)
MAINTENANCE TOOLS | INSPECT MEDIA
The organization checks media containing diagnostic and test programs for malicious code before
the media are used in the information system.
If, upon inspection of media containing maintenance diagnostic and
test programs, organizations determine that the media contain malicious code, the incident is
handled consistent with organizational incident handling policies and procedures. Related
control: SI-3.
Supplemental Guidance:
(3)
MAINTENANCE TOOLS | PREVENT UNAUTHORIZED REMOVAL
The organization prevents the unauthorized removal of maintenance equipment containing
organizational information by:
(a)
Verifying that there is no organizational information contained on the equipment;
(b) Sanitizing or destroying the equipment;
(c)
Retaining the equipment within the facility; or
(d) Obtaining an exemption from [Assignment: organization-defined personnel or roles] explicitly
authorizing removal of the equipment from the facility.
Organizational information includes all information specifically owned
by organizations and information provided to organizations in which organizations serve as
information stewards.
Supplemental Guidance:
(4)
MAINTENANCE TOOLS | RESTRICTED TOOL USE
The information system restricts the use of maintenance tools to authorized personnel only.
This control enhancement applies to information systems that are used
to carry out maintenance functions. Related controls: AC-2, AC-3, AC-5, AC-6.
Supplemental Guidance:
References:
NIST Special Publication 800-88.
Priority and Baseline Allocation:
P3
MA-4
LOW Not Selected
MOD MA-3 (1) (2)
HIGH MA-3 (1) (2) (3)
NONLOCAL MAINTENANCE
Control:
The organization:
a.
Approves and monitors nonlocal maintenance and diagnostic activities;
b.
Allows the use of nonlocal maintenance and diagnostic tools only as consistent with
organizational policy and documented in the security plan for the information system;
c.
Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic
sessions;
d.
Maintains records for nonlocal maintenance and diagnostic activities; and
e.
Terminates session and network connections when nonlocal maintenance is completed.
Nonlocal maintenance and diagnostic activities are those activities
conducted by individuals communicating through a network, either an external network (e.g., the
Internet) or an internal network. Local maintenance and diagnostic activities are those activities
carried out by individuals physically present at the information system or information system
component and not communicating across a network connection. Authentication techniques used
in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access
requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to
replay attacks and employ multifactor authentication. Strong authenticators include, for example,
PKI where certificates are stored on a token protected by a password, passphrase, or biometric.
Supplemental Guidance:
APPENDIX F-MA
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Enforcing requirements in MA-4 is accomplished in part by other controls. Related controls: AC2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-4, IA-5, IA-8, MA-2, MA-5, MP-6, PL-2, SC-7,
SC-10, SC-17.
Control Enhancements:
(1)
NONLOCAL MAINTENANCE | AUDITING AND REVIEW
The organization:
(a)
Audits nonlocal maintenance and diagnostic sessions [Assignment: organization-defined
audit events]; and
(b) Reviews the records of the maintenance and diagnostic sessions.
Supplemental Guidance:
(2)
Related controls: AU-2, AU-6, AU-12.
NONLOCAL MAINTENANCE | DOCUMENT NONLOCAL MAINTENANCE
The organization documents in the security plan for the information system, the policies and
procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
(3)
NONLOCAL MAINTENANCE | COMPARABLE SECURITY / SANITIZATION
The organization:
(a)
Requires that nonlocal maintenance and diagnostic services be performed from an
information system that implements a security capability comparable to the capability
implemented on the system being serviced; or
(b) Removes the component to be serviced from the information system prior to nonlocal
maintenance or diagnostic services, sanitizes the component (with regard to organizational
information) before removal from organizational facilities, and after the service is performed,
inspects and sanitizes the component (with regard to potentially malicious software) before
reconnecting the component to the information system.
Comparable security capability on information systems, diagnostic
tools, and equipment providing maintenance services implies that the implemented security
controls on those systems, tools, and equipment are at least as comprehensive as the controls
on the information system being serviced. Related controls: MA-3, SA-12, SI-3, SI-7.
Supplemental Guidance:
(4)
NONLOCAL MAINTENANCE | AUTHENTICATION / SEPARATION OF MAINTENANCE SESSIONS
The organization protects nonlocal maintenance sessions by:
(a)
Employing [Assignment: organization-defined authenticators that are replay resistant]; and
(b) Separating the maintenance sessions from other network sessions with the information
system by either:
(1)
Physically separated communications paths; or
(2)
Logically separated communications paths based upon encryption.
Supplemental Guidance:
(5)
Related control: SC-13.
NONLOCAL MAINTENANCE | APPROVALS AND NOTIFICATIONS
The organization:
(a)
Requires the approval of each nonlocal maintenance session by [Assignment: organizationdefined personnel or roles]; and
(b) Notifies [Assignment: organization-defined personnel or roles] of the date and time of planned
nonlocal maintenance.
Notification may be performed by maintenance personnel. Approval of
nonlocal maintenance sessions is accomplished by organizational personnel with sufficient
information security and information system knowledge to determine the appropriateness of
the proposed maintenance.
Supplemental Guidance:
(6)
NONLOCAL MAINTENANCE | CRYPTOGRAPHIC PROTECTION
The information system implements cryptographic mechanisms to protect the integrity and
confidentiality of nonlocal maintenance and diagnostic communications.
Supplemental Guidance:
APPENDIX F-MA
Related controls: SC-8, SC-13.
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(7)
NONLOCAL MAINTENANCE | REMOTE DISCONNECT VERIFICATION
The information system implements remote disconnect verification at the termination of nonlocal
maintenance and diagnostic sessions.
Remote disconnect verification ensures that remote connections from
nonlocal maintenance sessions have been terminated and are no longer available for use.
Related control: SC-13.
Supplemental Guidance:
References:
FIPS Publications 140-2, 197, 201; NIST Special Publications 800-63, 800-88; CNSS
Policy 15.
Priority and Baseline Allocation:
LOW MA-4
P2
MA-5
MOD MA-4 (2)
HIGH MA-4 (2) (3)
MAINTENANCE PERSONNEL
Control:
The organization:
a.
Establishes a process for maintenance personnel authorization and maintains a list of
authorized maintenance organizations or personnel;
b.
Ensures that non-escorted personnel performing maintenance on the information system have
required access authorizations; and
c.
Designates organizational personnel with required access authorizations and technical
competence to supervise the maintenance activities of personnel who do not possess the
required access authorizations.
This control applies to individuals performing hardware or software
maintenance on organizational information systems, while PE-2 addresses physical access for
individuals whose maintenance duties place them within the physical protection perimeter of the
systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of
supervising individuals relates to the maintenance performed on the information systems while
having required access authorizations refers to maintenance on and near the systems. Individuals
not previously identified as authorized maintenance personnel, such as information technology
manufacturers, vendors, systems integrators, and consultants, may require privileged access to
organizational information systems, for example, when required to conduct maintenance activities
with little or no notice. Based on organizational assessments of risk, organizations may issue
temporary credentials to these individuals. Temporary credentials may be for one-time use or for
very limited time periods. Related controls: AC-2, IA-8, MP-2, PE-2, PE-3, PE-4, RA-3.
Supplemental Guidance:
Control Enhancements:
(1)
MAINTENANCE PERSONNEL | INDIVIDUALS WITHOUT APPROPRIATE ACCESS
The organization:
(a)
Implements procedures for the use of maintenance personnel that lack appropriate security
clearances or are not U.S. citizens, that include the following requirements:
(1)
Maintenance personnel who do not have needed access authorizations, clearances, or
formal access approvals are escorted and supervised during the performance of
maintenance and diagnostic activities on the information system by approved
organizational personnel who are fully cleared, have appropriate access authorizations,
and are technically qualified;
(2)
Prior to initiating maintenance or diagnostic activities by personnel who do not have
needed access authorizations, clearances or formal access approvals, all volatile
information storage components within the information system are sanitized and all
nonvolatile storage media are removed or physically disconnected from the system and
secured; and
(b) Develops and implements alternate security safeguards in the event an information system
component cannot be sanitized, removed, or disconnected from the system.
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This control enhancement denies individuals who lack appropriate
security clearances (i.e., individuals who do not possess security clearances or possess
security clearances at a lower level than required) or who are not U.S. citizens, visual and
electronic access to any classified information, Controlled Unclassified Information (CUI), or
any other sensitive information contained on organizational information systems. Procedures
for the use of maintenance personnel can be documented in security plans for the information
systems. Related controls: MP-6, PL-2.
Supplemental Guidance:
(2)
MAINTENANCE PERSONNEL | SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS
The organization ensures that personnel performing maintenance and diagnostic activities on an
information system processing, storing, or transmitting classified information possess security
clearances and formal access approvals for at least the highest classification level and for all
compartments of information on the system.
Supplemental Guidance:
(3)
Related control: PS-3.
MAINTENANCE PERSONNEL | CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS
The organization ensures that personnel performing maintenance and diagnostic activities on an
information system processing, storing, or transmitting classified information are U.S. citizens.
Supplemental Guidance:
(4)
Related control: PS-3.
MAINTENANCE PERSONNEL | FOREIGN NATIONALS
The organization ensures that:
(a)
Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are
used to conduct maintenance and diagnostic activities on classified information systems only
when the systems are jointly owned and operated by the United States and foreign allied
governments, or owned and operated solely by foreign allied governments; and
(b) Approvals, consents, and detailed operational conditions regarding the use of foreign
nationals to conduct maintenance and diagnostic activities on classified information systems
are fully documented within Memoranda of Agreements.
Supplemental Guidance:
(5)
Related control: PS-3.
MAINTENANCE PERSONNEL | NONSYSTEM-RELATED MAINTENANCE
The organization ensures that non-escorted personnel performing maintenance activities not
directly associated with the information system but in the physical proximity of the system, have
required access authorizations.
Personnel performing maintenance activities in other capacities not
directly related to the information system include, for example, physical plant personnel and
janitorial personnel.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P2
MA-6
LOW MA-5
MOD MA-5
HIGH MA-5 (1)
TIMELY MAINTENANCE
Control: The organization obtains maintenance support and/or spare parts for [Assignment:
organization-defined information system components] within [Assignment: organization-defined
time period] of failure.
Organizations specify the information system components that result in
increased risk to organizational operations and assets, individuals, other organizations, or the
Nation when the functionality provided by those components is not operational. Organizational
actions to obtain maintenance support typically include having appropriate contracts in place.
Related controls: CM-8, CP-2, CP-7, SA-14, SA-15.
Supplemental Guidance:
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Control Enhancements:
(1)
TIMELY MAINTENANCE | PREVENTIVE MAINTENANCE
The organization performs preventive maintenance on [Assignment: organization-defined
information system components] at [Assignment: organization-defined time intervals].
Preventive maintenance includes proactive care and servicing of
organizational information systems components for the purpose of maintaining equipment and
facilities in satisfactory operating condition. Such maintenance provides for the systematic
inspection, tests, measurements, adjustments, parts replacement, detection, and correction of
incipient failures either before they occur or before they develop into major defects. The
primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment
failures. Preventive maintenance is designed to preserve and restore equipment reliability by
replacing worn components before they actually fail. Methods of determining what preventive
(or other) failure management policies to apply include, for example, original equipment
manufacturer (OEM) recommendations, statistical failure records, requirements of codes,
legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already
been conducted on similar equipment, or measured values and performance indications.
Supplemental Guidance:
(2)
TIMELY MAINTENANCE | PREDICTIVE MAINTENANCE
The organization performs predictive maintenance on [Assignment: organization-defined
information system components] at [Assignment: organization-defined time intervals].
Predictive maintenance, or condition-based maintenance, attempts to
evaluate the condition of equipment by performing periodic or continuous (online) equipment
condition monitoring. The goal of predictive maintenance is to perform maintenance at a
scheduled point in time when the maintenance activity is most cost-effective and before the
equipment loses performance within a threshold. The predictive component of predictive
maintenance stems from the goal of predicting the future trend of the equipment's condition.
This approach uses principles of statistical process control to determine at what point in the
future maintenance activities will be appropriate. Most predictive maintenance inspections are
performed while equipment is in service, thereby minimizing disruption of normal system
operations. Predictive maintenance can result in substantial cost savings and higher system
reliability. Predictive maintenance tends to include measurement of the item. To evaluate
equipment condition, predictive maintenance utilizes nondestructive testing technologies such
as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration
analysis, sound level measurements, oil analysis, and other specific online tests.
Supplemental Guidance:
(3)
TIMELY MAINTENANCE | AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE
The organization employs automated mechanisms to transfer predictive maintenance data to a
computerized maintenance management system.
A computerized maintenance management system maintains a
computer database of information about the maintenance operations of organizations and
automates processing equipment condition data in order to trigger maintenance planning,
execution, and reporting.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P2
APPENDIX F-MA
LOW Not Selected
MOD MA-6
HIGH MA-6
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FAMILY: MEDIA PROTECTION
MP-1
MEDIA PROTECTION POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A media protection policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the media protection policy and associated
media protection controls; and
Reviews and updates the current:
1.
Media protection policy [Assignment: organization-defined frequency]; and
2.
Media protection procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the MP family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
MP-2
LOW MP-1
MOD MP-1
HIGH MP-1
MEDIA ACCESS
The organization restricts access to [Assignment: organization-defined types of digital
and/or non-digital media] to [Assignment: organization-defined personnel or roles].
Control:
Information system media includes both digital and non-digital media.
Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk
drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for
example, paper and microfilm. Restricting non-digital media access includes, for example,
denying access to patient medical records in a community hospital unless the individuals seeking
access to such records are authorized healthcare providers. Restricting access to digital media
includes, for example, limiting access to design specifications stored on compact disks in the
media library to the project leader and the individuals on the development team. Related controls:
AC-3, IA-2, MP-4, PE-2, PE-3, PL-2.
Supplemental Guidance:
Control Enhancements:
(1)
MEDIA ACCESS | AUTOMATED RESTRICTED ACCESS
[Withdrawn: Incorporated into MP-4 (2)].
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(2)
MEDIA ACCESS | CRYPTOGRAPHIC PROTECTION
[Withdrawn: Incorporated into SC-28 (1)].
References:
FIPS Publication 199; NIST Special Publication 800-111.
Priority and Baseline Allocation:
P1
MP-3
LOW MP-2
MOD MP-2
HIGH MP-2
MEDIA MARKING
Control:
The organization:
a.
Marks information system media indicating the distribution limitations, handling caveats, and
applicable security markings (if any) of the information; and
b.
Exempts [Assignment: organization-defined types of information system media] from marking
as long as the media remain within [Assignment: organization-defined controlled areas].
The term security marking refers to the application/use of human-readable
security attributes. The term security labeling refers to the application/use of security attributes
with regard to internal data structures within information systems (see AC-16). Information
system media includes both digital and non-digital media. Digital media includes, for example,
diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and
digital video disks. Non-digital media includes, for example, paper and microfilm. Security
marking is generally not required for media containing information determined by organizations to
be in the public domain or to be publicly releasable. However, some organizations may require
markings for public information indicating that the information is publicly releasable. Marking of
information system media reflects applicable federal laws, Executive Orders, directives, policies,
regulations, standards, and guidance. Related controls: AC-16, PL-2, RA-3.
Supplemental Guidance:
Control Enhancements:
References:
None.
FIPS Publication 199.
Priority and Baseline Allocation:
P2
MP-4
LOW Not Selected
MOD MP-3
HIGH MP-3
MEDIA STORAGE
Control:
The organization:
a.
Physically controls and securely stores [Assignment: organization-defined types of digital
and/or non-digital media] within [Assignment: organization-defined controlled areas]; and
b.
Protects information system media until the media are destroyed or sanitized using approved
equipment, techniques, and procedures.
Information system media includes both digital and non-digital media.
Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk
drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for
example, paper and microfilm. Physically controlling information system media includes, for
example, conducting inventories, ensuring procedures are in place to allow individuals to check
out and return media to the media library, and maintaining accountability for all stored media.
Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media
library. The type of media storage is commensurate with the security category and/or classification
of the information residing on the media. Controlled areas are areas for which organizations
Supplemental Guidance:
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provide sufficient physical and procedural safeguards to meet the requirements established for
protecting information and/or information systems. For media containing information determined
by organizations to be in the public domain, to be publicly releasable, or to have limited or no
adverse impact on organizations or individuals if accessed by other than authorized personnel,
fewer safeguards may be needed. In these situations, physical access controls provide adequate
protection. Related controls: CP-6, CP-9, MP-2, MP-7, PE-3.
Control Enhancements:
(1)
MEDIA STORAGE
| CRYPTOGRAPHIC PROTECTION
[Withdrawn: Incorporated into SC-28 (1)].
(2)
MEDIA STORAGE | AUTOMATED RESTRICTED ACCESS
The organization employs automated mechanisms to restrict access to media storage areas and to
audit access attempts and access granted.
Automated mechanisms can include, for example, keypads on the
external entries to media storage areas. Related controls: AU-2, AU-9, AU-6, AU-12.
Supplemental Guidance:
References:
FIPS Publication 199; NIST Special Publications 800-56, 800-57, 800-111.
Priority and Baseline Allocation:
P1
MP-5
LOW Not Selected
MOD MP-4
HIGH MP-4
MEDIA TRANSPORT
Control:
The organization:
a.
Protects and controls [Assignment: organization-defined types of information system media]
during transport outside of controlled areas using [Assignment: organization-defined security
safeguards];
b.
Maintains accountability for information system media during transport outside of controlled
areas;
c.
Documents activities associated with the transport of information system media; and
d.
Restricts the activities associated with the transport of information system media to authorized
personnel.
Information system media includes both digital and non-digital media.
Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk
drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for
example, paper and microfilm. This control also applies to mobile devices with information
storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled
areas. Controlled areas are areas or spaces for which organizations provide sufficient physical
and/or procedural safeguards to meet the requirements established for protecting information
and/or information systems.
Supplemental Guidance:
Physical and technical safeguards for media are commensurate with the security category or
classification of the information residing on the media. Safeguards to protect media during
transport include, for example, locked containers and cryptography. Cryptographic mechanisms
can provide confidentiality and integrity protections depending upon the mechanisms used.
Activities associated with transport include the actual transport as well as those activities such as
releasing media for transport and ensuring that media enters the appropriate transport processes.
For the actual transport, authorized transport and courier personnel may include individuals from
outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service).
Maintaining accountability of media during transport includes, for example, restricting transport
activities to authorized personnel, and tracking and/or obtaining explicit records of transport
activities as the media moves through the transportation system to prevent and detect loss,
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destruction, or tampering. Organizations establish documentation requirements for activities
associated with the transport of information system media in accordance with organizational
assessments of risk to include the flexibility to define different record-keeping methods for the
different types of media transport as part of an overall system of transport-related records. Related
controls: AC-19, CP-9, MP-3, MP-4, RA-3, SC-8, SC-13, SC-28.
Control Enhancements:
(1)
MEDIA TRANSPORT | PROTECTION OUTSIDE OF CONTROLLED AREAS
[Withdrawn: Incorporated into MP-5].
(2)
MEDIA TRANSPORT | DOCUMENTATION OF ACTIVITIES
[Withdrawn: Incorporated into MP-5].
(3)
MEDIA TRANSPORT | CUSTODIANS
The organization employs an identified custodian during transport of information system media
outside of controlled areas.
Identified custodians provide organizations with specific points of
contact during the media transport process and facilitate individual accountability. Custodial
responsibilities can be transferred from one individual to another as long as an unambiguous
custodian is identified at all times.
Supplemental Guidance:
(4)
MEDIA TRANSPORT | CRYPTOGRAPHIC PROTECTION
The information system implements cryptographic mechanisms to protect the confidentiality and
integrity of information stored on digital media during transport outside of controlled areas.
This control enhancement applies to both portable storage devices
(e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk
drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).
Related control: MP-2.
Supplemental Guidance:
References:
FIPS Publication 199; NIST Special Publication 800-60.
Priority and Baseline Allocation:
P1
MP-6
LOW Not Selected
MOD MP-5 (4)
HIGH MP-5 (4)
MEDIA SANITIZATION
Control:
The organization:
a.
Sanitizes [Assignment: organization-defined information system media] prior to disposal,
release out of organizational control, or release for reuse using [Assignment: organizationdefined sanitization techniques and procedures] in accordance with applicable federal and
organizational standards and policies; and
b.
Employs sanitization mechanisms with the strength and integrity commensurate with the
security category or classification of the information.
This control applies to all information system media, both digital and nondigital, subject to disposal or reuse, whether or not the media is considered removable. Examples
include media found in scanners, copiers, printers, notebook computers, workstations, network
components, and mobile devices. The sanitization process removes information from the media
such that the information cannot be retrieved or reconstructed. Sanitization techniques, including
clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to
unauthorized individuals when such media is reused or released for disposal. Organizations
determine the appropriate sanitization methods recognizing that destruction is sometimes
necessary when other methods cannot be applied to media requiring sanitization. Organizations
use discretion on the employment of approved sanitization techniques and procedures for media
containing information deemed to be in the public domain or publicly releasable, or deemed to
have no adverse impact on organizations or individuals if released for reuse or disposal.
Supplemental Guidance:
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Sanitization of non-digital media includes, for example, removing a classified appendix from an
otherwise unclassified document, or redacting selected sections or words from a document by
obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them
from the document. NSA standards and policies control the sanitization process for media
containing classified information. Related controls: MA-2, MA-4, RA-3, SC-4.
Control Enhancements:
(1)
MEDIA SANITIZATION | REVIEW / APPROVE / TRACK / DOCUMENT / VERIFY
The organization reviews, approves, tracks, documents, and verifies media sanitization and
disposal actions.
Organizations review and approve media to be sanitized to ensure
compliance with records-retention policies. Tracking/documenting actions include, for
example, listing personnel who reviewed and approved sanitization and disposal actions,
types of media sanitized, specific files stored on the media, sanitization methods used, date
and time of the sanitization actions, personnel who performed the sanitization, verification
actions taken, personnel who performed the verification, and disposal action taken.
Organizations verify that the sanitization of the media was effective prior to disposal. Related
control: SI-12.
Supplemental Guidance:
(2)
MEDIA SANITIZATION | EQUIPMENT TESTING
The organization tests sanitization equipment and procedures [Assignment: organization-defined
frequency] to verify that the intended sanitization is being achieved.
Testing of sanitization equipment and procedures may be conducted by
qualified and authorized external entities (e.g., other federal agencies or external service
providers).
Supplemental Guidance:
(3)
MEDIA SANITIZATION | NONDESTRUCTIVE TECHNIQUES
The organization applies nondestructive sanitization techniques to portable storage devices prior
to connecting such devices to the information system under the following circumstances:
[Assignment: organization-defined circumstances requiring sanitization of portable storage
devices].
This control enhancement applies to digital media containing classified
information and Controlled Unclassified Information (CUI). Portable storage devices can be
the source of malicious code insertions into organizational information systems. Many of
these devices are obtained from unknown and potentially untrustworthy sources and may
contain malicious code that can be readily transferred to information systems through USB
ports or other entry portals. While scanning such storage devices is always recommended,
sanitization provides additional assurance that the devices are free of malicious code to
include code capable of initiating zero-day attacks. Organizations consider nondestructive
sanitization of portable storage devices when such devices are first purchased from the
manufacturer or vendor prior to initial use or when organizations lose a positive chain of
custody for the devices. Related control: SI-3.
Supplemental Guidance:
(4)
MEDIA SANITIZATION | CONTROLLED UNCLASSIFIED INFORMATION
(5)
MEDIA SANITIZATION | CLASSIFIED INFORMATION
[Withdrawn: Incorporated into MP-6].
[Withdrawn: Incorporated into MP-6].
(6)
MEDIA SANITIZATION | MEDIA DESTRUCTION
[Withdrawn: Incorporated into MP-6].
(7)
MEDIA SANITIZATION | DUAL AUTHORIZATION
The organization enforces dual authorization for the sanitization of [Assignment: organizationdefined information system media].
Organizations employ dual authorization to ensure that information
system media sanitization cannot occur unless two technically qualified individuals conduct
the task. Individuals sanitizing information system media possess sufficient skills/expertise to
determine if the proposed sanitization reflects applicable federal/organizational standards,
policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as
Supplemental Guidance:
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intended, both protecting against errors and false claims of having performed the sanitization
actions. Dual authorization may also be known as two-person control. Related controls: AC-3,
MP-2.
(8)
MEDIA SANITIZATION | REMOTE PURGING / WIPING OF INFORMATION
The organization provides the capability to purge/wipe information from [Assignment:
organization-defined information systems, system components, or devices] either remotely or
under the following conditions: [Assignment: organization-defined conditions].
This control enhancement protects data/information on organizational
information systems, system components, or devices (e.g., mobile devices) if such systems,
components, or devices are obtained by unauthorized individuals. Remote purge/wipe
commands require strong authentication to mitigate the risk of unauthorized individuals
purging/wiping the system/component/device. The purge/wipe function can be implemented
in a variety of ways including, for example, by overwriting data/information multiple times or
by destroying the key necessary to decrypt encrypted data.
Supplemental Guidance:
FIPS Publication 199; NIST Special Publications 800-60, 800-88;
Web: http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml.
References:
Priority and Baseline Allocation:
P1
MP-7
LOW MP-6
MOD MP-6
HIGH MP-6 (1) (2) (3)
MEDIA USE
The organization [Selection: restricts; prohibits] the use of [Assignment: organizationdefined types of information system media] on [Assignment: organization-defined information
systems or system components] using [Assignment: organization-defined security safeguards].
Control:
Information system media includes both digital and non-digital media.
Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk
drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for
example, paper and microfilm. This control also applies to mobile devices with information
storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user
access to media, this control restricts the use of certain types of media on information systems, for
example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations
can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to
restrict the use of information system media. Organizations may restrict the use of portable storage
devices, for example, by using physical cages on workstations to prohibit access to certain external
ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may
also limit the use of portable storage devices to only approved devices including, for example,
devices provided by the organization, devices provided by other approved organizations, and
devices that are not personally owned. Finally, organizations may restrict the use of portable
storage devices based on the type of device, for example, prohibiting the use of writeable, portable
storage devices, and implementing this restriction by disabling or removing the capability to write
to such devices. Related controls: AC-19, PL-4.
Supplemental Guidance:
Control Enhancements:
(1)
MEDIA USE | PROHIBIT USE WITHOUT OWNER
The organization prohibits the use of portable storage devices in organizational information
systems when such devices have no identifiable owner.
Requiring identifiable owners (e.g., individuals, organizations, or
projects) for portable storage devices reduces the risk of using such technologies by allowing
organizations to assign responsibility and accountability for addressing known vulnerabilities
in the devices (e.g., malicious code insertion). Related control: PL-4.
Supplemental Guidance:
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(2)
MEDIA USE | PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA
The organization prohibits the use of sanitization-resistant media in organizational information
systems.
Sanitization-resistance applies to the capability to purge information
from media. Certain types of media do not support sanitize commands, or if supported, the
interfaces are not supported in a standardized way across these devices. Sanitization-resistant
media include, for example, compact flash, embedded flash on boards and devices, solid state
drives, and USB removable media. Related control: MP-6.
Supplemental Guidance:
References:
FIPS Publication 199; NIST Special Publication 800-111.
Priority and Baseline Allocation:
P1
MP-8
LOW MP-7
MOD MP-7 (1)
HIGH MP-7 (1)
MEDIA DOWNGRADING
Control:
The organization:
a.
Establishes [Assignment: organization-defined information system media downgrading
process] that includes employing downgrading mechanisms with [Assignment: organizationdefined strength and integrity];
b.
Ensures that the information system media downgrading process is commensurate with the
security category and/or classification level of the information to be removed and the access
authorizations of the potential recipients of the downgraded information;
c.
Identifies [Assignment: organization-defined information system media requiring
downgrading]; and
d.
Downgrades the identified information system media using the established process.
This control applies to all information system media, digital and nondigital, subject to release outside of the organization, whether or not the media is considered
removable. The downgrading process, when applied to system media, removes information from
the media, typically by security category or classification level, such that the information cannot
be retrieved or reconstructed. Downgrading of media includes redacting information to enable
wider release and distribution. Downgrading of media also ensures that empty space on the media
(e.g., slack space within files) is devoid of information.
Supplemental Guidance:
Control Enhancements:
(1)
| DOCUMENTATION OF PROCESS
The organization documents information system media downgrading actions.
MEDIA DOWNGRADING
Organizations can document the media downgrading process by
providing information such as the downgrading technique employed, the identification
number of the downgraded media, and the identity of the individual that authorized and/or
performed the downgrading action.
Supplemental Guidance:
(2)
MEDIA DOWNGRADING
| EQUIPMENT TESTING
The organization employs [Assignment: organization-defined tests] of downgrading equipment and
procedures to verify correct performance [Assignment: organization-defined frequency].
(3)
MEDIA DOWNGRADING
| CONTROLLED UNCLASSIFIED INFORMATION
The organization downgrades information system media containing [Assignment: organizationdefined Controlled Unclassified Information (CUI)] prior to public release in accordance with
applicable federal and organizational standards and policies.
(4)
APPENDIX F-MP
MEDIA DOWNGRADING | CLASSIFIED INFORMATION
The organization downgrades information system media containing classified information prior to
release to individuals without required access authorizations in accordance with NSA standards
and policies.
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Downgrading of classified information uses approved sanitization
tools, techniques, and procedures to transfer information confirmed to be unclassified from
classified information systems to unclassified media.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
APPENDIX F-MP
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MOD Not Selected
HIGH Not Selected
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FAMILY: PHYSICAL AND ENVIRONMENTAL PROTECTION
PE-1
PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A physical and environmental protection policy that addresses purpose, scope, roles,
responsibilities, management commitment, coordination among organizational entities,
and compliance; and
2.
Procedures to facilitate the implementation of the physical and environmental protection
policy and associated physical and environmental protection controls; and
Reviews and updates the current:
1.
Physical and environmental protection policy [Assignment: organization-defined
frequency]; and
2.
Physical and environmental protection procedures [Assignment: organization-defined
frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the PE family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
PE-2
LOW PE-1
MOD PE-1
HIGH PE-1
PHYSICAL ACCESS AUTHORIZATIONS
Control:
The organization:
a.
Develops, approves, and maintains a list of individuals with authorized access to the facility
where the information system resides;
b.
Issues authorization credentials for facility access;
c.
Reviews the access list detailing authorized facility access by individuals [Assignment:
organization-defined frequency]; and
d.
Removes individuals from the facility access list when access is no longer required.
This control applies to organizational employees and visitors. Individuals
(e.g., employees, contractors, and others) with permanent physical access authorization credentials
are not considered visitors. Authorization credentials include, for example, badges, identification
cards, and smart cards. Organizations determine the strength of authorization credentials needed
(including level of forge-proof badges, smart cards, or identification cards) consistent with federal
Supplemental Guidance:
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standards, policies, and procedures. This control only applies to areas within facilities that have
not been designated as publicly accessible. Related controls: PE-3, PE-4, PS-3.
Control Enhancements:
(1)
PHYSICAL ACCESS AUTHORIZATIONS | ACCESS BY POSITION / ROLE
The organization authorizes physical access to the facility where the information system resides
based on position or role.
Supplemental Guidance:
(2)
Related controls: AC-2, AC-3, AC-6.
PHYSICAL ACCESS AUTHORIZATIONS | TWO FORMS OF IDENTIFICATION
The organization requires two forms of identification from [Assignment: organization-defined list of
acceptable forms of identification] for visitor access to the facility where the information system
resides.
Acceptable forms of government photo identification include, for
example, passports, Personal Identity Verification (PIV) cards, and drivers’ licenses. In the
case of gaining access to facilities using automated mechanisms, organizations may use PIV
cards, key cards, PINs, and biometrics. Related controls: IA-2, IA-4, IA-5.
Supplemental Guidance:
(3)
PHYSICAL ACCESS AUTHORIZATIONS | RESTRICT UNESCORTED ACCESS
The organization restricts unescorted access to the facility where the information system resides
to personnel with [Selection (one or more): security clearances for all information contained within
the system; formal access authorizations for all information contained within the system; need for
access to all information contained within the system; [Assignment: organization-defined
credentials]].
Due to the highly sensitive nature of classified information stored
within certain facilities, it is important that individuals lacking sufficient security clearances,
access approvals, or need to know, be escorted by individuals with appropriate credentials to
ensure that such information is not exposed or otherwise compromised. Related controls: PS2, PS-6.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
LOW PE-2
P1
PE-3
MOD PE-2
HIGH PE-2
PHYSICAL ACCESS CONTROL
Control:
a.
The organization:
Enforces physical access authorizations at [Assignment: organization-defined entry/exit points
to the facility where the information system resides] by;
1.
Verifying individual access authorizations before granting access to the facility; and
2.
Controlling ingress/egress to the facility using [Selection (one or more): [Assignment:
organization-defined physical access control systems/devices]; guards];
b.
Maintains physical access audit logs for [Assignment: organization-defined entry/exit points];
c.
Provides [Assignment: organization-defined security safeguards] to control access to areas
within the facility officially designated as publicly accessible;
d.
Escorts visitors and monitors visitor activity [Assignment: organization-defined
circumstances requiring visitor escorts and monitoring];
e.
Secures keys, combinations, and other physical access devices;
f.
Inventories [Assignment: organization-defined physical access devices] every [Assignment:
organization-defined frequency]; and
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g.
Changes combinations and keys [Assignment: organization-defined frequency] and/or when
keys are lost, combinations are compromised, or individuals are transferred or terminated.
This control applies to organizational employees and visitors. Individuals
(e.g., employees, contractors, and others) with permanent physical access authorization credentials
are not considered visitors. Organizations determine the types of facility guards needed including,
for example, professional physical security staff or other personnel such as administrative staff or
information system users. Physical access devices include, for example, keys, locks, combinations,
and card readers. Safeguards for publicly accessible areas within organizational facilities include,
for example, cameras, monitoring by guards, and isolating selected information systems and/or
system components in secured areas. Physical access control systems comply with applicable
federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The
Federal Identity, Credential, and Access Management Program provides implementation guidance
for identity, credential, and access management capabilities for physical access control systems.
Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural
(e.g., a written log of individuals accessing the facility and when such access occurred), automated
(e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points
can include facility access points, interior access points to information systems and/or components
requiring supplemental access controls, or both. Components of organizational information
systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible
with organizations safeguarding access to such devices. Related controls: AU-2, AU-6, MP-2,
MP-4, PE-2, PE-4, PE-5, PS-3, RA-3.
Supplemental Guidance:
Control Enhancements:
(1)
PHYSICAL ACCESS CONTROL | INFORMATION SYSTEM ACCESS
The organization enforces physical access authorizations to the information system in addition to
the physical access controls for the facility at [Assignment: organization-defined physical spaces
containing one or more components of the information system].
This control enhancement provides additional physical security for
those areas within facilities where there is a concentration of information system components
(e.g., server rooms, media storage areas, data and communications centers). Related control:
PS-2.
Supplemental Guidance:
(2)
PHYSICAL ACCESS CONTROL | FACILITY / INFORMATION SYSTEM BOUNDARIES
The organization performs security checks [Assignment: organization-defined frequency] at the
physical boundary of the facility or information system for unauthorized exfiltration of information
or removal of information system components.
Organizations determine the extent, frequency, and/or randomness of
security checks to adequately mitigate risk associated with exfiltration. Related controls: AC4, SC-7.
Supplemental Guidance:
(3)
PHYSICAL ACCESS CONTROL | CONTINUOUS GUARDS / ALARMS / MONITORING
The organization employs guards and/or alarms to monitor every physical access point to the
facility where the information system resides 24 hours per day, 7 days per week.
Supplemental Guidance:
(4)
Related controls: CP-6, CP-7.
PHYSICAL ACCESS CONTROL | LOCKABLE CASINGS
The organization uses lockable physical casings to protect [Assignment: organization-defined
information system components] from unauthorized physical access.
(5)
PHYSICAL ACCESS CONTROL | TAMPER PROTECTION
The organization employs [Assignment: organization-defined security safeguards] to [Selection
(one or more): detect; prevent] physical tampering or alteration of [Assignment: organizationdefined hardware components] within the information system.
Organizations may implement tamper detection/prevention at selected
hardware components or tamper detection at some components and tamper prevention at other
components. Tamper detection/prevention activities can employ many types of anti-tamper
technologies including, for example, tamper-detection seals and anti-tamper coatings. Antitamper programs help to detect hardware alterations through counterfeiting and other supply
chain-related risks. Related control: SA-12.
Supplemental Guidance:
APPENDIX F-PE
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(6)
PHYSICAL ACCESS CONTROL | FACILITY PENETRATION TESTING
The organization employs a penetration testing process that includes [Assignment: organizationdefined frequency], unannounced attempts to bypass or circumvent security controls associated
with physical access points to the facility.
Supplemental Guidance:
Related controls: CA-2, CA-7.
FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78, 800-116;
ICD 704, 705; DoD Instruction 5200.39; Personal Identity Verification (PIV) in Enterprise
Physical Access Control System (E-PACS);
Web: http://idmanagement.gov, http://fips201ep.cio.gov.
References:
Priority and Baseline Allocation:
LOW PE-3
P1
PE-4
MOD PE-3
HIGH PE-3 (1)
ACCESS CONTROL FOR TRANSMISSION MEDIUM
The organization controls physical access to [Assignment: organization-defined
information system distribution and transmission lines] within organizational facilities using
[Assignment: organization-defined security safeguards].
Control:
Physical security safeguards applied to information system distribution and
transmission lines help to prevent accidental damage, disruption, and physical tampering. In
addition, physical safeguards may be necessary to help prevent eavesdropping or in transit
modification of unencrypted transmissions. Security safeguards to control physical access to
system distribution and transmission lines include, for example: (i) locked wiring closets; (ii)
disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.
Related controls: MP-2, MP-4, PE-2, PE-3, PE-5, SC-7, SC-8.
Supplemental Guidance:
Control Enhancements:
References:
None.
NSTISSI No. 7003.
Priority and Baseline Allocation:
LOW Not Selected
P1
PE-5
MOD PE-4
HIGH PE-4
ACCESS CONTROL FOR OUTPUT DEVICES
The organization controls physical access to information system output devices to prevent
unauthorized individuals from obtaining the output.
Control:
Controlling physical access to output devices includes, for example,
placing output devices in locked rooms or other secured areas and allowing access to authorized
individuals only, and placing output devices in locations that can be monitored by organizational
personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are
examples of information system output devices. Related controls: PE-2, PE-3, PE-4, PE-18.
Supplemental Guidance:
Control Enhancements:
(1)
ACCESS CONTROL FOR OUTPUT DEVICES
| ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS
The organization:
(a)
Controls physical access to output from [Assignment: organization-defined output devices];
and
(b) Ensures that only authorized individuals receive output from the device.
APPENDIX F-PE
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Controlling physical access to selected output devices includes, for
example, placing printers, copiers, and facsimile machines in controlled areas with keypad
access controls or limiting access to individuals with certain types of badges.
Supplemental Guidance:
(2)
ACCESS CONTROL FOR OUTPUT DEVICES
| ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY
The information system:
(a)
Controls physical access to output from [Assignment: organization-defined output devices];
and
(b) Links individual identity to receipt of the output from the device.
Controlling physical access to selected output devices includes, for
example, installing security functionality on printers, copiers, and facsimile machines that
allows organizations to implement authentication (e.g., using a PIN or hardware token) on
output devices prior to the release of output to individuals.
Supplemental Guidance:
(3)
ACCESS CONTROL FOR OUTPUT DEVICES
| MARKING OUTPUT DEVICES
The organization marks [Assignment: organization-defined information system output devices]
indicating the appropriate security marking of the information permitted to be output from the
device.
Outputs devices include, for example, printers, monitors, facsimile
machines, scanners, copiers, and audio devices. This control enhancement is generally
applicable to information system output devices other than mobiles devices.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P2
PE-6
LOW Not Selected
MOD PE-5
HIGH PE-5
MONITORING PHYSICAL ACCESS
Control:
The organization:
a.
Monitors physical access to the facility where the information system resides to detect and
respond to physical security incidents;
b.
Reviews physical access logs [Assignment: organization-defined frequency] and upon
occurrence of [Assignment: organization-defined events or potential indications of events];
and
c.
Coordinates results of reviews and investigations with the organizational incident response
capability.
Organizational incident response capabilities include investigations of and
responses to detected physical security incidents. Security incidents include, for example, apparent
security violations or suspicious physical access activities. Suspicious physical access activities
include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not
normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.
Related controls: CA-7, IR-4, IR-8.
Supplemental Guidance:
Control Enhancements:
(1)
MONITORING PHYSICAL ACCESS | INTRUSION ALARMS / SURVEILLANCE EQUIPMENT
The organization monitors physical intrusion alarms and surveillance equipment.
(2)
MONITORING PHYSICAL ACCESS | AUTOMATED INTRUSION RECOGNITION / RESPONSES
The organization employs automated mechanisms to recognize [Assignment: organization-defined
classes/types of intrusions] and initiate [Assignment: organization-defined response actions].
Supplemental Guidance:
APPENDIX F-PE
Related control: SI-4.
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(3)
MONITORING PHYSICAL ACCESS | VIDEO SURVEILLANCE
The organization employs video surveillance of [Assignment: organization-defined operational
areas] and retains video recordings for [Assignment: organization-defined time period].
Supplemental Guidance: This control enhancement focuses on recording surveillance video
for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by
other means). It does not require monitoring surveillance video although organizations may
choose to do so. Note that there may be legal considerations when performing and retaining
video surveillance, especially if such surveillance is in a public location.
(4)
MONITORING PHYSICAL ACCESS | MONITORING PHYSICAL ACCESS TO INFORMATION SYSTEMS
The organization monitors physical access to the information system in addition to the physical
access monitoring of the facility as [Assignment: organization-defined physical spaces containing
one or more components of the information system].
This control enhancement provides additional monitoring for those
areas within facilities where there is a concentration of information system components (e.g.,
server rooms, media storage areas, communications centers). Related controls: PS-2, PS-3.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
PE-7
LOW PE-6
MOD PE-6 (1)
HIGH PE-6 (1) (4)
VISITOR CONTROL
[Withdrawn: Incorporated into PE-2 and PE-3].
PE-8
VISITOR ACCESS RECORDS
Control:
The organization:
a.
Maintains visitor access records to the facility where the information system resides for
[Assignment: organization-defined time period]; and
b.
Reviews visitor access records [Assignment: organization-defined frequency].
Visitor access records include, for example, names and organizations of
persons visiting, visitor signatures, forms of identification, dates of access, entry and departure
times, purposes of visits, and names and organizations of persons visited. Visitor access records
are not required for publicly accessible areas.
Supplemental Guidance:
Control Enhancements:
(1)
VISITOR ACCESS RECORDS | AUTOMATED RECORDS MAINTENANCE / REVIEW
The organization employs automated mechanisms to facilitate the maintenance and review of
visitor access records.
(2)
VISITOR ACCESS RECORDS | PHYSICAL ACCESS RECORDS
[Withdrawn: Incorporated into PE-2].
References:
None.
Priority and Baseline Allocation:
P3
APPENDIX F-PE
LOW PE-8
MOD PE-8
HIGH PE-8 (1)
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PE-9
POWER EQUIPMENT AND CABLING
The organization protects power equipment and power cabling for the information system
from damage and destruction.
Control:
Organizations determine the types of protection necessary for power
equipment and cabling employed at different locations both internal and external to organizational
facilities and environments of operation. This includes, for example, generators and power cabling
outside of buildings, internal cabling and uninterruptable power sources within an office or data
center, and power sources for self-contained entities such as vehicles and satellites. Related
control: PE-4.
Supplemental Guidance:
Control Enhancements:
(1)
POWER EQUIPMENT AND CABLING | REDUNDANT CABLING
The organization employs redundant power cabling paths that are physically separated by
[Assignment: organization-defined distance].
Physically separate, redundant power cables help to ensure that power
continues to flow in the event one of the cables is cut or otherwise damaged.
Supplemental Guidance:
(2)
POWER EQUIPMENT AND CABLING | AUTOMATIC VOLTAGE CONTROLS
The organization employs automatic voltage controls for [Assignment: organization-defined critical
information system components].
References:
None.
Priority and Baseline Allocation:
P1
PE-10
LOW Not Selected
MOD PE-9
HIGH PE-9
EMERGENCY SHUTOFF
Control:
The organization:
a.
Provides the capability of shutting off power to the information system or individual system
components in emergency situations;
b.
Places emergency shutoff switches or devices in [Assignment: organization-defined location
by information system or system component] to facilitate safe and easy access for personnel;
and
c.
Protects emergency power shutoff capability from unauthorized activation.
This control applies primarily to facilities containing concentrations of
information system resources including, for example, data centers, server rooms, and mainframe
computer rooms. Related control: PE-15.
Supplemental Guidance:
Control Enhancements:
(1)
EMERGENCY SHUTOFF | ACCIDENTAL / UNAUTHORIZED ACTIVATION
[Withdrawn: Incorporated into PE-10].
References:
None.
Priority and Baseline Allocation:
P1
APPENDIX F-PE
LOW Not Selected
MOD PE-10
HIGH PE-10
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PE-11
EMERGENCY POWER
The organization provides a short-term uninterruptible power supply to facilitate
[Selection (one or more): an orderly shutdown of the information system; transition of the
information system to long-term alternate power] in the event of a primary power source loss.
Control:
Supplemental Guidance:
Related controls: AT-3, CP-2, CP-7.
Control Enhancements:
(1)
| LONG-TERM ALTERNATE POWER SUPPLY - MINIMAL OPERATIONAL CAPABILITY
The organization provides a long-term alternate power supply for the information system that is
capable of maintaining minimally required operational capability in the event of an extended loss of
the primary power source.
EMERGENCY POWER
This control enhancement can be satisfied, for example, by the use of a
secondary commercial power supply or other external power supply. Long-term alternate
power supplies for the information system can be either manually or automatically activated.
Supplemental Guidance:
(2)
| LONG-TERM ALTERNATE POWER SUPPLY - SELF-CONTAINED
The organization provides a long-term alternate power supply for the information system that is:
EMERGENCY POWER
(a)
Self-contained;
(b) Not reliant on external power generation; and
(c)
Capable of maintaining [Selection: minimally required operational capability; full operational
capability] in the event of an extended loss of the primary power source.
This control enhancement can be satisfied, for example, by the use of
one or more generators with sufficient capacity to meet the needs of the organization. Longterm alternate power supplies for organizational information systems are either manually or
automatically activated.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
PE-12
LOW Not Selected
MOD PE-11
HIGH PE-11 (1)
EMERGENCY LIGHTING
The organization employs and maintains automatic emergency lighting for the
information system that activates in the event of a power outage or disruption and that covers
emergency exits and evacuation routes within the facility.
Control:
This control applies primarily to facilities containing concentrations of
information system resources including, for example, data centers, server rooms, and mainframe
computer rooms. Related controls: CP-2, CP-7.
Supplemental Guidance:
Control Enhancements:
(1)
EMERGENCY LIGHTING
| ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
The organization provides emergency lighting for all areas within the facility supporting essential
missions and business functions.
References:
None.
Priority and Baseline Allocation:
P1
APPENDIX F-PE
LOW PE-12
MOD PE-12
HIGH PE-12
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PE-13
FIRE PROTECTION
The organization employs and maintains fire suppression and detection devices/systems
for the information system that are supported by an independent energy source.
Control:
This control applies primarily to facilities containing concentrations of
information system resources including, for example, data centers, server rooms, and mainframe
computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler
systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
Supplemental Guidance:
Control Enhancements:
(1)
FIRE PROTECTION | DETECTION DEVICES / SYSTEMS
The organization employs fire detection devices/systems for the information system that activate
automatically and notify [Assignment: organization-defined personnel or roles] and [Assignment:
organization-defined emergency responders] in the event of a fire.
Organizations can identify specific personnel, roles, and emergency
responders in the event that individuals on the notification list must have appropriate access
authorizations and/or clearances, for example, to obtain access to facilities where classified
operations are taking place or where there are information systems containing classified
information.
Supplemental Guidance:
(2)
FIRE PROTECTION | SUPPRESSION DEVICES / SYSTEMS
The organization employs fire suppression devices/systems for the information system that
provide automatic notification of any activation to Assignment: organization-defined personnel or
roles] and [Assignment: organization-defined emergency responders].
Organizations can identify specific personnel, roles, and emergency
responders in the event that individuals on the notification list must have appropriate access
authorizations and/or clearances, for example, to obtain access to facilities where classified
operations are taking place or where there are information systems containing classified
information.
Supplemental Guidance:
(3)
FIRE PROTECTION | AUTOMATIC FIRE SUPPRESSION
The organization employs an automatic fire suppression capability for the information system
when the facility is not staffed on a continuous basis.
(4)
FIRE PROTECTION | INSPECTIONS
The organization ensures that the facility undergoes [Assignment: organization-defined frequency]
inspections by authorized and qualified inspectors and resolves identified deficiencies within
[Assignment: organization-defined time period].
References:
None.
Priority and Baseline Allocation:
P1
PE-14
LOW PE-13
MOD PE-13 (3)
HIGH PE-13 (1) (2) (3)
TEMPERATURE AND HUMIDITY CONTROLS
Control:
The organization:
a.
Maintains temperature and humidity levels within the facility where the information system
resides at [Assignment: organization-defined acceptable levels]; and
b.
Monitors temperature and humidity levels [Assignment: organization-defined frequency].
This control applies primarily to facilities containing concentrations of
information system resources, for example, data centers, server rooms, and mainframe computer
rooms. Related control: AT-3.
Supplemental Guidance:
APPENDIX F-PE
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________________________________________________________________________________________________
Control Enhancements:
(1)
TEMPERATURE AND HUMIDITY CONTROLS | AUTOMATIC CONTROLS
The organization employs automatic temperature and humidity controls in the facility to prevent
fluctuations potentially harmful to the information system.
(2)
TEMPERATURE AND HUMIDITY CONTROLS | MONITORING WITH ALARMS / NOTIFICATIONS
The organization employs temperature and humidity monitoring that provides an alarm or
notification of changes potentially harmful to personnel or equipment.
References:
None.
Priority and Baseline Allocation:
P1
PE-15
LOW PE-14
MOD PE-14
HIGH PE-14
WATER DAMAGE PROTECTION
The organization protects the information system from damage resulting from water
leakage by providing master shutoff or isolation valves that are accessible, working properly, and
known to key personnel.
Control:
This control applies primarily to facilities containing concentrations of
information system resources including, for example, data centers, server rooms, and mainframe
computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff
valves to shut off water supplies in specific areas of concern, without affecting entire
organizations. Related control: AT-3.
Supplemental Guidance:
Control Enhancements:
(1)
WATER DAMAGE PROTECTION | AUTOMATION SUPPORT
The organization employs automated mechanisms to detect the presence of water in the vicinity of
the information system and alerts [Assignment: organization-defined personnel or roles].
Automated mechanisms can include, for example, water detection
sensors, alarms, and notification systems.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
PE-16
LOW PE-15
MOD PE-15
HIGH PE-15 (1)
DELIVERY AND REMOVAL
The organization authorizes, monitors, and controls [Assignment: organization-defined
types of information system components] entering and exiting the facility and maintains records of
those items.
Control:
Effectively enforcing authorizations for entry and exit of information
system components may require restricting access to delivery areas and possibly isolating the
areas from the information system and media libraries. Related controls: CM-3, MA-2, MA-3,
MP-5, SA-12.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX F-PE
None.
None.
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Priority and Baseline Allocation:
P2
PE-17
LOW PE-16
MOD PE-16
HIGH PE-16
ALTERNATE WORK SITE
Control:
The organization:
a.
Employs [Assignment: organization-defined security controls] at alternate work sites;
b.
Assesses as feasible, the effectiveness of security controls at alternate work sites; and
c.
Provides a means for employees to communicate with information security personnel in case
of security incidents or problems.
Alternate work sites may include, for example, government facilities or
private residences of employees. While commonly distinct from alternative processing sites,
alternate work sites may provide readily available alternate locations as part of contingency
operations. Organizations may define different sets of security controls for specific alternate work
sites or types of sites depending on the work-related activities conducted at those sites. This
control supports the contingency planning activities of organizations and the federal telework
initiative. Related controls: AC-17, CP-7.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publication 800-46.
Priority and Baseline Allocation:
P2
PE-18
LOW Not Selected
MOD PE-17
HIGH PE-17
LOCATION OF INFORMATION SYSTEM COMPONENTS
The organization positions information system components within the facility to minimize
potential damage from [Assignment: organization-defined physical and environmental hazards]
and to minimize the opportunity for unauthorized access.
Control:
Physical and environmental hazards include, for example, flooding, fire,
tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical
interference, and other forms of incoming electromagnetic radiation. In addition, organizations
consider the location of physical entry points where unauthorized individuals, while not being
granted access, might nonetheless be in close proximity to information systems and therefore
increase the potential for unauthorized access to organizational communications (e.g., through the
use of wireless sniffers or microphones). Related controls: CP-2, PE-19, RA-3.
Supplemental Guidance:
Control Enhancements:
(1)
LOCATION OF INFORMATION SYSTEM COMPONENTS | FACILITY SITE
The organization plans the location or site of the facility where the information system resides with
regard to physical and environmental hazards and for existing facilities, considers the physical and
environmental hazards in its risk mitigation strategy.
Supplemental Guidance:
References:
Related control: PM-8.
None.
Priority and Baseline Allocation:
P3
APPENDIX F-PE
LOW Not Selected
MOD Not Selected
HIGH PE-18
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PE-19
INFORMATION LEAKAGE
The organization protects the information system from information leakage due to
electromagnetic signals emanations.
Control:
Information leakage is the intentional or unintentional release of
information to an untrusted environment from electromagnetic signals emanations. Security
categories or classifications of information systems (with respect to confidentiality) and
organizational security policies guide the selection of security controls employed to protect
systems against information leakage due to electromagnetic signals emanations.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION LEAKAGE | NATIONAL EMISSIONS / TEMPEST POLICIES AND PROCEDURES
The organization ensures that information system components, associated data communications,
and networks are protected in accordance with national emissions and TEMPEST policies and
procedures based on the security category or classification of the information.
References:
FIPS Publication 199.
Priority and Baseline Allocation:
P0
PE-20
LOW Not Selected
MOD Not Selected
HIGH Not Selected
ASSET MONITORING AND TRACKING
Control:
The organization:
a.
Employs [Assignment: organization-defined asset location technologies] to track and monitor
the location and movement of [Assignment: organization-defined assets] within [Assignment:
organization-defined controlled areas]; and
b.
Ensures that asset location technologies are employed in accordance with applicable federal
laws, Executive Orders, directives, regulations, policies, standards, and guidance.
Asset location technologies can help organizations ensure that critical
assets such as vehicles or essential information system components remain in authorized locations.
Organizations consult with the Office of the General Counsel and the Senior Agency Official for
Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location
technologies to address potential privacy concerns. Related control: CM-8.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
APPENDIX F-PE
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PAGE F-138
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FAMILY: PLANNING
PL-1
SECURITY PLANNING POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A security planning policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the security planning policy and associated
security planning controls; and
Reviews and updates the current:
1.
Security planning policy [Assignment: organization-defined frequency]; and
2.
Security planning procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the PL family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-18, 800-100.
Priority and Baseline Allocation:
LOW PL-1
P1
PL-2
MOD PL-1
HIGH PL-1
SYSTEM SECURITY PLAN
Control:
a.
APPENDIX F-PL
The organization:
Develops a security plan for the information system that:
1.
Is consistent with the organization’s enterprise architecture;
2.
Explicitly defines the authorization boundary for the system;
3.
Describes the operational context of the information system in terms of missions and
business processes;
4.
Provides the security categorization of the information system including supporting
rationale;
5.
Describes the operational environment for the information system and relationships with
or connections to other information systems;
6.
Provides an overview of the security requirements for the system;
7.
Identifies any relevant overlays, if applicable;
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8.
Describes the security controls in place or planned for meeting those requirements
including a rationale for the tailoring decisions; and
9.
Is reviewed and approved by the authorizing official or designated representative prior to
plan implementation;
b.
Distributes copies of the security plan and communicates subsequent changes to the plan to
[Assignment: organization-defined personnel or roles];
c.
Reviews the security plan for the information system [Assignment: organization-defined
frequency];
d.
Updates the plan to address changes to the information system/environment of operation or
problems identified during plan implementation or security control assessments; and
e.
Protects the security plan from unauthorized disclosure and modification.
Security plans relate security requirements to a set of security controls and
control enhancements. Security plans also describe, at a high level, how the security controls and
control enhancements meet those security requirements, but do not provide detailed, technical
descriptions of the specific design or implementation of the controls/enhancements. Security plans
contain sufficient information (including the specification of parameter values for assignment and
selection statements either explicitly or by reference) to enable a design and implementation that is
unambiguously compliant with the intent of the plans and subsequent determinations of risk to
organizational operations and assets, individuals, other organizations, and the Nation if the plan is
implemented as intended. Organizations can also apply tailoring guidance to the security control
baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use
or to address specialized requirements, technologies, or missions/environments of operation (e.g.,
DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access
Management, space operations). Appendix I provides guidance on developing overlays.
Supplemental Guidance:
Security plans need not be single documents; the plans can be a collection of various documents
including documents that already exist. Effective security plans make extensive use of references
to policies, procedures, and additional documents (e.g., design and implementation specifications)
where more detailed information can be obtained. This reduces the documentation requirements
associated with security programs and maintains security-related information in other established
management/operational areas related to enterprise architecture, system development life cycle,
systems engineering, and acquisition. For example, security plans do not contain detailed
contingency plan or incident response plan information but instead provide explicitly or by
reference, sufficient information to define what needs to be accomplished by those plans. Related
controls: AC-2, AC-6, AC-14, AC-17, AC-20, CA-2, CA-3, CA-7, CM-9, CP-2, IR-8, MA-4,
MA-5, MP-2, MP-4, MP-5, PL-7, PM-1, PM-7, PM-8, PM-9, PM-11, SA-5, SA-17.
Control Enhancements:
(1)
SYSTEM SECURITY PLAN | CONCEPT OF OPERATIONS
[Withdrawn: Incorporated into PL-7].
(2)
SYSTEM SECURITY PLAN | FUNCTIONAL ARCHITECTURE
(3)
SYSTEM SECURITY PLAN | PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
[Withdrawn: Incorporated into PL-8].
The organization plans and coordinates security-related activities affecting the information system
with [Assignment: organization-defined individuals or groups] before conducting such activities in
order to reduce the impact on other organizational entities.
Security-related activities include, for example, security assessments,
audits, hardware and software maintenance, patch management, and contingency plan testing.
Advance planning and coordination includes emergency and nonemergency (i.e., planned or
nonurgent unplanned) situations. The process defined by organizations to plan and coordinate
security-related activities can be included in security plans for information systems or other
documents, as appropriate. Related controls: CP-4, IR-4.
Supplemental Guidance:
APPENDIX F-PL
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________________________________________________________________________________________________
References:
NIST Special Publication 800-18.
Priority and Baseline Allocation:
P1
PL-3
LOW PL-2
MOD PL-2 (3)
HIGH PL-2 (3)
SYSTEM SECURITY PLAN UPDATE
[Withdrawn: Incorporated into PL-2].
PL-4
RULES OF BEHAVIOR
Control:
The organization:
a.
Establishes and makes readily available to individuals requiring access to the information
system, the rules that describe their responsibilities and expected behavior with regard to
information and information system usage;
b.
Receives a signed acknowledgment from such individuals, indicating that they have read,
understand, and agree to abide by the rules of behavior, before authorizing access to
information and the information system;
c.
Reviews and updates the rules of behavior [Assignment: organization-defined frequency]; and
d.
Requires individuals who have signed a previous version of the rules of behavior to read and
re-sign when the rules of behavior are revised/updated.
This control enhancement applies to organizational users. Organizations
consider rules of behavior based on individual user roles and responsibilities, differentiating, for
example, between rules that apply to privileged users and rules that apply to general users.
Establishing rules of behavior for some types of non-organizational users including, for example,
individuals who simply receive data/information from federal information systems, is often not
feasible given the large number of such users and the limited nature of their interactions with the
systems. Rules of behavior for both organizational and non-organizational users can also be
established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this
control) may be satisfied by the security awareness training and role-based security training
programs conducted by organizations if such training includes rules of behavior. Organizations
can use electronic signatures for acknowledging rules of behavior. Related controls: AC-2, AC-6,
AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6,
PS-8, SA-5.
Supplemental Guidance:
Control Enhancements:
(1)
RULES OF BEHAVIOR | SOCIAL MEDIA AND NETWORKING RESTRICTIONS
The organization includes in the rules of behavior, explicit restrictions on the use of social
media/networking sites and posting organizational information on public websites.
This control enhancement addresses rules of behavior related to the
use of social media/networking sites: (i) when organizational personnel are using such sites
for official duties or in the conduct of official business; (ii) when organizational information
is involved in social media/networking transactions; and (iii) when personnel are accessing
social media/networking sites from organizational information systems. Organizations also
address specific rules that prevent unauthorized entities from obtaining and/or inferring nonpublic organizational information (e.g., system account information, personally identifiable
information) from social media/networking sites.
Supplemental Guidance:
References:
APPENDIX F-PL
NIST Special Publication 800-18.
PAGE F-141
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Priority and Baseline Allocation:
LOW PL-4
P2
PL-5
MOD PL-4 (1)
HIGH PL-4 (1)
PRIVACY IMPACT ASSESSMENT
[Withdrawn: Incorporated into Appendix J, AR-2].
PL-6
SECURITY-RELATED ACTIVITY PLANNING
[Withdrawn: Incorporated into PL-2].
PL-7
SECURITY CONCEPT OF OPERATIONS
Control:
The organization:
a.
Develops a security Concept of Operations (CONOPS) for the information system containing
at a minimum, how the organization intends to operate the system from the perspective of
information security; and
b.
Reviews and updates the CONOPS [Assignment: organization-defined frequency].
The security CONOPS may be included in the security plan for the
information system or in other system development life cycle-related documents, as appropriate.
Changes to the CONOPS are reflected in ongoing updates to the security plan, the information
security architecture, and other appropriate organizational documents (e.g., security specifications
for procurements/acquisitions, system development life cycle documents, and systems/security
engineering documents). Related control: PL-2.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
LOW Not Selected
P0
PL-8
MOD Not Selected
HIGH Not Selected
INFORMATION SECURITY ARCHITECTURE
Control:
a.
b.
APPENDIX F-PL
The organization:
Develops an information security architecture for the information system that:
1.
Describes the overall philosophy, requirements, and approach to be taken with regard to
protecting the confidentiality, integrity, and availability of organizational information;
2.
Describes how the information security architecture is integrated into and supports the
enterprise architecture; and
3.
Describes any information security assumptions about, and dependencies on, external
services;
Reviews and updates the information security architecture [Assignment: organization-defined
frequency] to reflect updates in the enterprise architecture; and
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c.
Ensures that planned information security architecture changes are reflected in the security
plan, the security Concept of Operations (CONOPS), and organizational
procurements/acquisitions.
This control addresses actions taken by organizations in the design and
development of information systems. The information security architecture at the individual
information system level is consistent with and complements the more global, organization-wide
information security architecture described in PM-7 that is integral to and developed as part of the
enterprise architecture. The information security architecture includes an architectural description,
the placement/allocation of security functionality (including security controls), security-related
information for external interfaces, information being exchanged across the interfaces, and the
protection mechanisms associated with each interface. In addition, the security architecture can
include other important security-related information, for example, user roles and access privileges
assigned to each role, unique security requirements, the types of information processed, stored,
and transmitted by the information system, restoration priorities of information and information
system services, and any other specific protection needs.
Supplemental Guidance:
In today’s modern architecture, it is becoming less common for organizations to control all
information resources. There are going to be key dependencies on external information services
and service providers. Describing such dependencies in the information security architecture is
important to developing a comprehensive mission/business protection strategy. Establishing,
developing, documenting, and maintaining under configuration control, a baseline configuration
for organizational information systems is critical to implementing and maintaining an effective
information security architecture. The development of the information security architecture is
coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to
ensure that security controls needed to support privacy requirements are identified and effectively
implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure
that organizations develop an information security architecture for the information system, and
that the security architecture is integrated with or tightly coupled to the enterprise architecture
through the organization-wide information security architecture. In contrast, SA-17 is primarily
directed at external information technology product/system developers and integrators (although
SA-17 could be used internally within organizations for in-house system development). SA-17,
which is complementary to PL-8, is selected when organizations outsource the development of
information systems or information system components to external entities, and there is a need to
demonstrate/show consistency with the organization’s enterprise architecture and information
security architecture. Related controls: CM-2, CM-6, PL-2, PM-7, SA-5, SA-17, Appendix J.
Control Enhancements:
(1)
INFORMATION SECURITY ARCHITECTURE | DEFENSE-IN-DEPTH
The organization designs its security architecture using a defense-in-depth approach that:
(a)
Allocates [Assignment: organization-defined security safeguards] to [Assignment:
organization-defined locations and architectural layers]; and
(b) Ensures that the allocated security safeguards operate in a coordinated and mutually
reinforcing manner.
Organizations strategically allocate security safeguards (procedural,
technical, or both) in the security architecture so that adversaries have to overcome multiple
safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms
makes it more difficult to successfully attack critical information resources (i.e., increases
adversary work factor) and also increases the likelihood of detection. The coordination of
allocated safeguards is essential to ensure that an attack that involves one safeguard does not
create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with
another safeguard. Placement of security safeguards is a key activity. Greater asset criticality
or information value merits additional layering. Thus, an organization may choose to place
anti-virus software at organizational boundary layers, email/web servers, notebook computers,
and workstations to maximize the number of related safeguards adversaries must penetrate
before compromising the information and information systems. Related controls: SC-29, SC36.
Supplemental Guidance:
APPENDIX F-PL
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(2)
INFORMATION SECURITY ARCHITECTURE | SUPPLIER DIVERSITY
The organization requires that [Assignment: organization-defined security safeguards] allocated to
[Assignment: organization-defined locations and architectural layers] are obtained from different
suppliers.
Different information technology products have different strengths and
weaknesses. Providing a broad spectrum of products complements the individual offerings.
For example, vendors offering malicious code protection typically update their products at
different times, often developing solutions for known viruses, Trojans, or worms according to
their priorities and development schedules. By having different products at different locations
(e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect
the malicious code. Related control: SA-12.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
PL-9
LOW Not Selected
MOD PL-8
HIGH PL-8
CENTRAL MANAGEMENT
Control: The organization centrally manages [Assignment: organization-defined security controls
and related processes].
Central management refers to the organization-wide management and
implementation of selected security controls and related processes. Central management includes
planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally
managed security controls and processes. As central management of security controls is generally
associated with common controls, such management promotes and facilitates standardization of
security control implementations and management and judicious use of organizational resources.
Centrally-managed security controls and processes may also meet independence requirements for
assessments in support of initial and ongoing authorizations to operate as part of organizational
continuous monitoring. As part of the security control selection process, organizations determine
which controls may be suitable for central management based on organizational resources and
capabilities. Organizations consider that it may not always be possible to centrally manage every
aspect of a security control. In such cases, the security control is treated as a hybrid control with
the control managed and implemented either centrally or at the information system level. Controls
and control enhancements that are candidates for full or partial central management include, but
are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4);
AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1)
(4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all);
SC-43; SI-2; SI-3; SI-7; and SI-8.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publication 800-37.
Priority and Baseline Allocation:
P0
APPENDIX F-PL
LOW Not Selected
MOD Not Selected
HIGH Not Selected
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FAMILY: PERSONNEL SECURITY
PS-1
PERSONNEL SECURITY POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A personnel security policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the personnel security policy and
associated personnel security controls; and
Reviews and updates the current:
1.
Personnel security policy [Assignment: organization-defined frequency]; and
2.
Personnel security procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the PS family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
PS-2
LOW PS-1
MOD PS-1
HIGH PS-1
POSITION RISK DESIGNATION
Control:
The organization:
a.
Assigns a risk designation to all organizational positions;
b.
Establishes screening criteria for individuals filling those positions; and
c.
Reviews and updates position risk designations [Assignment: organization-defined
frequency].
Position risk designations reflect Office of Personnel Management policy
and guidance. Risk designations can guide and inform the types of authorizations individuals
receive when accessing organizational information and information systems. Position screening
criteria include explicit information security role appointment requirements (e.g., training, security
clearances). Related controls: AT-3, PL-2, PS-3.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX F-PS
None.
5 C.F.R. 731.106.
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Priority and Baseline Allocation:
LOW PS-2
P1
PS-3
MOD PS-2
HIGH PS-2
PERSONNEL SCREENING
Control:
The organization:
a.
Screens individuals prior to authorizing access to the information system; and
b.
Rescreens individuals according to [Assignment: organization-defined conditions requiring
rescreening and, where rescreening is so indicated, the frequency of such rescreening].
Personnel screening and rescreening activities reflect applicable federal
laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria
established for the risk designations of assigned positions. Organizations may define different
rescreening conditions and frequencies for personnel accessing information systems based on
types of information processed, stored, or transmitted by the systems. Related controls: AC-2, IA4, PE-2, PS-2.
Supplemental Guidance:
Control Enhancements:
(1)
PERSONNEL SCREENING | CLASSIFIED INFORMATION
The organization ensures that individuals accessing an information system processing, storing, or
transmitting classified information are cleared and indoctrinated to the highest classification level
of the information to which they have access on the system.
Supplemental Guidance:
(2)
Related controls: AC-3, AC-4.
PERSONNEL SCREENING | FORMAL INDOCTRINATION
The organization ensures that individuals accessing an information system processing, storing, or
transmitting types of classified information which require formal indoctrination, are formally
indoctrinated for all of the relevant types of information to which they have access on the system.
Types of classified information requiring formal indoctrination
include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive
Compartment Information (SCI). Related controls: AC-3, AC-4.
Supplemental Guidance:
(3)
PERSONNEL SCREENING | INFORMATION WITH SPECIAL PROTECTION MEASURES
The organization ensures that individuals accessing an information system processing, storing, or
transmitting information requiring special protection:
(a)
Have valid access authorizations that are demonstrated by assigned official government
duties; and
(b) Satisfy [Assignment: organization-defined additional personnel screening criteria].
Organizational information requiring special protection includes, for
example, Controlled Unclassified Information (CUI) and Sources and Methods Information
(SAMI). Personnel security criteria include, for example, position sensitivity background
screening requirements.
Supplemental Guidance:
5 C.F.R. 731.106; FIPS Publications 199, 201; NIST Special Publications 800-60,
800-73, 800-76, 800-78; ICD 704.
References:
Priority and Baseline Allocation:
P1
APPENDIX F-PS
LOW PS-3
MOD PS-3
HIGH PS-3
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PS-4
PERSONNEL TERMINATION
Control:
The organization, upon termination of individual employment:
a.
Disables information system access within [Assignment: organization-defined time period];
b.
Terminates/revokes any authenticators/credentials associated with the individual;
c.
Conducts exit interviews that include a discussion of [Assignment: organization-defined
information security topics];
d.
Retrieves all security-related organizational information system-related property;
e.
Retains access to organizational information and information systems formerly controlled by
terminated individual; and
f.
Notifies [Assignment: organization-defined personnel or roles] within [Assignment:
organization-defined time period].
Information system-related property includes, for example, hardware
authentication tokens, system administration technical manuals, keys, identification cards, and
building passes. Exit interviews ensure that terminated individuals understand the security
constraints imposed by being former employees and that proper accountability is achieved for
information system-related property. Security topics of interest at exit interviews can include, for
example, reminding terminated individuals of nondisclosure agreements and potential limitations
on future employment. Exit interviews may not be possible for some terminated individuals, for
example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit
interviews are important for individuals with security clearances. Timely execution of termination
actions is essential for individuals terminated for cause. In certain situations, organizations
consider disabling the information system accounts of individuals that are being terminated prior
to the individuals being notified. Related controls: AC-2, IA-4, PE-2, PS-5, PS-6.
Supplemental Guidance:
Control Enhancements:
(1)
PERSONNEL TERMINATION | POST-EMPLOYMENT REQUIREMENTS
The organization:
(a)
Notifies terminated individuals of applicable, legally binding post-employment requirements
for the protection of organizational information; and
(b) Requires terminated individuals to sign an acknowledgment of post-employment
requirements as part of the organizational termination process.
Organizations consult with the Office of the General Counsel
regarding matters of post-employment requirements on terminated individuals.
Supplemental Guidance:
(2)
PERSONNEL TERMINATION | AUTOMATED NOTIFICATION
The organization employs automated mechanisms to notify [Assignment: organization-defined
personnel or roles] upon termination of an individual.
In organizations with a large number of employees, not all personnel
who need to know about termination actions receive the appropriate notifications—or, if such
notifications are received, they may not occur in a timely manner. Automated mechanisms
can be used to send automatic alerts or notifications to specific organizational personnel or
roles (e.g., management personnel, supervisors, personnel security officers, information
security officers, systems administrators, or information technology administrators) when
individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety
of ways, including, for example, telephonically, via electronic mail, via text message, or via
websites.
Supplemental Guidance:
References:
APPENDIX F-PS
None.
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Priority and Baseline Allocation:
LOW PS-4
P1
PS-5
MOD PS-4
HIGH PS-4 (2)
PERSONNEL TRANSFER
Control:
The organization:
a.
Reviews and confirms ongoing operational need for current logical and physical access
authorizations to information systems/facilities when individuals are reassigned or transferred
to other positions within the organization;
b.
Initiates [Assignment: organization-defined transfer or reassignment actions] within
[Assignment: organization-defined time period following the formal transfer action];
c.
Modifies access authorization as needed to correspond with any changes in operational need
due to reassignment or transfer; and
d.
Notifies [Assignment: organization-defined personnel or roles] within [Assignment:
organization-defined time period].
This control applies when reassignments or transfers of individuals are
permanent or of such extended durations as to make the actions warranted. Organizations define
actions appropriate for the types of reassignments or transfers, whether permanent or extended.
Actions that may be required for personnel transfers or reassignments to other positions within
organizations include, for example: (i) returning old and issuing new keys, identification cards,
and building passes; (ii) closing information system accounts and establishing new accounts; (iii)
changing information system access authorizations (i.e., privileges); and (iv) providing for access
to official records to which individuals had access at previous work locations and in previous
information system accounts. Related controls: AC-2, IA-4, PE-2, PS-4.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
LOW PS-5
P2
PS-6
MOD PS-5
HIGH PS-5
ACCESS AGREEMENTS
Control:
The organization:
a.
Develops and documents access agreements for organizational information systems;
b.
Reviews and updates the access agreements [Assignment: organization-defined frequency];
and
c.
Ensures that individuals requiring access to organizational information and information
systems:
1.
Sign appropriate access agreements prior to being granted access; and
2.
Re-sign access agreements to maintain access to organizational information systems
when access agreements have been updated or [Assignment: organization-defined
frequency].
Supplemental Guidance:
Access agreements include, for example, nondisclosure agreements,
acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access
agreements include an acknowledgement that individuals have read, understand, and agree to
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abide by the constraints associated with organizational information systems to which access is
authorized. Organizations can use electronic signatures to acknowledge access agreements unless
specifically prohibited by organizational policy. Related control: PL-4, PS-2, PS-3, PS-4, PS-8.
Control Enhancements:
(1)
ACCESS AGREEMENTS | INFORMATION REQUIRING SPECIAL PROTECTION
[Withdrawn: Incorporated into PS-3].
(2)
ACCESS AGREEMENTS | CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION
The organization ensures that access to classified information requiring special protection is
granted only to individuals who:
(a)
Have a valid access authorization that is demonstrated by assigned official government
duties;
(b) Satisfy associated personnel security criteria; and
(c)
Have read, understood, and signed a nondisclosure agreement.
Classified information requiring special protection includes, for
example, collateral information, Special Access Program (SAP) information, and Sensitive
Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws,
Executive Orders, directives, regulations, policies, standards, and guidance.
Supplemental Guidance:
(3)
ACCESS AGREEMENTS | POST-EMPLOYMENT REQUIREMENTS
The organization:
(a)
Notifies individuals of applicable, legally binding post-employment requirements for
protection of organizational information; and
(b) Requires individuals to sign an acknowledgment of these requirements, if applicable, as part
of granting initial access to covered information.
Organizations consult with the Office of the General Counsel
regarding matters of post-employment requirements on terminated individuals.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P3
PS-7
LOW PS-6
MOD PS-6
HIGH PS-6
THIRD-PARTY PERSONNEL SECURITY
Control:
The organization:
a.
Establishes personnel security requirements including security roles and responsibilities for
third-party providers;
b.
Requires third-party providers to comply with personnel security policies and procedures
established by the organization;
c.
Documents personnel security requirements;
d.
Requires third-party providers to notify [Assignment: organization-defined personnel or
roles] of any personnel transfers or terminations of third-party personnel who possess
organizational credentials and/or badges, or who have information system privileges within
[Assignment: organization-defined time period]; and
e.
Monitors provider compliance.
Supplemental Guidance:
Third-party providers include, for example, service bureaus, contractors,
and other organizations providing information system development, information technology
services, outsourced applications, and network and security management. Organizations explicitly
include personnel security requirements in acquisition-related documents. Third-party providers
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may have personnel working at organizational facilities with credentials, badges, or information
system privileges issued by organizations. Notifications of third-party personnel changes ensure
appropriate termination of privileges and credentials. Organizations define the transfers and
terminations deemed reportable by security-related characteristics that include, for example,
functions, roles, and nature of credentials/privileges associated with individuals transferred or
terminated. Related controls: PS-2, PS-3, PS-4, PS-5, PS-6, SA-9, SA-21.
Control Enhancements:
References:
None.
NIST Special Publication 800-35.
Priority and Baseline Allocation:
P1
PS-8
LOW PS-7
MOD PS-7
HIGH PS-7
PERSONNEL SANCTIONS
Control:
The organization:
a.
Employs a formal sanctions process for individuals failing to comply with established
information security policies and procedures; and
b.
Notifies [Assignment: organization-defined personnel or roles] within [Assignment:
organization-defined time period] when a formal employee sanctions process is initiated,
identifying the individual sanctioned and the reason for the sanction.
Supplemental Guidance:
Organizational sanctions processes reflect applicable federal laws,
Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes
are described in access agreements and can be included as part of general personnel policies and
procedures for organizations. Organizations consult with the Office of the General Counsel
regarding matters of employee sanctions. Related controls: PL-4, PS-6.
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P3
APPENDIX F-PS
LOW PS-8
MOD PS-8
HIGH PS-8
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FAMILY: RISK ASSESSMENT
RA-1
RISK ASSESSMENT POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A risk assessment policy that addresses purpose, scope, roles, responsibilities,
management commitment, coordination among organizational entities, and compliance;
and
2.
Procedures to facilitate the implementation of the risk assessment policy and associated
risk assessment controls; and
Reviews and updates the current:
1.
Risk assessment policy [Assignment: organization-defined frequency]; and
2.
Risk assessment procedures [Assignment: organization-defined frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the RA family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-30, 800-100.
Priority and Baseline Allocation:
P1
RA-2
LOW RA-1
MOD RA-1
HIGH RA-1
SECURITY CATEGORIZATION
Control:
The organization:
a.
Categorizes information and the information system in accordance with applicable federal
laws, Executive Orders, directives, policies, regulations, standards, and guidance;
b.
Documents the security categorization results (including supporting rationale) in the security
plan for the information system; and
c.
Ensures that the authorizing official or authorizing official designated representative reviews
and approves the security categorization decision.
Clearly defined authorization boundaries are a prerequisite for effective
security categorization decisions. Security categories describe the potential adverse impacts to
organizational operations, organizational assets, and individuals if organizational information and
information systems are comprised through a loss of confidentiality, integrity, or availability.
Organizations conduct the security categorization process as an organization-wide activity with
the involvement of chief information officers, senior information security officers, information
system owners, mission/business owners, and information owners/stewards. Organizations also
Supplemental Guidance:
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consider the potential adverse impacts to other organizations and, in accordance with the USA
PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level
adverse impacts. Security categorization processes carried out by organizations facilitate the
development of inventories of information assets, and along with CM-8, mappings to specific
information system components where information is processed, stored, or transmitted. Related
controls: CM-8, MP-4, RA-3, SC-7.
Control Enhancements:
References:
None.
FIPS Publication 199; NIST Special Publications 800-30, 800-39, 800-60.
Priority and Baseline Allocation:
P1
RA-3
LOW RA-2
MOD RA-2
HIGH RA-2
RISK ASSESSMENT
Control:
The organization:
a.
Conducts an assessment of risk, including the likelihood and magnitude of harm, from the
unauthorized access, use, disclosure, disruption, modification, or destruction of the
information system and the information it processes, stores, or transmits;
b.
Documents risk assessment results in [Selection: security plan; risk assessment report;
[Assignment: organization-defined document]];
c.
Reviews risk assessment results [Assignment: organization-defined frequency];
d.
Disseminates risk assessment results to [Assignment: organization-defined personnel or
roles]; and
e.
Updates the risk assessment [Assignment: organization-defined frequency] or whenever there
are significant changes to the information system or environment of operation (including the
identification of new threats and vulnerabilities), or other conditions that may impact the
security state of the system.
Clearly defined authorization boundaries are a prerequisite for effective
risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and
impact to organizational operations and assets, individuals, other organizations, and the Nation
based on the operation and use of information systems. Risk assessments also take into account
risk from external parties (e.g., service providers, contractors operating information systems on
behalf of the organization, individuals accessing organizational information systems, outsourcing
entities). In accordance with OMB policy and related E-authentication initiatives, authentication of
public users accessing federal information systems may also be required to protect nonpublic or
privacy-related information. As such, organizational assessments of risk also address public access
to federal information systems.
Supplemental Guidance:
Risk assessments (either formal or informal) can be conducted at all three tiers in the risk
management hierarchy (i.e., organization level, mission/business process level, or information
system level) and at any phase in the system development life cycle. Risk assessments can also be
conducted at various steps in the Risk Management Framework, including categorization, security
control selection, security control implementation, security control assessment, information
system authorization, and security control monitoring. RA-3 is noteworthy in that the control must
be partially implemented prior to the implementation of other controls in order to complete the
first two steps in the Risk Management Framework. Risk assessments can play an important role
in security control selection processes, particularly during the application of tailoring guidance,
which includes security control supplementation. Related controls: RA-2, PM-9.
Control Enhancements:
APPENDIX F-RA
None.
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OMB Memorandum 04-04; NIST Special Publications 800-30, 800-39;
Web: http://idmanagement.gov.
References:
Priority and Baseline Allocation:
LOW RA-3
P1
RA-4
MOD RA-3
HIGH RA-3
RISK ASSESSMENT UPDATE
[Withdrawn: Incorporated into RA-3].
RA-5
VULNERABILITY SCANNING
Control:
The organization:
a.
Scans for vulnerabilities in the information system and hosted applications [Assignment:
organization-defined frequency and/or randomly in accordance with organization-defined
process] and when new vulnerabilities potentially affecting the system/applications are
identified and reported;
b.
Employs vulnerability scanning tools and techniques that facilitate interoperability among
tools and automate parts of the vulnerability management process by using standards for:
1.
Enumerating platforms, software flaws, and improper configurations;
2.
Formatting checklists and test procedures; and
3.
Measuring vulnerability impact;
c.
Analyzes vulnerability scan reports and results from security control assessments;
d.
Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in
accordance with an organizational assessment of risk; and
e.
Shares information obtained from the vulnerability scanning process and security control
assessments with [Assignment: organization-defined personnel or roles] to help eliminate
similar vulnerabilities in other information systems (i.e., systemic weaknesses or
deficiencies).
Security categorization of information systems guides the frequency and
comprehensiveness of vulnerability scans. Organizations determine the required vulnerability
scanning for all information system components, ensuring that potential sources of vulnerabilities
such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for
custom software applications may require additional approaches such as static analysis, dynamic
analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these
analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis
tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example:
(i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should
not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly
operating information flow control mechanisms. Organizations consider using tools that express
vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that
use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of
vulnerabilities. Suggested sources for vulnerability information include the Common Weakness
Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security
control assessments such as red team exercises provide other sources of potential vulnerabilities
for which to scan. Organizations also consider using tools that express vulnerability impact by the
Common Vulnerability Scoring System (CVSS). Related controls: CA-2, CA-7, CM-4, CM-6,
RA-2, RA-3, SA-11, SI-2.
Supplemental Guidance:
APPENDIX F-RA
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Control Enhancements:
(1)
VULNERABILITY SCANNING | UPDATE TOOL CAPABILITY
The organization employs vulnerability scanning tools that include the capability to readily update
the information system vulnerabilities to be scanned.
The vulnerabilities to be scanned need to be readily updated as new
vulnerabilities are discovered, announced, and scanning methods developed. This updating
process helps to ensure that potential vulnerabilities in the information system are identified
and addressed as quickly as possible. Related controls: SI-3, SI-7.
Supplemental Guidance:
(2)
VULNERABILITY SCANNING | UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
The organization updates the information system vulnerabilities scanned [Selection (one or more):
[Assignment: organization-defined frequency]; prior to a new scan; when new vulnerabilities are
identified and reported].
Supplemental Guidance:
(3)
Related controls: SI-3, SI-5.
VULNERABILITY SCANNING | BREADTH / DEPTH OF COVERAGE
The organization employs vulnerability scanning procedures that can identify the breadth and
depth of coverage (i.e., information system components scanned and vulnerabilities checked).
(4)
VULNERABILITY SCANNING | DISCOVERABLE INFORMATION
The organization determines what information about the information system is discoverable by
adversaries and subsequently takes [Assignment: organization-defined corrective actions].
Discoverable information includes information that adversaries could
obtain without directly compromising or breaching the information system, for example, by
collecting information the system is exposing or by conducting extensive searches of the web.
Corrective actions can include, for example, notifying appropriate organizational personnel,
removing designated information, or changing the information system to make designated
information less relevant or attractive to adversaries. Related control: AU-13.
Supplemental Guidance:
(5)
VULNERABILITY SCANNING | PRIVILEGED ACCESS
The information system implements privileged access authorization to [Assignment: organizationidentified information system components] for selected [Assignment: organization-defined
vulnerability scanning activities].
In certain situations, the nature of the vulnerability scanning may be
more intrusive or the information system component that is the subject of the scanning may
contain highly sensitive information. Privileged access authorization to selected system
components facilitates more thorough vulnerability scanning and also protects the sensitive
nature of such scanning.
Supplemental Guidance:
(6)
VULNERABILITY SCANNING | AUTOMATED TREND ANALYSES
The organization employs automated mechanisms to compare the results of vulnerability scans
over time to determine trends in information system vulnerabilities.
Supplemental Guidance:
(7)
Related controls: IR-4, IR-5, SI-4.
VULNERABILITY SCANNING | AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS
[Withdrawn: Incorporated into CM-8].
(8)
VULNERABILITY SCANNING | REVIEW HISTORIC AUDIT LOGS
The organization reviews historic audit logs to determine if a vulnerability identified in the
information system has been previously exploited.
Supplemental Guidance:
(9)
Related control: AU-6.
VULNERABILITY SCANNING | PENETRATION TESTING AND ANALYSES
[Withdrawn: Incorporated into CA-8].
(10) VULNERABILITY SCANNING | CORRELATE SCANNING INFORMATION
The organization correlates the output from vulnerability scanning tools to determine the presence
of multi-vulnerability/multi-hop attack vectors.
NIST Special Publications 800-40, 800-70, 800-115;
Web: http://cwe.mitre.org, http://nvd.nist.gov.
References:
APPENDIX F-RA
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Priority and Baseline Allocation:
P1
RA-6
LOW RA-5
MOD RA-5 (1) (2) (5)
HIGH RA-5 (1) (2) (4) (5)
TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY
The organization employs a technical surveillance countermeasures survey at
[Assignment: organization-defined locations] [Selection (one or more): [Assignment:
organization-defined frequency]; [Assignment: organization-defined events or indicators occur]].
Control:
Technical surveillance countermeasures surveys are performed by qualified
personnel to detect the presence of technical surveillance devices/hazards and to identify technical
security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities.
Such surveys provide evaluations of the technical security postures of organizations and facilities
and typically include thorough visual, electronic, and physical examinations in and about surveyed
facilities. The surveys also provide useful input into risk assessments and organizational exposure
to potential adversaries.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
APPENDIX F-RA
LOW Not Selected
MOD Not Selected
HIGH Not Selected
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FAMILY: SYSTEM AND SERVICES ACQUISITION
SA-1
SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A system and services acquisition policy that addresses purpose, scope, roles,
responsibilities, management commitment, coordination among organizational entities,
and compliance; and
2.
Procedures to facilitate the implementation of the system and services acquisition policy
and associated system and services acquisition controls; and
Reviews and updates the current:
1.
System and services acquisition policy [Assignment: organization-defined frequency];
and
2.
System and services acquisition procedures [Assignment: organization-defined
frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the SA family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
SA-2
LOW SA-1
MOD SA-1
HIGH SA-1
ALLOCATION OF RESOURCES
Control:
The organization:
a.
Determines information security requirements for the information system or information
system service in mission/business process planning;
b.
Determines, documents, and allocates the resources required to protect the information system
or information system service as part of its capital planning and investment control process;
and
c.
Establishes a discrete line item for information security in organizational programming and
budgeting documentation.
Resource allocation for information security includes funding for the initial
information system or information system service acquisition and funding for the sustainment of
the system/service. Related controls: PM-3, PM-11.
Supplemental Guidance:
Control Enhancements:
APPENDIX F-SA
None.
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References:
NIST Special Publication 800-65.
Priority and Baseline Allocation:
P1
SA-3
LOW SA-2
MOD SA-2
HIGH SA-2
SYSTEM DEVELOPMENT LIFE CYCLE
Control:
The organization:
a.
Manages the information system using [Assignment: organization-defined system
development life cycle] that incorporates information security considerations;
b.
Defines and documents information security roles and responsibilities throughout the system
development life cycle;
c.
Identifies individuals having information security roles and responsibilities; and
d.
Integrates the organizational information security risk management process into system
development life cycle activities.
A well-defined system development life cycle provides the foundation for
the successful development, implementation, and operation of organizational information systems.
To apply the required security controls within the system development life cycle requires a basic
understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical
missions/business functions. The security engineering principles in SA-8 cannot be properly
applied if individuals that design, code, and test information systems and system components
(including information technology products) do not understand security. Therefore, organizations
include qualified personnel, for example, chief information security officers, security architects,
security engineers, and information system security officers in system development life cycle
activities to ensure that security requirements are incorporated into organizational information
systems. It is equally important that developers include individuals on the development team that
possess the requisite security expertise and skills to ensure that needed security capabilities are
effectively integrated into the information system. Security awareness and training programs can
help ensure that individuals having key security roles and responsibilities have the appropriate
experience, skills, and expertise to conduct assigned system development life cycle activities. The
effective integration of security requirements into enterprise architecture also helps to ensure that
important security considerations are addressed early in the system development life cycle and that
those considerations are directly related to the organizational mission/business processes. This
process also facilitates the integration of the information security architecture into the enterprise
architecture, consistent with organizational risk management and information security strategies.
Related controls: AT-3, PM-7, SA-8.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-37, 800-64.
Priority and Baseline Allocation:
P1
SA-4
LOW SA-3
MOD SA-3
HIGH SA-3
ACQUISITION PROCESS
Control: The organization includes the following requirements, descriptions, and criteria, explicitly
or by reference, in the acquisition contract for the information system, system component, or
information system service in accordance with applicable federal laws, Executive Orders,
directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
APPENDIX F-SA
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a.
Security functional requirements;
b.
Security strength requirements;
c.
Security assurance requirements;
d.
Security-related documentation requirements;
e.
Requirements for protecting security-related documentation;
f.
Description of the information system development environment and environment in which
the system is intended to operate; and
g.
Acceptance criteria.
Information system components are discrete, identifiable information
technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an
information system. Information system components include commercial information technology
products. Security functional requirements include security capabilities, security functions, and
security mechanisms. Security strength requirements associated with such capabilities, functions,
and mechanisms include degree of correctness, completeness, resistance to direct attack, and
resistance to tampering or bypass. Security assurance requirements include: (i) development
processes, procedures, practices, and methodologies; and (ii) evidence from development and
assessment activities providing grounds for confidence that the required security functionality has
been implemented and the required security strength has been achieved. Security documentation
requirements address all phases of the system development life cycle.
Supplemental Guidance:
Security functionality, assurance, and documentation requirements are expressed in terms of
security controls and control enhancements that have been selected through the tailoring process.
The security control tailoring process includes, for example, the specification of parameter values
through the use of assignment and selection statements and the specification of platform
dependencies and implementation information. Security documentation provides user and
administrator guidance regarding the implementation and operation of security controls. The level
of detail required in security documentation is based on the security category or classification level
of the information system and the degree to which organizations depend on the stated security
capability, functions, or mechanisms to meet overall risk response expectations (as defined in the
organizational risk management strategy). Security requirements can also include organizationally
mandated configuration settings specifying allowed functions, ports, protocols, and services.
Acceptance criteria for information systems, information system components, and information
system services are defined in the same manner as such criteria for any organizational acquisition
or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information
security requirements from FISMA. Related controls: CM-6, PL-2, PS-7, SA-3, SA-5, SA-8, SA11, SA-12.
Control Enhancements:
(1)
ACQUISITION PROCESS | FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
The organization requires the developer of the information system, system component, or
information system service to provide a description of the functional properties of the security
controls to be employed.
Functional properties of security controls describe the functionality
(i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and
specifically exclude functionality and data structures internal to the operation of the controls.
Related control: SA-5.
Supplemental Guidance:
(2)
ACQUISITION PROCESS | DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
The organization requires the developer of the information system, system component, or
information system service to provide design and implementation information for the security
controls to be employed that includes: [Selection (one or more): security-relevant external system
interfaces; high-level design; low-level design; source code or hardware schematics; [Assignment:
organization-defined design/implementation information]] at [Assignment: organization-defined
level of detail].
APPENDIX F-SA
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Organizations may require different levels of detail in design and
implementation documentation for security controls employed in organizational information
systems, system components, or information system services based on mission/business
requirements, requirements for trustworthiness/resiliency, and requirements for analysis and
testing. Information systems can be partitioned into multiple subsystems. Each subsystem
within the system can contain one or more modules. The high-level design for the system is
expressed in terms of multiple subsystems and the interfaces between subsystems providing
security-relevant functionality. The low-level design for the system is expressed in terms of
modules with particular emphasis on software and firmware (but not excluding hardware) and
the interfaces between modules providing security-relevant functionality. Source code and
hardware schematics are typically referred to as the implementation representation of the
information system. Related control: SA-5.
Supplemental Guidance:
(3)
ACQUISITION PROCESS | DEVELOPMENT METHODS / TECHNIQUES / PRACTICES
The organization requires the developer of the information system, system component, or
information system service to demonstrate the use of a system development life cycle that
includes [Assignment: organization-defined state-of-the-practice system/security engineering
methods, software development methods, testing/evaluation/validation techniques, and quality
control processes].
Following a well-defined system development life cycle that includes
state-of-the-practice software development methods, systems/security engineering methods,
quality control processes, and testing, evaluation, and validation techniques helps to reduce
the number and severity of latent errors within information systems, system components, and
information system services. Reducing the number/severity of such errors reduces the number
of vulnerabilities in those systems, components, and services. Related control: SA-12.
Supplemental Guidance:
(4)
ACQUISITION PROCESS | ASSIGNMENT OF COMPONENTS TO SYSTEMS
[Withdrawn: Incorporated into CM-8 (9)].
(5)
ACQUISITION PROCESS | SYSTEM / COMPONENT / SERVICE CONFIGURATIONS
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Deliver the system, component, or service with [Assignment: organization-defined security
configurations] implemented; and
(b) Use the configurations as the default for any subsequent system, component, or service
reinstallation or upgrade.
Security configurations include, for example, the U.S. Government
Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and
services. Security characteristics include, for example, requiring that all default passwords
have been changed. Related control: CM-8.
Supplemental Guidance:
(6)
ACQUISITION PROCESS | USE OF INFORMATION ASSURANCE PRODUCTS
The organization:
(a)
Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS)
information assurance (IA) and IA-enabled information technology products that compose an
NSA-approved solution to protect classified information when the networks used to transmit
the information are at a lower classification level than the information being transmitted; and
(b) Ensures that these products have been evaluated and/or validated by NSA or in accordance
with NSA-approved procedures.
COTS IA or IA-enabled information technology products used to
protect classified information by cryptographic means may be required to use NSA-approved
key management. Related controls: SC-8, SC-12, SC-13.
Supplemental Guidance:
(7)
ACQUISITION PROCESS | NIAP-APPROVED PROTECTION PROFILES
The organization:
(a)
APPENDIX F-SA
Limits the use of commercially provided information assurance (IA) and IA-enabled
information technology products to those products that have been successfully evaluated
against a National Information Assurance partnership (NIAP)-approved Protection Profile for a
specific technology type, if such a profile exists; and
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(b) Requires, if no NIAP-approved Protection Profile exists for a specific technology type but a
commercially provided information technology product relies on cryptographic functionality
to enforce its security policy, that the cryptographic module is FIPS-validated.
Supplemental Guidance:
(8)
Related controls: SC-12, SC-13.
ACQUISITION PROCESS | CONTINUOUS MONITORING PLAN
The organization requires the developer of the information system, system component, or
information system service to produce a plan for the continuous monitoring of security control
effectiveness that contains [Assignment: organization-defined level of detail].
The objective of continuous monitoring plans is to determine if the
complete set of planned, required, and deployed security controls within the information
system, system component, or information system service continue to be effective over time
based on the inevitable changes that occur. Developer continuous monitoring plans include a
sufficient level of detail such that the information can be incorporated into the continuous
monitoring strategies and programs implemented by organizations. Related control: CA-7.
Supplemental Guidance:
(9)
ACQUISITION PROCESS | FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
The organization requires the developer of the information system, system component, or
information system service to identify early in the system development life cycle, the functions,
ports, protocols, and services intended for organizational use.
The identification of functions, ports, protocols, and services early in
the system development life cycle (e.g., during the initial requirements definition and design
phases) allows organizations to influence the design of the information system, information
system component, or information system service. This early involvement in the life cycle
helps organizations to avoid or minimize the use of functions, ports, protocols, or services that
pose unnecessarily high risks and understand the trade-offs involved in blocking specific
ports, protocols, or services (or when requiring information system service providers to do
so). Early identification of functions, ports, protocols, and services avoids costly retrofitting
of security controls after the information system, system component, or information system
service has been implemented. SA-9 describes requirements for external information system
services with organizations identifying which functions, ports, protocols, and services are
provided from external sources. Related controls: CM-7, SA-9.
Supplemental Guidance:
(10) ACQUISITION PROCESS | USE OF APPROVED PIV PRODUCTS
The organization employs only information technology products on the FIPS 201-approved
products list for Personal Identity Verification (PIV) capability implemented within organizational
information systems.
Supplemental Guidance:
Related controls: IA-2, IA-8.
HSPD-12; ISO/IEC 15408; FIPS Publications 140-2, 201; NIST Special Publications
800-23, 800-35, 800-36, 800-37, 800-64, 800-70, 800-137; Federal Acquisition Regulation;
Web: http://www.niap-ccevs.org, http://fips201ep.cio.gov, http://www.acquisition.gov/far.
References:
Priority and Baseline Allocation:
LOW SA-4 (10)
P1
SA-5
MOD SA-4 (1) (2) (9) (10)
HIGH SA-4 (1) (2) (9) (10)
INFORMATION SYSTEM DOCUMENTATION
Control:
a.
APPENDIX F-SA
The organization:
Obtains administrator documentation for the information system, system component, or
information system service that describes:
1.
Secure configuration, installation, and operation of the system, component, or service;
2.
Effective use and maintenance of security functions/mechanisms; and
3.
Known vulnerabilities regarding configuration and use of administrative (i.e., privileged)
functions;
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b.
Obtains user documentation for the information system, system component, or information
system service that describes:
1.
User-accessible security functions/mechanisms and how to effectively use those security
functions/mechanisms;
2.
Methods for user interaction, which enables individuals to use the system, component, or
service in a more secure manner; and
3.
User responsibilities in maintaining the security of the system, component, or service;
c.
Documents attempts to obtain information system, system component, or information system
service documentation when such documentation is either unavailable or nonexistent and
takes [Assignment: organization-defined actions] in response;
d.
Protects documentation as required, in accordance with the risk management strategy; and
e.
Distributes documentation to [Assignment: organization-defined personnel or roles].
This control helps organizational personnel understand the implementation
and operation of security controls associated with information systems, system components, and
information system services. Organizations consider establishing specific measures to determine
the quality/completeness of the content provided. The inability to obtain needed documentation
may occur, for example, due to the age of the information system/component or lack of support
from developers and contractors. In those situations, organizations may need to recreate selected
documentation if such documentation is essential to the effective implementation or operation of
security controls. The level of protection provided for selected information system, component, or
service documentation is commensurate with the security category or classification of the system.
For example, documentation associated with a key DoD weapons system or command and control
system would typically require a higher level of protection than a routine administrative system.
Documentation that addresses information system vulnerabilities may also require an increased
level of protection. Secure operation of the information system, includes, for example, initially
starting the system and resuming secure system operation after any lapse in system operation.
Related controls: CM-6, CM-8, PL-2, PL-4, PS-2, SA-3, SA-4.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION SYSTEM DOCUMENTATION | FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
[Withdrawn: Incorporated into SA-4 (1)].
(2)
INFORMATION SYSTEM DOCUMENTATION | SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES
[Withdrawn: Incorporated into SA-4 (2)].
(3)
INFORMATION SYSTEM DOCUMENTATION | HIGH-LEVEL DESIGN
[Withdrawn: Incorporated into SA-4 (2)].
(4)
INFORMATION SYSTEM DOCUMENTATION | LOW-LEVEL DESIGN
(5)
INFORMATION SYSTEM DOCUMENTATION | SOURCE CODE
[Withdrawn: Incorporated into SA-4 (2)].
[Withdrawn: Incorporated into SA-4 (2)].
References:
None.
Priority and Baseline Allocation:
P2
SA-6
LOW SA-5
MOD SA-5
HIGH SA-5
SOFTWARE USAGE RESTRICTIONS
[Withdrawn: Incorporated into CM-10 and SI-7].
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SA-7
USER-INSTALLED SOFTWARE
[Withdrawn: Incorporated into CM-11 and SI-7].
SA-8
SECURITY ENGINEERING PRINCIPLES
Control: The organization applies information system security engineering principles in the
specification, design, development, implementation, and modification of the information system.
Organizations apply security engineering principles primarily to new
development information systems or systems undergoing major upgrades. For legacy systems,
organizations apply security engineering principles to system upgrades and modifications to the
extent feasible, given the current state of hardware, software, and firmware within those systems.
Security engineering principles include, for example: (i) developing layered protections; (ii)
establishing sound security policy, architecture, and controls as the foundation for design; (iii)
incorporating security requirements into the system development life cycle; (iv) delineating
physical and logical security boundaries; (v) ensuring that system developers are trained on how to
build secure software; (vi) tailoring security controls to meet organizational and operational needs;
(vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack
patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii)
reducing risk to acceptable levels, thus enabling informed risk management decisions. Related
controls: PM-7, SA-3, SA-4, SA-17, SC-2, SC-3.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publication 800-27.
Priority and Baseline Allocation:
P1
SA-9
LOW Not Selected
MOD SA-8
HIGH SA-8
EXTERNAL INFORMATION SYSTEM SERVICES
Control:
The organization:
a.
Requires that providers of external information system services comply with organizational
information security requirements and employ [Assignment: organization-defined security
controls] in accordance with applicable federal laws, Executive Orders, directives, policies,
regulations, standards, and guidance;
b.
Defines and documents government oversight and user roles and responsibilities with regard
to external information system services; and
c.
Employs [Assignment: organization-defined processes, methods, and techniques] to monitor
security control compliance by external service providers on an ongoing basis.
External information system services are services that are implemented
outside of the authorization boundaries of organizational information systems. This includes
services that are used by, but not a part of, organizational information systems. FISMA and OMB
policy require that organizations using external service providers that are processing, storing, or
transmitting federal information or operating information systems on behalf of the federal
government ensure that such providers meet the same security requirements that federal agencies
are required to meet. Organizations establish relationships with external service providers in a
variety of ways including, for example, through joint ventures, business partnerships, contracts,
interagency agreements, lines of business arrangements, licensing agreements, and supply chain
exchanges. The responsibility for managing risks from the use of external information system
services remains with authorizing officials. For services external to organizations, a chain of trust
requires that organizations establish and retain a level of confidence that each participating
Supplemental Guidance:
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provider in the potentially complex consumer-provider relationship provides adequate protection
for the services rendered. The extent and nature of this chain of trust varies based on the
relationships between organizations and the external providers. Organizations document the basis
for trust relationships so the relationships can be monitored over time. External information
system services documentation includes government, service providers, end user security roles and
responsibilities, and service-level agreements. Service-level agreements define expectations of
performance for security controls, describe measurable outcomes, and identify remedies and
response requirements for identified instances of noncompliance. Related controls: CA-3, IR-7,
PS-7.
Control Enhancements:
(1)
EXTERNAL INFORMATION SYSTEMS | RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS
The organization:
(a)
Conducts an organizational assessment of risk prior to the acquisition or outsourcing of
dedicated information security services; and
(b) Ensures that the acquisition or outsourcing of dedicated information security services is
approved by [Assignment: organization-defined personnel or roles].
Dedicated information security services include, for example, incident
monitoring, analysis and response, operation of information security-related devices such as
firewalls, or key management services. Related controls: CA-6, RA-3.
Supplemental Guidance:
(2)
EXTERNAL INFORMATION SYSTEMS | IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES
The organization requires providers of [Assignment: organization-defined external information
system services] to identify the functions, ports, protocols, and other services required for the use
of such services.
Information from external service providers regarding the specific
functions, ports, protocols, and services used in the provision of such services can be
particularly useful when the need arises to understand the trade-offs involved in restricting
certain functions/services or blocking certain ports/protocols. Related control: CM-7.
Supplemental Guidance:
(3)
EXTERNAL INFORMATION SYSTEMS | ESTABLISH / MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS
The organization establishes, documents, and maintains trust relationships with external service
providers based on [Assignment: organization-defined security requirements, properties, factors,
or conditions defining acceptable trust relationships].
The degree of confidence that the risk from using external services is
at an acceptable level depends on the trust that organizations place in the external providers,
individually or in combination. Trust relationships can help organization to gain increased
levels of confidence that participating service providers are providing adequate protection for
the services rendered. Such relationships can be complicated due to the number of potential
entities participating in the consumer-provider interactions, subordinate relationships and
levels of trust, and the types of interactions between the parties. In some cases, the degree of
trust is based on the amount of direct control organizations are able to exert on external
service providers with regard to employment of security controls necessary for the protection
of the service/information and the evidence brought forth as to the effectiveness of those
controls. The level of control is typically established by the terms and conditions of the
contracts or service-level agreements and can range from extensive control (e.g., negotiating
contracts or agreements that specify security requirements for the providers) to very limited
control (e.g., using contracts or service-level agreements to obtain commodity services such as
commercial telecommunications services). In other cases, levels of trust are based on factors
that convince organizations that required security controls have been employed and that
determinations of control effectiveness exist. For example, separately authorized external
information system services provided to organizations through well-established business
relationships may provide degrees of trust in such services within the tolerable risk range of
the organizations using the services. External service providers may also outsource selected
services to other external entities, making the trust relationship more difficult and complicated
to manage. Depending on the nature of the services, organizations may find it very difficult to
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place significant trust in external providers. This is not due to any inherent untrustworthiness
on the part of providers, but to the intrinsic level of risk in the services.
(4)
EXTERNAL INFORMATION SYSTEMS | CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS
The organization employs [Assignment: organization-defined security safeguards] to ensure that
the interests of [Assignment: organization-defined external service providers] are consistent with
and reflect organizational interests.
As organizations increasingly use external service providers, the
possibility exists that the interests of the service providers may diverge from organizational
interests. In such situations, simply having the correct technical, procedural, or operational
safeguards in place may not be sufficient if the service providers that implement and control
those safeguards are not operating in a manner consistent with the interests of the consuming
organizations. Possible actions that organizations might take to address such concerns include,
for example, requiring background checks for selected service provider personnel, examining
ownership records, employing only trustworthy service providers (i.e., providers with which
organizations have had positive experiences), and conducting periodic/unscheduled visits to
service provider facilities.
Supplemental Guidance:
(5)
EXTERNAL INFORMATION SYSTEMS | PROCESSING, STORAGE, AND SERVICE LOCATION
The organization restricts the location of [Selection (one or more): information processing;
information/data; information system services] to [Assignment: organization-defined locations]
based on [Assignment: organization-defined requirements or conditions].
The location of information processing, information/data storage, or
information system services that are critical to organizations can have a direct impact on the
ability of those organizations to successfully execute their missions/business functions. This
situation exists when external providers control the location of processing, storage or services.
The criteria external providers use for the selection of processing, storage, or service locations
may be different from organizational criteria. For example, organizations may want to ensure
that data/information storage locations are restricted to certain locations to facilitate incident
response activities (e.g., forensic analyses, after-the-fact investigations) in case of information
security breaches/compromises. Such incident response activities may be adversely affected
by the governing laws or protocols in the locations where processing and storage occur and/or
the locations from which information system services emanate.
Supplemental Guidance:
References:
NIST Special Publication 800-35.
Priority and Baseline Allocation:
P1
SA-10
LOW SA-9
MOD SA-9 (2)
HIGH SA-9 (2)
DEVELOPER CONFIGURATION MANAGEMENT
Control: The organization requires the developer of the information system, system component, or
information system service to:
a.
Perform configuration management during system, component, or service [Selection (one or
more): design; development; implementation; operation];
b.
Document, manage, and control the integrity of changes to [Assignment: organization-defined
configuration items under configuration management];
c.
Implement only organization-approved changes to the system, component, or service;
d.
Document approved changes to the system, component, or service and the potential security
impacts of such changes; and
e.
Track security flaws and flaw resolution within the system, component, or service and report
findings to [Assignment: organization-defined personnel].
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This control also applies to organizations conducting internal information
systems development and integration. Organizations consider the quality and completeness of the
configuration management activities conducted by developers as evidence of applying effective
security safeguards. Safeguards include, for example, protecting from unauthorized modification
or destruction, the master copies of all material used to generate security-relevant portions of the
system hardware, software, and firmware. Maintaining the integrity of changes to the information
system, information system component, or information system service requires configuration
control throughout the system development life cycle to track authorized changes and prevent
unauthorized changes. Configuration items that are placed under configuration management (if
existence/use is required by other security controls) include: the formal model; the functional,
high-level, and low-level design specifications; other design data; implementation documentation;
source code and hardware schematics; the running version of the object code; tools for comparing
new versions of security-relevant hardware descriptions and software/firmware source code with
previous versions; and test fixtures and documentation. Depending on the mission/business needs
of organizations and the nature of the contractual relationships in place, developers may provide
configuration management support during the operations and maintenance phases of the life cycle.
Related controls: CM-3, CM-4, CM-9, SA-12, SI-2.
Supplemental Guidance:
Control Enhancements:
(1)
DEVELOPER CONFIGURATION MANAGEMENT | SOFTWARE / FIRMWARE INTEGRITY VERIFICATION
The organization requires the developer of the information system, system component, or
information system service to enable integrity verification of software and firmware components.
This control enhancement allows organizations to detect unauthorized
changes to software and firmware components through the use of tools, techniques, and/or
mechanisms provided by developers. Integrity checking mechanisms can also address
counterfeiting of software and firmware components. Organizations verify the integrity of
software and firmware components, for example, through secure one-way hashes provided by
developers. Delivered software and firmware components also include any updates to such
components. Related control: SI-7.
Supplemental Guidance:
(2)
DEVELOPER CONFIGURATION MANAGEMENT | ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES
The organization provides an alternate configuration management process using organizational
personnel in the absence of a dedicated developer configuration management team.
Alternate configuration management processes may be required, for
example, when organizations use commercial off-the-shelf (COTS) information technology
products. Alternate configuration management processes include organizational personnel
that: (i) are responsible for reviewing/approving proposed changes to information systems,
system components, and information system services; and (ii) conduct security impact
analyses prior to the implementation of any changes to systems, components, or services (e.g.,
a configuration control board that considers security impacts of changes during development
and includes representatives of both the organization and the developer, when applicable).
Supplemental Guidance:
(3)
DEVELOPER CONFIGURATION MANAGEMENT | HARDWARE INTEGRITY VERIFICATION
The organization requires the developer of the information system, system component, or
information system service to enable integrity verification of hardware components.
This control enhancement allows organizations to detect unauthorized
changes to hardware components through the use of tools, techniques, and/or mechanisms
provided by developers. Organizations verify the integrity of hardware components, for
example, with hard-to-copy labels and verifiable serial numbers provided by developers, and
by requiring the implementation of anti-tamper technologies. Delivered hardware components
also include updates to such components. Related control: SI-7.
Supplemental Guidance:
(4)
DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED GENERATION
The organization requires the developer of the information system, system component, or
information system service to employ tools for comparing newly generated versions of securityrelevant hardware descriptions and software/firmware source and object code with previous
versions.
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This control enhancement addresses changes to hardware, software,
and firmware components between versions during development. In contrast, SA-10 (1) and
SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and
firmware components through the use of tools, techniques, and/or mechanisms provided by
developers.
Supplemental Guidance:
(5)
DEVELOPER CONFIGURATION MANAGEMENT | MAPPING INTEGRITY FOR VERSION CONTROL
The organization requires the developer of the information system, system component, or
information system service to maintain the integrity of the mapping between the master build data
(hardware drawings and software/firmware code) describing the current version of securityrelevant hardware, software, and firmware and the on-site master copy of the data for the current
version.
This control enhancement addresses changes to hardware, software,
and firmware components during initial development and during system life cycle updates.
Maintaining the integrity between the master copies of security-relevant hardware, software,
and firmware (including designs and source code) and the equivalent data in master copies
on-site in operational environments is essential to ensure the availability of organizational
information systems supporting critical missions and/or business functions.
Supplemental Guidance:
(6)
DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED DISTRIBUTION
The organization requires the developer of the information system, system component, or
information system service to execute procedures for ensuring that security-relevant hardware,
software, and firmware updates distributed to the organization are exactly as specified by the
master copies.
The trusted distribution of security-relevant hardware, software, and
firmware updates helps to ensure that such updates are faithful representations of the master
copies maintained by the developer and have not been tampered with during distribution.
Supplemental Guidance:
References:
NIST Special Publication 800-128.
Priority and Baseline Allocation:
P1
SA-11
LOW Not Selected
MOD SA-10
HIGH SA-10
DEVELOPER SECURITY TESTING AND EVALUATION
The organization requires the developer of the information system, system component, or
information system service to:
Control:
a.
Create and implement a security assessment plan;
b.
Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at
[Assignment: organization-defined depth and coverage];
c.
Produce evidence of the execution of the security assessment plan and the results of the
security testing/evaluation;
d.
Implement a verifiable flaw remediation process; and
e.
Correct flaws identified during security testing/evaluation.
Developmental security testing/evaluation occurs at all post-design phases
of the system development life cycle. Such testing/evaluation confirms that the required security
controls are implemented correctly, operating as intended, enforcing the desired security policy,
and meeting established security requirements. Security properties of information systems may be
affected by the interconnection of system components or changes to those components. These
interconnections or changes (e.g., upgrading or replacing applications and operating systems) may
adversely affect previously implemented security controls. This control provides additional types
of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws.
Testing custom software applications may require approaches such as static analysis, dynamic
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analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these
analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis
tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific
activities that developers plan to carry out including the types of analyses, testing, evaluation, and
reviews of software and firmware components, the degree of rigor to be applied, and the types of
artifacts produced during those processes. The depth of security testing/evaluation refers to the
rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white
box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type)
of the artifacts included in the assessment process. Contracts specify the acceptance criteria for
security assessment plans, flaw remediation processes, and the evidence that the plans/processes
have been diligently applied. Methods for reviewing and protecting assessment plans, evidence,
and documentation are commensurate with the security category or classification level of the
information system. Contracts may specify documentation protection requirements. Related
controls: CA-2, CM-4, SA-3, SA-4, SA-5, SI-2.
Control Enhancements:
(1)
DEVELOPER SECURITY TESTING AND EVALUATION | STATIC CODE ANALYSIS
The organization requires the developer of the information system, system component, or
information system service to employ static code analysis tools to identify common flaws and
document the results of the analysis.
Static code analysis provides a technology and methodology for
security reviews. Such analysis can be used to identify security vulnerabilities and enforce
security coding practices. Static code analysis is most effective when used early in the
development process, when each code change can be automatically scanned for potential
weaknesses. Static analysis can provide clear remediation guidance along with defects to
enable developers to fix such defects. Evidence of correct implementation of static analysis
can include, for example, aggregate defect density for critical defect types, evidence that
defects were inspected by developers or security professionals, and evidence that defects were
fixed. An excessively high density of ignored findings (commonly referred to as ignored or
false positives) indicates a potential problem with the analysis process or tool. In such cases,
organizations weigh the validity of the evidence against evidence from other sources.
Supplemental Guidance:
(2)
DEVELOPER SECURITY TESTING AND EVALUATION | THREAT AND VULNERABILITY ANALYSES
The organization requires the developer of the information system, system component, or
information system service to perform threat and vulnerability analyses and subsequent
testing/evaluation of the as-built system, component, or service.
Applications may deviate significantly from the functional and design
specifications created during the requirements and design phases of the system development
life cycle. Therefore, threat and vulnerability analyses of information systems, system
components, and information system services prior to delivery are critical to the effective
operation of those systems, components, and services. Threat and vulnerability analyses at
this phase of the life cycle help to ensure that design or implementation changes have been
accounted for, and that any new vulnerabilities created as a result of those changes have been
reviewed and mitigated. Related controls: PM-15, RA-5.
Supplemental Guidance:
(3)
DEVELOPER SECURITY TESTING AND EVALUATION | INDEPENDENT VERIFICATION OF ASSESSMENT PLANS /
EVIDENCE
The organization:
(a)
Requires an independent agent satisfying [Assignment: organization-defined independence
criteria] to verify the correct implementation of the developer security assessment plan and
the evidence produced during security testing/evaluation; and
(b) Ensures that the independent agent is either provided with sufficient information to complete
the verification process or granted the authority to obtain such information.
Independent agents have the necessary qualifications (i.e., expertise,
skills, training, and experience) to verify the correct implementation of developer security
assessment plans. Related controls: AT-3, CA-7, RA-5, SA-12.
Supplemental Guidance:
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(4)
DEVELOPER SECURITY TESTING AND EVALUATION | MANUAL CODE REVIEWS
The organization requires the developer of the information system, system component, or
information system service to perform a manual code review of [Assignment: organization-defined
specific code] using [Assignment: organization-defined processes, procedures, and/or
techniques].
Manual code reviews are usually reserved for the critical software and
firmware components of information systems. Such code reviews are uniquely effective at
identifying weaknesses that require knowledge of the application’s requirements or context
which are generally unavailable to more automated analytic tools and techniques such as
static or dynamic analysis. Components benefiting from manual review include for example,
verifying access control matrices against application controls and reviewing more detailed
aspects of cryptographic implementations and controls.
Supplemental Guidance:
(5)
DEVELOPER SECURITY TESTING AND EVALUATION | PENETRATION TESTING
The organization requires the developer of the information system, system component, or
information system service to perform penetration testing at [Assignment: organization-defined
breadth/depth] and with [Assignment: organization-defined constraints].
Penetration testing is an assessment methodology in which assessors,
using all available information technology product and/or information system documentation
(e.g., product/system design specifications, source code, and administrator/operator manuals)
and working under specific constraints, attempt to circumvent implemented security features
of information technology products and information systems. Penetration testing can include,
for example, white, gray, or black box testing with analyses performed by skilled security
professionals simulating adversary actions. The objective of penetration testing is to uncover
potential vulnerabilities in information technology products and information systems resulting
from implementation errors, configuration faults, or other operational deployment weaknesses
or deficiencies. Penetration tests can be performed in conjunction with automated and manual
code reviews to provide greater levels of analysis than would ordinarily be possible.
Supplemental Guidance:
(6)
DEVELOPER SECURITY TESTING AND EVALUATION | ATTACK SURFACE REVIEWS
The organization requires the developer of the information system, system component, or
information system service to perform attack surface reviews.
Attack surfaces of information systems are exposed areas that make
those systems more vulnerable to cyber attacks. This includes any accessible areas where
weaknesses or deficiencies in information systems (including the hardware, software, and
firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack
surface reviews ensure that developers: (i) analyze both design and implementation changes
to information systems; and (ii) mitigate attack vectors generated as a result of the changes.
Correction of identified flaws includes, for example, deprecation of unsafe functions.
Supplemental Guidance:
(7)
DEVELOPER SECURITY TESTING AND EVALUATION | VERIFY SCOPE OF TESTING / EVALUATION
The organization requires the developer of the information system, system component, or
information system service to verify that the scope of security testing/evaluation provides
complete coverage of required security controls at [Assignment: organization-defined depth of
testing/evaluation].
Verifying that security testing/evaluation provides complete coverage
of required security controls can be accomplished by a variety of analytic techniques ranging
from informal to formal. Each of these techniques provides an increasing level of assurance
corresponding to the degree of formality of the analysis. Rigorously demonstrating security
control coverage at the highest levels of assurance can be provided by the use of formal
modeling and analysis techniques including correlation between control implementation and
corresponding test cases.
Supplemental Guidance:
(8)
DEVELOPER SECURITY TESTING AND EVALUATION | DYNAMIC CODE ANALYSIS
The organization requires the developer of the information system, system component, or
information system service to employ dynamic code analysis tools to identify common flaws and
document the results of the analysis.
Dynamic code analysis provides run-time verification of software
programs, using tools capable of monitoring programs for memory corruption, user privilege
Supplemental Guidance:
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issues, and other potential security problems. Dynamic code analysis employs run-time tools
to help to ensure that security functionality performs in the manner in which it was designed.
A specialized type of dynamic analysis, known as fuzz testing, induces program failures by
deliberately introducing malformed or random data into software programs. Fuzz testing
strategies derive from the intended use of applications and the functional and design
specifications for the applications. To understand the scope of dynamic code analysis and
hence the assurance provided, organizations may also consider conducting code coverage
analysis (checking the degree to which the code has been tested using metrics such as percent
of subroutines tested or percent of program statements called during execution of the test
suite) and/or concordance analysis (checking for words that are out of place in software code
such as non-English language words or derogatory terms).
ISO/IEC 15408; NIST Special Publication 800-53A;
Web: http://nvd.nist.gov, http://cwe.mitre.org, http://cve.mitre.org, http://capec.mitre.org.
References:
Priority and Baseline Allocation:
P1
SA-12
LOW Not Selected
MOD SA-11
HIGH SA-11
SUPPLY CHAIN PROTECTION
Control: The organization protects against supply chain threats to the information system, system
component, or information system service by employing [Assignment: organization-defined
security safeguards] as part of a comprehensive, defense-in-breadth information security strategy.
Information systems (including system components that compose those
systems) need to be protected throughout the system development life cycle (i.e., during design,
development, manufacturing, packaging, assembly, distribution, system integration, operations,
maintenance, and retirement). Protection of organizational information systems is accomplished
through threat awareness, by the identification, management, and reduction of vulnerabilities at
each phase of the life cycle and the use of complementary, mutually reinforcing strategies to
respond to risk. Organizations consider implementing a standardized process to address supply
chain risk with respect to information systems and system components, and to educate the
acquisition workforce on threats, risk, and required security controls. Organizations use the
acquisition/procurement processes to require supply chain entities to implement necessary security
safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply
chain; and (ii) protect information systems and information system components, prior to taking
delivery of such systems/components. This control also applies to information system services.
Security safeguards include, for example: (i) security controls for development systems,
development facilities, and external connections to development systems; (ii) vetting development
personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for
reviewing and protecting development plans, evidence, and documentation are commensurate with
the security category or classification level of the information system. Contracts may specify
documentation protection requirements. Related controls: AT-3, CM-8, IR-4, PE-16, PL-8, SA-3,
SA-4, SA-8, SA-10, SA-14, SA-15, SA-18, SA-19, SC-29, SC-30, SC-38, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
SUPPLY CHAIN PROTECTION | ACQUISITION STRATEGIES / TOOLS / METHODS
The organization employs [Assignment: organization-defined tailored acquisition strategies,
contract tools, and procurement methods] for the purchase of the information system, system
component, or information system service from suppliers.
The use of acquisition and procurement processes by organizations
early in the system development life cycle provides an important vehicle to protect the supply
chain. Organizations use available all-source intelligence analysis to inform the tailoring of
acquisition strategies, tools, and methods. There are a number of different tools and
techniques available (e.g., obscuring the end use of an information system or system
Supplemental Guidance:
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component, using blind or filtered buys). Organizations also consider creating incentives for
suppliers who: (i) implement required security safeguards; (ii) promote transparency into their
organizational processes and security practices; (iii) provide additional vetting of the
processes and security practices of subordinate suppliers, critical information system
components, and services; (iv) restrict purchases from specific suppliers or countries; and (v)
provide contract language regarding the prohibition of tainted or counterfeit components. In
addition, organizations consider minimizing the time between purchase decisions and required
delivery to limit opportunities for adversaries to corrupt information system components or
products. Finally, organizations can use trusted/controlled distribution, delivery, and
warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of
information system components during shipping and warehousing). Related control: SA-19.
(2)
SUPPLY CHAIN PROTECTION | SUPPLIER REVIEWS
The organization conducts a supplier review prior to entering into a contractual agreement to
acquire the information system, system component, or information system service.
Supplier reviews include, for example: (i) analysis of supplier
processes used to design, develop, test, implement, verify, deliver, and support information
systems, system components, and information system services; and (ii) assessment of supplier
training and experience in developing systems, components, or services with the required
security capability. These reviews provide organizations with increased levels of visibility
into supplier activities during the system development life cycle to promote more effective
supply chain risk management. Supplier reviews can also help to determine whether primary
suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for
example, second- and third-tier suppliers, and any subcontractors.
Supplemental Guidance:
(3)
SUPPLY CHAIN PROTECTION | TRUSTED SHIPPING AND WAREHOUSING
[Withdrawn: Incorporated into SA-12 (1)].
(4)
SUPPLY CHAIN PROTECTION | DIVERSITY OF SUPPLIERS
[Withdrawn: Incorporated into SA-12 (13)].
(5)
SUPPLY CHAIN PROTECTION | LIMITATION OF HARM
The organization employs [Assignment: organization-defined security safeguards] to limit harm
from potential adversaries identifying and targeting the organizational supply chain.
Supply chain risk is part of the advanced persistent threat (APT).
Security safeguards and countermeasures to reduce the probability of adversaries successfully
identifying and targeting the supply chain include, for example: (i) avoiding the purchase of
custom configurations to reduce the risk of acquiring information systems, components, or
products that have been corrupted via supply chain actions targeted at specific organizations;
(ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in
the supply chain; (iii) employing approved vendor lists with standing reputations in industry,
and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).
Supplemental Guidance:
(6)
SUPPLY CHAIN PROTECTION | MINIMIZING PROCUREMENT TIME
[Withdrawn: Incorporated into SA-12 (1)].
(7)
SUPPLY CHAIN PROTECTION | ASSESSMENTS PRIOR TO SELECTION / ACCEPTANCE / UPDATE
The organization conducts an assessment of the information system, system component, or
information system service prior to selection, acceptance, or update.
Assessments include, for example, testing, evaluations, reviews, and
analyses. Independent, third-party entities or organizational personnel conduct assessments of
systems, components, products, tools, and services. Organizations conduct assessments to
uncover unintentional vulnerabilities and intentional vulnerabilities including, for example,
malicious code, malicious processes, defective software, and counterfeits. Assessments can
include, for example, static analyses, dynamic analyses, simulations, white, gray, and black
box testing, fuzz testing, penetration testing, and ensuring that components or services are
genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence
generated during security assessments is documented for follow-on actions carried out by
organizations. Related controls: CA-2, SA-11.
Supplemental Guidance:
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(8)
SUPPLY CHAIN PROTECTION | USE OF ALL-SOURCE INTELLIGENCE
The organization uses all-source intelligence analysis of suppliers and potential suppliers of the
information system, system component, or information system service.
All-source intelligence analysis is employed by organizations to
inform engineering, acquisition, and risk management decisions. All-source intelligence
consists of intelligence products and/or organizations and activities that incorporate all
sources of information, most frequently including human intelligence, imagery intelligence,
measurement and signature intelligence, signals intelligence, and open source data in the
production of finished intelligence. Where available, such information is used to analyze the
risk of both intentional and unintentional vulnerabilities from development, manufacturing,
and delivery processes, people, and the environment. This review is performed on suppliers at
multiple tiers in the supply chain sufficient to manage risks. Related control: SA-15.
Supplemental Guidance:
(9)
SUPPLY CHAIN PROTECTION | OPERATIONS SECURITY
The organization employs [Assignment: organization-defined Operations Security (OPSEC)
safeguards] in accordance with classification guides to protect supply chain-related information
for the information system, system component, or information system service.
Supply chain information includes, for example: user identities; uses
for information systems, information system components, and information system services;
supplier identities; supplier processes; security requirements; design specifications; testing
and evaluation results; and system/component configurations. This control enhancement
expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process
of identifying critical information and subsequently analyzing friendly actions attendant to
operations and other activities to: (i) identify those actions that can be observed by potential
adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or
pieced together to derive critical information in sufficient time to cause harm to organizations;
(iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level,
exploitable vulnerabilities; and (iv) consider how aggregated information may compromise
the confidentiality of users or uses of the supply chain. OPSEC may require organizations to
withhold critical mission/business information from suppliers and may include the use of
intermediaries to hide the end use, or users, of information systems, system components, or
information system services.
Supplemental Guidance:
(10) SUPPLY CHAIN PROTECTION | VALIDATE AS GENUINE AND NOT ALTERED
The organization employs [Assignment: organization-defined security safeguards] to validate that
the information system or system component received is genuine and has not been altered.
For some information system components, especially hardware, there
are technical means to help determine if the components are genuine or have been altered.
Security safeguards used to validate the authenticity of information systems and information
system components include, for example, optical/nanotechnology tagging and side-channel
analysis. For hardware, detailed bill of material information can highlight the elements with
embedded logic complete with component and production location.
Supplemental Guidance:
(11) SUPPLY CHAIN PROTECTION | PENETRATION TESTING / ANALYSIS OF ELEMENTS, PROCESSES, AND ACTORS
The organization employs [Selection (one or more): organizational analysis, independent thirdparty analysis, organizational penetration testing, independent third-party penetration testing] of
[Assignment: organization-defined supply chain elements, processes, and actors] associated with
the information system, system component, or information system service.
This control enhancement addresses analysis and/or testing of the
supply chain, not just delivered items. Supply chain elements are information technology
products or product components that contain programmable logic and that are critically
important to information system functions. Supply chain processes include, for example: (i)
hardware, software, and firmware development processes; (ii) shipping/handling procedures;
(iii) personnel and physical security programs; (iv) configuration management tools/measures
to maintain provenance; or (v) any other programs, processes, or procedures associated with
the production/distribution of supply chain elements. Supply chain actors are individuals with
specific roles and responsibilities in the supply chain. The evidence generated during analyses
Supplemental Guidance:
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and testing of supply chain elements, processes, and actors is documented and used to inform
organizational risk management activities and decisions. Related control: RA-5.
(12) SUPPLY CHAIN PROTECTION | INTER-ORGANIZATIONAL AGREEMENTS
The organization establishes inter-organizational agreements and procedures with entities
involved in the supply chain for the information system, system component, or information system
service.
The establishment of inter-organizational agreements and procedures
provides for notification of supply chain compromises. Early notification of supply chain
compromises that can potentially adversely affect or have adversely affected organizational
information systems, including critical system components, is essential for organizations to
provide appropriate responses to such incidents.
Supplemental Guidance:
(13) SUPPLY CHAIN PROTECTION | CRITICAL INFORMATION SYSTEM COMPONENTS
The organization employs [Assignment: organization-defined security safeguards] to ensure an
adequate supply of [Assignment: organization-defined critical information system components].
Adversaries can attempt to impede organizational operations by
disrupting the supply of critical information system components or corrupting supplier
operations. Safeguards to ensure adequate supplies of critical information system components
include, for example: (i) the use of multiple suppliers throughout the supply chain for the
identified critical components; and (ii) stockpiling of spare components to ensure operation
during mission-critical times.
Supplemental Guidance:
(14) SUPPLY CHAIN PROTECTION | IDENTITY AND TRACEABILITY
The organization establishes and retains unique identification of [Assignment: organizationdefined supply chain elements, processes, and actors] for the information system, system
component, or information system service.
Knowing who and what is in the supply chains of organizations is
critical to gaining visibility into what is happening within such supply chains, as well as
monitoring and identifying high-risk events and activities. Without reasonable visibility and
traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for
organizations to understand and therefore manage risk, and to reduce the likelihood of adverse
events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission
and element processes, testing and evaluation procedures, delivery mechanisms, support
mechanisms, communications/delivery paths, and disposal/final disposition activities as well
as the components and tools used, establishes a foundational identity structure for assessment
of supply chain activities. For example, labeling (using serial numbers) and tagging (using
radio-frequency identification [RFID] tags) individual supply chain elements including
software packages, modules, and hardware devices, and processes associated with those
elements can be used for this purpose. Identification methods are sufficient to support the
provenance in the event of a supply chain issue or adverse supply chain event.
Supplemental Guidance:
(15) SUPPLY CHAIN PROTECTION | PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES
The organization establishes a process to address weaknesses or deficiencies in supply chain
elements identified during independent or organizational assessments of such elements.
Evidence generated during independent or organizational assessments
of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is
documented and used in follow-on processes implemented by organizations to respond to the
risks related to the identified weaknesses and deficiencies. Supply chain elements include, for
example, supplier development processes and supplier distribution systems.
Supplemental Guidance:
References:
NIST Special Publication 800-161; NIST Interagency Report 7622.
Priority and Baseline Allocation:
P1
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MOD Not Selected
HIGH SA-12
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SA-13
TRUSTWORTHINESS
Control:
The organization:
a.
Describes the trustworthiness required in the [Assignment: organization-defined information
system, information system component, or information system service] supporting its critical
missions/business functions; and
b.
Implements [Assignment: organization-defined assurance overlay] to achieve such
trustworthiness.
This control helps organizations to make explicit trustworthiness decisions
when designing, developing, and implementing information systems that are needed to conduct
critical organizational missions/business functions. Trustworthiness is a characteristic/property of
an information system that expresses the degree to which the system can be expected to preserve
the confidentiality, integrity, and availability of the information it processes, stores, or
transmits. Trustworthy information systems are systems that are capable of being trusted to
operate within defined levels of risk despite the environmental disruptions, human errors, and
purposeful attacks that are expected to occur in the specified environments of operation.
Trustworthy systems are important to mission/business success. Two factors affecting the
trustworthiness of information systems include: (i) security functionality (i.e., the security
features, functions, and/or mechanisms employed within the system and its environment of
operation); and (ii) security assurance (i.e., the grounds for confidence that the security
functionality is effective in its application). Developers, implementers, operators, and maintainers
of organizational information systems can increase the level of assurance (and trustworthiness),
for example, by employing well-defined security policy models, structured and rigorous hardware,
software, and firmware development techniques, sound system/security engineering principles,
and secure configuration settings (defined by a set of assurance-related security controls in
Appendix E).
Supplemental Guidance:
Assurance is also based on the assessment of evidence produced during the system development
life cycle. Critical missions/business functions are supported by high-impact systems and the
associated assurance requirements for such systems. The additional assurance controls in Table E4 in Appendix E (designated as optional) can be used to develop and implement high-assurance
solutions for specific information systems and system components using the concept of overlays
described in Appendix I. Organizations select assurance overlays that have been developed,
validated, and approved for community adoption (e.g., cross-organization, governmentwide),
limiting the development of such overlays on an organization-by-organization basis. Organizations
can conduct criticality analyses as described in SA-14, to determine the information systems,
system components, or information system services that require high-assurance solutions.
Trustworthiness requirements and assurance overlays can be described in the security plans for
organizational information systems. Related controls: RA-2, SA-4, SA-8, SA-14, SC-3.
Control Enhancements:
References:
None.
FIPS Publications 199, 200; NIST Special Publications 800-53, 800-53A, 800-60,
800-64.
Priority and Baseline Allocation:
P0
SA-14
LOW Not Selected
MOD Not Selected
HIGH Not Selected
CRITICALITY ANALYSIS
The organization identifies critical information system components and functions by
performing a criticality analysis for [Assignment: organization-defined information systems,
information system components, or information system services] at [Assignment: organizationdefined decision points in the system development life cycle].
Control:
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Criticality analysis is a key tenet of supply chain risk management and
informs the prioritization of supply chain protection activities such as attack surface reduction, use
of all-source intelligence, and tailored acquisition strategies. Information system engineers can
conduct an end-to-end functional decomposition of an information system to identify missioncritical functions and components. The functional decomposition includes the identification of
core organizational missions supported by the system, decomposition into the specific functions to
perform those missions, and traceability to the hardware, software, and firmware components that
implement those functions, including when the functions are shared by many components within
and beyond the information system boundary. Information system components that allow for
unmediated access to critical components or functions are considered critical due to the inherent
vulnerabilities such components create. Criticality is assessed in terms of the impact of the
function or component failure on the ability of the component to complete the organizational
missions supported by the information system. A criticality analysis is performed whenever an
architecture or design is being developed or modified, including upgrades. Related controls: CP-2,
PL-2, PL-8, PM-1, SA-8, SA-12, SA-13, SA-15, SA-20.
Supplemental Guidance:
Control Enhancements:
(1)
None.
CRITICALITY ANALYSIS | CRITICAL COMPONENTS WITH NO VIABLE ALTERNATIVE SOURCING
[Withdrawn: Incorporated into SA-20].
References:
None.
Priority and Baseline Allocation:
LOW Not Selected
P0
SA-15
MOD Not Selected
HIGH Not Selected
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
Control:
a.
b.
The organization:
Requires the developer of the information system, system component, or information system
service to follow a documented development process that:
1.
Explicitly addresses security requirements;
2.
Identifies the standards and tools used in the development process;
3.
Documents the specific tool options and tool configurations used in the development
process; and
4.
Documents, manages, and ensures the integrity of changes to the process and/or tools
used in development; and
Reviews the development process, standards, tools, and tool options/configurations
[Assignment: organization-defined frequency] to determine if the process, standards, tools,
and tool options/configurations selected and employed can satisfy [Assignment: organizationdefined security requirements].
Development tools include, for example, programming languages and
computer-aided design (CAD) systems. Reviews of development processes can include, for
example, the use of maturity models to determine the potential effectiveness of such processes.
Maintaining the integrity of changes to tools and processes enables accurate supply chain risk
assessment and mitigation, and requires robust configuration control throughout the life cycle
(including design, development, transport, delivery, integration, and maintenance) to track
authorized changes and prevent unauthorized changes. Related controls: SA-3, SA-8.
Supplemental Guidance:
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Control Enhancements:
(1)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | QUALITY METRICS
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Define quality metrics at the beginning of the development process; and
(b) Provide evidence of meeting the quality metrics [Selection (one or more): [Assignment:
organization-defined frequency]; [Assignment: organization-defined program review
milestones]; upon delivery].
Organizations use quality metrics to establish minimum acceptable
levels of information system quality. Metrics may include quality gates which are collections
of completion criteria or sufficiency standards representing the satisfactory execution of
particular phases of the system development project. A quality gate, for example, may require
the elimination of all compiler warnings or an explicit determination that the warnings have
no impact on the effectiveness of required security capabilities. During the execution phases
of development projects, quality gates provide clear, unambiguous indications of progress.
Other metrics apply to the entire development project. These metrics can include defining the
severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the
delivered information system with a Common Vulnerability Scoring System (CVSS) severity
of Medium or High.
Supplemental Guidance:
(2)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | SECURITY TRACKING TOOLS
The organization requires the developer of the information system, system component, or
information system service to select and employ a security tracking tool for use during the
development process.
Information system development teams select and deploy security
tracking tools, including, for example, vulnerability/work item tracking systems that facilitate
assignment, sorting, filtering, and tracking of completed work items or tasks associated with
system development processes.
Supplemental Guidance:
(3)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CRITICALITY ANALYSIS
The organization requires the developer of the information system, system component, or
information system service to perform a criticality analysis at [Assignment: organization-defined
breadth/depth] and at [Assignment: organization-defined decision points in the system
development life cycle].
This control enhancement provides developer input to the criticality
analysis performed by organizations in SA-14. Developer input is essential to such analysis
because organizations may not have access to detailed design documentation for information
system components that are developed as commercial off-the-shelf (COTS) information
technology products (e.g., functional specifications, high-level designs, low-level designs, and
source code/hardware schematics). Related controls: SA-4, SA-14.
Supplemental Guidance:
(4)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | THREAT MODELING / VULNERABILITY ANALYSIS
The organization requires that developers perform threat modeling and a vulnerability analysis for
the information system at [Assignment: organization-defined breadth/depth] that:
(a)
Uses [Assignment: organization-defined information concerning impact, environment of
operations, known or assumed threats, and acceptable risk levels];
(b) Employs [Assignment: organization-defined tools and methods]; and
(c)
Produces evidence that meets [Assignment: organization-defined acceptance criteria].
Supplemental Guidance:
(5)
Related control: SA-4.
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ATTACK SURFACE REDUCTION
The organization requires the developer of the information system, system component, or
information system service to reduce attack surfaces to [Assignment: organization-defined
thresholds].
Attack surface reduction is closely aligned with developer threat and
vulnerability analyses and information system architecture and design. Attack surface
reduction is a means of reducing risk to organizations by giving attackers less opportunity to
exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems,
Supplemental Guidance:
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information system components, and information system services. Attack surface reduction
includes, for example, applying the principle of least privilege, employing layered defenses,
applying the principle of least functionality (i.e., restricting ports, protocols, functions, and
services), deprecating unsafe functions, and eliminating application programming interfaces
(APIs) that are vulnerable to cyber attacks. Related control: CM-7.
(6)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CONTINUOUS IMPROVEMENT
The organization requires the developer of the information system, system component, or
information system service to implement an explicit process to continuously improve the
development process.
Developers of information systems, information system components,
and information system services consider the effectiveness/efficiency of current development
processes for meeting quality objectives and addressing security capabilities in current threat
environments.
Supplemental Guidance:
(7)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | AUTOMATED VULNERABILITY ANALYSIS
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Perform an automated vulnerability analysis using [Assignment: organization-defined tools];
(b) Determine the exploitation potential for discovered vulnerabilities;
(c)
Determine potential risk mitigations for delivered vulnerabilities; and
(d) Deliver the outputs of the tools and results of the analysis to [Assignment: organizationdefined personnel or roles].
Supplemental Guidance:
(8)
Related control: RA-5.
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | REUSE OF THREAT / VULNERABILITY INFORMATION
The organization requires the developer of the information system, system component, or
information system service to use threat modeling and vulnerability analyses from similar systems,
components, or services to inform the current development process.
Analysis of vulnerabilities found in similar software applications can
inform potential design or implementation issues for information systems under development.
Similar information systems or system components may exist within developer organizations.
Authoritative vulnerability information is available from a variety of public and private sector
sources including, for example, the National Vulnerability Database.
Supplemental Guidance:
(9)
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | USE OF LIVE DATA
The organization approves, documents, and controls the use of live data in development and test
environments for the information system, system component, or information system service.
The use of live data in preproduction environments can result in
significant risk to organizations. Organizations can minimize such risk by using test or
dummy data during the development and testing of information systems, information system
components, and information system services.
Supplemental Guidance:
(10) DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | INCIDENT RESPONSE PLAN
The organization requires the developer of the information system, system component, or
information system service to provide an incident response plan.
The incident response plan for developers of information systems,
system components, and information system services is incorporated into organizational
incident response plans to provide the type of incident response information not readily
available to organizations. Such information may be extremely helpful, for example, when
organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information
technology products. Related control: IR-8.
Supplemental Guidance:
(11) DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ARCHIVE INFORMATION SYSTEM / COMPONENT
The organization requires the developer of the information system or system component to archive
the system or component to be released or delivered together with the corresponding evidence
supporting the final security review.
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Archiving relevant documentation from the development process can
provide a readily available baseline of information that can be helpful during information
system/component upgrades or modifications.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P2
SA-16
LOW Not Selected
MOD Not Selected
HIGH SA-15
DEVELOPER-PROVIDED TRAINING
Control: The organization requires the developer of the information system, system component, or
information system service to provide [Assignment: organization-defined training] on the correct
use and operation of the implemented security functions, controls, and/or mechanisms.
This control applies to external and internal (in-house) developers. Training
of personnel is an essential element to ensure the effectiveness of security controls implemented
within organizational information systems. Training options include, for example, classroom-style
training, web-based/computer-based training, and hands-on training. Organizations can also
request sufficient training materials from developers to conduct in-house training or offer selftraining to organizational personnel. Organizations determine the type of training necessary and
may require different types of training for different security functions, controls, or mechanisms.
Related controls: AT-2, AT-3, SA-5.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P2
SA-17
LOW Not Selected
MOD Not Selected
HIGH SA-16
DEVELOPER SECURITY ARCHITECTURE AND DESIGN
The organization requires the developer of the information system, system component, or
information system service to produce a design specification and security architecture that:
Control:
a.
Is consistent with and supportive of the organization’s security architecture which is
established within and is an integrated part of the organization’s enterprise architecture;
b.
Accurately and completely describes the required security functionality, and the allocation of
security controls among physical and logical components; and
c.
Expresses how individual security functions, mechanisms, and services work together to
provide required security capabilities and a unified approach to protection.
This control is primarily directed at external developers, although it could
also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal
developers to help ensure that organizations develop an information security architecture and such
security architecture is integrated or tightly coupled to the enterprise architecture. This distinction
is important if/when organizations outsource the development of information systems, information
system components, or information system services to external entities, and there is a requirement
to demonstrate consistency with the organization’s enterprise architecture and information security
architecture. Related controls: PL-8, PM-7, SA-3, SA-8.
Supplemental Guidance:
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Control Enhancements:
(1)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL POLICY MODEL
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Produce, as an integral part of the development process, a formal policy model describing the
[Assignment: organization-defined elements of organizational security policy] to be enforced;
and
(b) Prove that the formal policy model is internally consistent and sufficient to enforce the
defined elements of the organizational security policy when implemented.
Formal models describe specific behaviors or security policies using
formal languages, thus enabling the correctness of those behaviors/policies to be formally
proven. Not all components of information systems can be modeled, and generally, formal
specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary
access control policies). Organizations choose the particular formal modeling language and
approach based on the nature of the behaviors/policies to be described and the available tools.
Formal modeling tools include, for example, Gypsy and Zed.
Supplemental Guidance:
(2)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | SECURITY-RELEVANT COMPONENTS
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Define security-relevant hardware, software, and firmware; and
(b) Provide a rationale that the definition for security-relevant hardware, software, and firmware is
complete.
Security-relevant hardware, software, and firmware represent the
portion of the information system, component, or service that must be trusted to perform
correctly in order to maintain required security properties. Related control: SA-5.
Supplemental Guidance:
(3)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL CORRESPONDENCE
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Produce, as an integral part of the development process, a formal top-level specification that
specifies the interfaces to security-relevant hardware, software, and firmware in terms of
exceptions, error messages, and effects;
(b) Show via proof to the extent feasible with additional informal demonstration as necessary,
that the formal top-level specification is consistent with the formal policy model;
(c)
Show via informal demonstration, that the formal top-level specification completely covers the
interfaces to security-relevant hardware, software, and firmware;
(d) Show that the formal top-level specification is an accurate description of the implemented
security-relevant hardware, software, and firmware; and
(e)
Describe the security-relevant hardware, software, and firmware mechanisms not addressed
in the formal top-level specification but strictly internal to the security-relevant hardware,
software, and firmware.
Correspondence is an important part of the assurance gained through
modeling. It demonstrates that the implementation is an accurate transformation of the model,
and that any additional code or implementation details present have no impact on the
behaviors or policies being modeled. Formal methods can be used to show that the high-level
security properties are satisfied by the formal information system description, and that the
formal system description is correctly implemented by a description of some lower level, for
example a hardware description. Consistency between the formal top-level specification and
the formal policy models is generally not amenable to being fully proven. Therefore, a
combination of formal/informal methods may be needed to show such consistency.
Consistency between the formal top-level specification and the implementation may require
the use of an informal demonstration due to limitations in the applicability of formal methods
to prove that the specification accurately reflects the implementation. Hardware, software, and
firmware mechanisms strictly internal to security-relevant hardware, software, and firmware
Supplemental Guidance:
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include, for example, mapping registers and direct memory input/output. Related control: SA5.
(4)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | INFORMAL CORRESPONDENCE
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Produce, as an integral part of the development process, an informal descriptive top-level
specification that specifies the interfaces to security-relevant hardware, software, and
firmware in terms of exceptions, error messages, and effects;
(b) Show via [Selection: informal demonstration, convincing argument with formal methods as
feasible] that the descriptive top-level specification is consistent with the formal policy model;
(c)
Show via informal demonstration, that the descriptive top-level specification completely
covers the interfaces to security-relevant hardware, software, and firmware;
(d) Show that the descriptive top-level specification is an accurate description of the interfaces to
security-relevant hardware, software, and firmware; and
(e)
Describe the security-relevant hardware, software, and firmware mechanisms not addressed
in the descriptive top-level specification but strictly internal to the security-relevant hardware,
software, and firmware.
Correspondence is an important part of the assurance gained through
modeling. It demonstrates that the implementation is an accurate transformation of the model,
and that any additional code or implementation details present has no impact on the behaviors
or policies being modeled. Consistency between the descriptive top-level specification (i.e.,
high-level/low-level design) and the formal policy model is generally not amenable to being
fully proven. Therefore, a combination of formal/informal methods may be needed to show
such consistency. Hardware, software, and firmware mechanisms strictly internal to securityrelevant hardware, software, and firmware include, for example, mapping registers and direct
memory input/output. Related control: SA-5.
Supplemental Guidance:
(5)
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | CONCEPTUALLY SIMPLE DESIGN
The organization requires the developer of the information system, system component, or
information system service to:
(a)
Design and structure the security-relevant hardware, software, and firmware to use a
complete, conceptually simple protection mechanism with precisely defined semantics; and
(b) Internally structure the security-relevant hardware, software, and firmware with specific regard
for this mechanism.
Supplemental Guidance:
(6)
Related control: SC-3.
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE FOR TESTING
The organization requires the developer of the information system, system component, or
information system service to structure security-relevant hardware, software, and firmware to
facilitate testing.
Supplemental Guidance:
(7)
Related control: SA-11.
DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE FOR LEAST PRIVILEGE
The organization requires the developer of the information system, system component, or
information system service to structure security-relevant hardware, software, and firmware to
facilitate controlling access with least privilege.
Supplemental Guidance:
References:
Related controls: AC-5, AC-6.
None.
Priority and Baseline Allocation:
P1
APPENDIX F-SA
LOW Not Selected
MOD Not Selected
HIGH SA-17
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SA-18
TAMPER RESISTANCE AND DETECTION
Control: The organization implements a tamper protection program for the information system,
system component, or information system service.
Anti-tamper technologies and techniques provide a level of protection for
critical information systems, system components, and information technology products against a
number of related threats including modification, reverse engineering, and substitution. Strong
identification combined with tamper resistance and/or tamper detection is essential to protecting
information systems, components, and products during distribution and when in use. Related
controls: PE-3, SA-12, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
TAMPER RESISTANCE AND DETECTION | MULTIPLE PHASES OF SDLC
The organization employs anti-tamper technologies and techniques during multiple phases in the
system development life cycle including design, development, integration, operations, and
maintenance.
Organizations use a combination of hardware and software techniques
for tamper resistance and detection. Organizations employ obfuscation and self-checking, for
example, to make reverse engineering and modifications more difficult, time-consuming, and
expensive for adversaries. Customization of information systems and system components can
make substitutions easier to detect and therefore limit damage. Related control: SA-3.
Supplemental Guidance:
(2)
TAMPER RESISTANCE AND DETECTION | INSPECTION OF INFORMATION SYSTEMS, COMPONENTS, OR DEVICES
The organization inspects [Assignment: organization-defined information systems, system
components, or devices] [Selection (one or more): at random; at [Assignment: organizationdefined frequency], upon [Assignment: organization-defined indications of need for inspection]] to
detect tampering.
This control enhancement addresses both physical and logical
tampering and is typically applied to mobile devices, notebook computers, or other system
components taken out of organization-controlled areas. Indications of need for inspection
include, for example, when individuals return from travel to high-risk locations. Related
control: SI-4.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SA-19
LOW Not Selected
MOD Not Selected
HIGH Not Selected
COMPONENT AUTHENTICITY
Control:
The organization:
a.
Develops and implements anti-counterfeit policy and procedures that include the means to
detect and prevent counterfeit components from entering the information system; and
b.
Reports counterfeit information system components to [Selection (one or more): source of
counterfeit component; [Assignment: organization-defined external reporting organizations];
[Assignment: organization-defined personnel or roles]].
Sources of counterfeit components include, for example, manufacturers,
developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper
resistance and provide a level of protection against the introduction of malicious code. External
reporting organizations include, for example, US-CERT. Related controls: PE-3, SA-12, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT TRAINING
The organization trains [Assignment: organization-defined personnel or roles] to detect counterfeit
information system components (including hardware, software, and firmware).
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(2)
COMPONENT AUTHENTICITY | CONFIGURATION CONTROL FOR COMPONENT SERVICE / REPAIR
The organization maintains configuration control over [Assignment: organization-defined
information system components] awaiting service/repair and serviced/repaired components
awaiting return to service.
(3)
COMPONENT AUTHENTICITY | COMPONENT DISPOSAL
The organization disposes of information system components using [Assignment: organizationdefined techniques and methods].
Proper disposal of information system components helps to prevent
such components from entering the gray market.
Supplemental Guidance:
(4)
COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT SCANNING
The organization scans for counterfeit information system components [Assignment: organizationdefined frequency].
References:
None.
Priority and Baseline Allocation:
P0
SA-20
LOW Not Selected
MOD Not Selected
HIGH Not Selected
CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
Control: The organization re-implements or custom develops [Assignment: organization-defined
critical information system components].
Organizations determine that certain information system components likely
cannot be trusted due to specific threats to and vulnerabilities in those components, and for which
there are no viable security controls to adequately mitigate the resulting risk. Re-implementation
or custom development of such components helps to satisfy requirements for higher assurance.
This is accomplished by initiating changes to system components (including hardware, software,
and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations
where no alternative sourcing is available and organizations choose not to re-implement or custom
develop critical information system components, additional safeguards can be employed (e.g.,
enhanced auditing, restrictions on source code and system utility access, and protection from
deletion of system and application files. Related controls: CP-2, SA-8, SA-14.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
SA-21
LOW Not Selected
MOD Not Selected
HIGH Not Selected
DEVELOPER SCREENING
Control: The organization requires that the developer of [Assignment: organization-defined
information system, system component, or information system service]:
a.
Have appropriate access authorizations as determined by assigned [Assignment: organizationdefined official government duties]; and
b.
Satisfy [Assignment: organization-defined additional personnel screening criteria].
Because the information system, system component, or information system
service may be employed in critical activities essential to the national and/or economic security
interests of the United States, organizations have a strong interest in ensuring that the developer is
trustworthy. The degree of trust required of the developer may need to be consistent with that of
Supplemental Guidance:
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the individuals accessing the information system/component/service once deployed. Examples of
authorization and personnel screening criteria include clearance, satisfactory background checks,
citizenship, and nationality. Trustworthiness of developers may also include a review and analysis
of company ownership and any relationships the company has with entities potentially affecting
the quality/reliability of the systems, components, or services being developed. Related controls:
PS-3, PS-7.
Control Enhancements:
(1)
DEVELOPER SCREENING | VALIDATION OF SCREENING
The organization requires the developer of the information system, system component, or
information system service take [Assignment: organization-defined actions] to ensure that the
required access authorizations and screening criteria are satisfied.
Satisfying required access authorizations and personnel screening
criteria includes, for example, providing a listing of all the individuals authorized to perform
development activities on the selected information system, system component, or information
system service so that organizations can validate that the developer has satisfied the necessary
authorization and screening requirements.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SA-22
LOW Not Selected
MOD Not Selected
HIGH Not Selected
UNSUPPORTED SYSTEM COMPONENTS
Control:
The organization:
a.
Replaces information system components when support for the components is no longer
available from the developer, vendor, or manufacturer; and
b.
Provides justification and documents approval for the continued use of unsupported system
components required to satisfy mission/business needs.
Support for information system components includes, for example,
software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported
components (e.g., when vendors are no longer providing critical software patches), provide a
substantial opportunity for adversaries to exploit new weaknesses discovered in the currently
installed components. Exceptions to replacing unsupported system components may include, for
example, systems that provide critical mission/business capability where newer technologies are
not available or where the systems are so isolated that installing replacement components is not an
option. Related controls: PL-2, SA-3.
Supplemental Guidance:
Control Enhancements:
(1)
UNSUPPORTED SYSTEM COMPONENTS | ALTERNATIVE SOURCES FOR CONTINUED SUPPORT
The organization provides [Selection (one or more): in-house support; [Assignment: organizationdefined support from external providers]] for unsupported information system components.
This control enhancement addresses the need to provide continued
support for selected information system components that are no longer supported by the
original developers, vendors, or manufacturers when such components remain essential to
mission/business operations. Organizations can establish in-house support, for example, by
developing customized patches for critical software components or secure the services of
external providers who through contractual relationships, provide ongoing support for the
designated unsupported components. Such contractual relationships can include, for example,
Open Source Software value-added vendors.
Supplemental Guidance:
References:
APPENDIX F-SA
None.
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Priority and Baseline Allocation:
P0
LOW Not Selected
MOD Not Selected
HIGH Not Selected
SYSTEM AND SERVICES ACQUISITION CONTROLS
DEVELOPMENT OF SYSTEMS, COMPONENTS, AND SERVICES
With the renewed emphasis on trustworthy information systems and supply chain security, it is
essential that organizations have the capability to express their information security requirements
with clarity and specificity in order to engage the information technology industry and obtain the
systems, components, and services necessary for mission and business success. To ensure that
organizations have such capability, this publication provides a set of security controls in the System
and Services Acquisition family (i.e., SA family) addressing requirements for the development of
information systems, information technology products, and information system services. Therefore,
many of the controls in the SA family are directed at developers of those systems, components, and
services. It is important for organizations to recognize that the scope of the security controls in the
SA family includes all system/component/service development and the developers associated with
such development whether the development is conducted by internal organizational personnel or by
external developers through the contracting/acquisition process. Affected controls include SA-8,
SA-10, SA-11, SA-15, SA-16, SA-17, SA-20, and SA-21.
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FAMILY: SYSTEM AND COMMUNICATIONS PROTECTION
SC-1
SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A system and communications protection policy that addresses purpose, scope, roles,
responsibilities, management commitment, coordination among organizational entities,
and compliance; and
2.
Procedures to facilitate the implementation of the system and communications protection
policy and associated system and communications protection controls; and
Reviews and updates the current:
1.
System and communications protection policy [Assignment: organization-defined
frequency]; and
2.
System and communications protection procedures [Assignment: organization-defined
frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the SC family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
SC-2
LOW SC-1
MOD SC-1
HIGH SC-1
APPLICATION PARTITIONING
The information system separates user functionality (including user interface services)
from information system management functionality.
Control:
Information system management functionality includes, for example,
functions necessary to administer databases, network components, workstations, or servers, and
typically requires privileged user access. The separation of user functionality from information
system management functionality is either physical or logical. Organizations implement separation
of system management-related functionality from user functionality by using different computers,
different central processing units, different instances of operating systems, different network
addresses, virtualization techniques, or combinations of these or other methods, as appropriate.
This type of separation includes, for example, web administrative interfaces that use separate
authentication methods for users of any other information system resources. Separation of system
and user functionality may include isolating administrative interfaces on different domains and
with additional access controls. Related controls: SA-4, SA-8, SC-3.
Supplemental Guidance:
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Control Enhancements:
(1)
APPLICATION PARTITIONING | INTERFACES FOR NON-PRIVILEGED USERS
The information system prevents the presentation of information system management-related
functionality at an interface for non-privileged users.
This control enhancement ensures that administration options (e.g.,
administrator privileges) are not available to general users (including prohibiting the use of
the grey-out option commonly used to eliminate accessibility to such information). Such
restrictions include, for example, not presenting administration options until users establish
sessions with administrator privileges. Related control: AC-3.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
SC-3
LOW Not Selected
MOD SC-2
HIGH SC-2
SECURITY FUNCTION ISOLATION
Control:
The information system isolates security functions from nonsecurity functions.
The information system isolates security functions from nonsecurity
functions by means of an isolation boundary (implemented via partitions and domains). Such
isolation controls access to and protects the integrity of the hardware, software, and firmware that
perform those security functions. Information systems implement code separation (i.e., separation
of security functions from nonsecurity functions) in a number of ways, including, for example,
through the provision of security kernels via processor rings or processor modes. For non-kernel
code, security function isolation is often achieved through file system protections that serve to
protect the code on disk, and address space protections that protect executing code. Information
systems restrict access to security functions through the use of access control mechanisms and by
implementing least privilege capabilities. While the ideal is for all of the code within the security
function isolation boundary to only contain security-relevant code, it is sometimes necessary to
include nonsecurity functions within the isolation boundary as an exception. Related controls: AC3, AC-6, SA-4, SA-5, SA-8, SA-13, SC-2, SC-7, SC-39.
Supplemental Guidance:
Control Enhancements:
(1)
SECURITY FUNCTION ISOLATION | HARDWARE SEPARATION
The information system utilizes underlying hardware separation mechanisms to implement
security function isolation.
Underlying hardware separation mechanisms include, for example,
hardware ring architectures, commonly implemented within microprocessors, and hardwareenforced address segmentation used to support logically distinct storage objects with separate
attributes (i.e., readable, writeable).
Supplemental Guidance:
(2)
SECURITY FUNCTION ISOLATION | ACCESS / FLOW CONTROL FUNCTIONS
The information system isolates security functions enforcing access and information flow control
from nonsecurity functions and from other security functions.
Security function isolation occurs as a result of implementation; the
functions can still be scanned and monitored. Security functions that are potentially isolated
from access and flow control enforcement functions include, for example, auditing, intrusion
detection, and anti-virus functions.
Supplemental Guidance:
(3)
SECURITY FUNCTION ISOLATION | MINIMIZE NONSECURITY FUNCTIONALITY
The organization minimizes the number of nonsecurity functions included within the isolation
boundary containing security functions.
In those instances where it is not feasible to achieve strict isolation of
nonsecurity functions from security functions, it is necessary to take actions to minimize the
nonsecurity-relevant functions within the security function boundary. Nonsecurity functions
Supplemental Guidance:
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contained within the isolation boundary are considered security-relevant because errors or
maliciousness in such software, by virtue of being within the boundary, can impact the
security functions of organizational information systems. The design objective is that the
specific portions of information systems providing information security are of minimal
size/complexity. Minimizing the number of nonsecurity functions in the security-relevant
components of information systems allows designers and implementers to focus only on those
functions which are necessary to provide the desired security capability (typically access
enforcement). By minimizing nonsecurity functions within the isolation boundaries, the
amount of code that must be trusted to enforce security policies is reduced, thus contributing
to understandability.
(4)
SECURITY FUNCTION ISOLATION | MODULE COUPLING AND COHESIVENESS
The organization implements security functions as largely independent modules that maximize
internal cohesiveness within modules and minimize coupling between modules.
The reduction in inter-module interactions helps to constrain security
functions and to manage complexity. The concepts of coupling and cohesion are important
with respect to modularity in software design. Coupling refers to the dependencies that one
module has on other modules. Cohesion refers to the relationship between the different
functions within a particular module. Good software engineering practices rely on modular
decomposition, layering, and minimization to reduce and manage complexity, thus producing
software modules that are highly cohesive and loosely coupled.
Supplemental Guidance:
(5)
SECURITY FUNCTION ISOLATION | LAYERED STRUCTURES
The organization implements security functions as a layered structure minimizing interactions
between layers of the design and avoiding any dependence by lower layers on the functionality or
correctness of higher layers.
The implementation of layered structures with minimized interactions
among security functions and non-looping layers (i.e., lower-layer functions do not depend on
higher-layer functions) further enables the isolation of security functions and management of
complexity.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
SC-4
LOW Not Selected
MOD Not Selected
HIGH SC-3
INFORMATION IN SHARED RESOURCES
The information system prevents unauthorized and unintended information transfer via
shared system resources.
Control:
This control prevents information, including encrypted representations of
information, produced by the actions of prior users/roles (or the actions of processes acting on
behalf of prior users/roles) from being available to any current users/roles (or current processes)
that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those
resources have been released back to information systems. The control of information in shared
resources is also commonly referred to as object reuse and residual information protection. This
control does not address: (i) information remanence which refers to residual representation of data
that has been nominally erased or removed; (ii) covert channels (including storage and/or timing
channels) where shared resources are manipulated to violate information flow restrictions; or (iii)
components within information systems for which there are only single users/roles. Related
controls: AC-3, AC-4, MP-6.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION IN SHARED RESOURCES | SECURITY LEVELS
[Withdrawn: Incorporated into SC-4].
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(2)
INFORMATION IN SHARED RESOURCES | PERIODS PROCESSING
The information system prevents unauthorized information transfer via shared resources in
accordance with [Assignment: organization-defined procedures] when system processing
explicitly switches between different information classification levels or security categories.
This control enhancement applies when there are explicit changes in
information processing levels during information system operations, for example, during
multilevel processing and periods processing with information at different classification levels
or security categories. Organization-defined procedures may include, for example, approved
sanitization processes for electronically stored information.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
LOW Not Selected
P1
SC-5
MOD SC-4
HIGH SC-4
DENIAL OF SERVICE PROTECTION
The information system protects against or limits the effects of the following types of
denial of service attacks: [Assignment: organization-defined types of denial of service attacks or
references to sources for such information] by employing [Assignment: organization-defined
security safeguards].
Control:
A variety of technologies exist to limit, or in some cases, eliminate the
effects of denial of service attacks. For example, boundary protection devices can filter certain
types of packets to protect information system components on internal organizational networks
from being directly affected by denial of service attacks. Employing increased capacity and
bandwidth combined with service redundancy may also reduce the susceptibility to denial of
service attacks. Related controls: SC-6, SC-7.
Supplemental Guidance:
Control Enhancements:
(1)
DENIAL OF SERVICE PROTECTION | RESTRICT INTERNAL USERS
The information system restricts the ability of individuals to launch [Assignment: organizationdefined denial of service attacks] against other information systems.
Supplemental Guidance:
Restricting the ability of individuals to launch denial of service attacks
requires that the mechanisms used for such attacks are unavailable. Individuals of concern can
include, for example, hostile insiders or external adversaries that have successfully breached
the information system and are using the system as a platform to launch cyber attacks on third
parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary
information on the transport medium (i.e., network, wireless spectrum). Organizations can
also limit the ability of individuals to use excessive information system resources. Protection
against individuals having the ability to launch denial of service attacks may be implemented
on specific information systems or on boundary devices prohibiting egress to potential target
systems.
(2)
DENIAL OF SERVICE PROTECTION | EXCESS CAPACITY / BANDWIDTH / REDUNDANCY
The information system manages excess capacity, bandwidth, or other redundancy to limit the
effects of information flooding denial of service attacks.
Supplemental Guidance:
Managing excess capacity ensures that sufficient capacity is available
to counter flooding attacks. Managing excess capacity may include, for example, establishing
selected usage priorities, quotas, or partitioning.
(3)
DENIAL OF SERVICE PROTECTION | DETECTION / MONITORING
The organization:
(a)
APPENDIX F-SC
Employs [Assignment: organization-defined monitoring tools] to detect indicators of denial of
service attacks against the information system; and
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(b) Monitors [Assignment: organization-defined information system resources] to determine if
sufficient resources exist to prevent effective denial of service attacks.
Organizations consider utilization and capacity of information system
resources when managing risk from denial of service due to malicious attacks. Denial of
service attacks can originate from external or internal sources. Information system resources
sensitive to denial of service include, for example, physical disk storage, memory, and CPU
cycles. Common safeguards to prevent denial of service attacks related to storage utilization
and capacity include, for example, instituting disk quotas, configuring information systems to
automatically alert administrators when specific storage capacity thresholds are reached, using
file compression technologies to maximize available storage space, and imposing separate
partitions for system and user data. Related controls: CA-7, SI-4.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
SC-6
LOW SC-5
MOD SC-5
HIGH SC-5
RESOURCE AVAILABILITY
The information system protects the availability of resources by allocating [Assignment:
organization-defined resources] by [Selection (one or more); priority; quota; [Assignment:
organization-defined security safeguards]].
Control:
Priority protection helps prevent lower-priority processes from delaying or
interfering with the information system servicing any higher-priority processes. Quotas prevent
users or processes from obtaining more than predetermined amounts of resources. This control
does not apply to information system components for which there are only single users/roles.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
SC-7
LOW Not Selected
MOD Not Selected
HIGH Not Selected
BOUNDARY PROTECTION
Control:
The information system:
a.
Monitors and controls communications at the external boundary of the system and at key
internal boundaries within the system;
b.
Implements subnetworks for publicly accessible system components that are [Selection:
physically; logically] separated from internal organizational networks; and
c.
Connects to external networks or information systems only through managed interfaces
consisting of boundary protection devices arranged in accordance with an organizational
security architecture.
Managed interfaces include, for example, gateways, routers, firewalls,
guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels
implemented within a security architecture (e.g., routers protecting firewalls or application
gateways residing on protected subnetworks). Subnetworks that are physically or logically
separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or
prohibiting interfaces within organizational information systems includes, for example, restricting
external web traffic to designated web servers within managed interfaces and prohibiting external
Supplemental Guidance:
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traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of
commercial telecommunications services in the implementation of security controls associated
with the use of such services. Commercial telecommunications services are commonly based on
network components and consolidated management systems shared by all attached commercial
customers, and may also include third party-provided access lines and other service elements.
Such transmission services may represent sources of increased risk despite contract security
provisions. Related controls: AC-4, AC-17, CA-3, CM-7, CP-8, IR-4, RA-3, SC-5, SC-13.
Control Enhancements:
(1)
BOUNDARY PROTECTION | PHYSICALLY SEPARATED SUBNETWORKS
[Withdrawn: Incorporated into SC-7].
(2)
BOUNDARY PROTECTION | PUBLIC ACCESS
[Withdrawn: Incorporated into SC-7].
(3)
BOUNDARY PROTECTION | ACCESS POINTS
The organization limits the number of external network connections to the information system.
Limiting the number of external network connections facilitates more
comprehensive monitoring of inbound and outbound communications traffic. The Trusted
Internet Connection (TIC) initiative is an example of limiting the number of external network
connections.
Supplemental Guidance:
(4)
BOUNDARY PROTECTION | EXTERNAL TELECOMMUNICATIONS SERVICES
The organization:
(a)
Implements a managed interface for each external telecommunication service;
(b) Establishes a traffic flow policy for each managed interface;
(c)
Protects the confidentiality and integrity of the information being transmitted across each
interface;
(d) Documents each exception to the traffic flow policy with a supporting mission/business need
and duration of that need; and
(e)
Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency]
and removes exceptions that are no longer supported by an explicit mission/business need.
Supplemental Guidance:
(5)
Related control: SC-8.
BOUNDARY PROTECTION | DENY BY DEFAULT / ALLOW BY EXCEPTION
The information system at managed interfaces denies network communications traffic by default
and allows network communications traffic by exception (i.e., deny all, permit by exception).
This control enhancement applies to both inbound and outbound
network communications traffic. A deny-all, permit-by-exception network communications
traffic policy ensures that only those connections which are essential and approved are
allowed.
Supplemental Guidance:
(6)
BOUNDARY PROTECTION | RESPONSE TO RECOGNIZED FAILURES
[Withdrawn: Incorporated into SC-7 (18)].
(7)
BOUNDARY PROTECTION | PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
The information system, in conjunction with a remote device, prevents the device from
simultaneously establishing non-remote connections with the system and communicating via
some other connection to resources in external networks.
This control enhancement is implemented within remote devices (e.g.,
notebook computers) through configuration settings to disable split tunneling in those devices,
and by preventing those configuration settings from being readily configurable by users. This
control enhancement is implemented within the information system by the detection of split
tunneling (or of configuration settings that allow split tunneling) in the remote device, and by
prohibiting the connection if the remote device is using split tunneling. Split tunneling might
be desirable by remote users to communicate with local information system resources such as
printers/file servers. However, split tunneling would in effect allow unauthorized external
connections, making the system more vulnerable to attack and to exfiltration of organizational
Supplemental Guidance:
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information. The use of VPNs for remote connections, when adequately provisioned with
appropriate security controls, may provide the organization with sufficient assurance that it
can effectively treat such connections as non-remote connections from the confidentiality and
integrity perspective. VPNs thus provide a means for allowing non-remote communications
paths from remote devices. The use of an adequately provisioned VPN does not eliminate the
need for preventing split tunneling.
(8)
BOUNDARY PROTECTION | ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS
The information system routes [Assignment: organization-defined internal communications traffic]
to [Assignment: organization-defined external networks] through authenticated proxy servers at
managed interfaces.
External networks are networks outside of organizational control. A
proxy server is a server (i.e., information system or application) that acts as an intermediary
for clients requesting information system resources (e.g., files, connections, web pages, or
services) from other organizational servers. Client requests established through an initial
connection to the proxy server are evaluated to manage complexity and to provide additional
protection by limiting direct connectivity. Web content filtering devices are one of the most
common proxy servers providing access to the Internet. Proxy servers support logging
individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform
Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies
can be configured with organization-defined lists of authorized and unauthorized websites.
Related controls: AC-3, AU-2.
Supplemental Guidance:
(9)
BOUNDARY PROTECTION | RESTRICT THREATENING OUTGOING COMMUNICATIONS TRAFFIC
The information system:
(a)
Detects and denies outgoing communications traffic posing a threat to external information
systems; and
(b) Audits the identity of internal users associated with denied communications.
Detecting outgoing communications traffic from internal actions that
may pose threats to external information systems is sometimes termed extrusion detection.
Extrusion detection at information system boundaries as part of managed interfaces includes
the analysis of incoming and outgoing communications traffic searching for indications of
internal threats to the security of external systems. Such threats include, for example, traffic
indicative of denial of service attacks and traffic containing malicious code. Related controls:
AU-2, AU-6, SC-38, SC-44, SI-3, SI-4.
Supplemental Guidance:
(10) BOUNDARY PROTECTION | PREVENT UNAUTHORIZED EXFILTRATION
The organization prevents the unauthorized exfiltration of information across managed interfaces.
Safeguards implemented by organizations to prevent unauthorized
exfiltration of information from information systems include, for example: (i) strict adherence
to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring
for steganography; (iv) disconnecting external network interfaces except when explicitly
needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile
analysis to detect deviations from the volume/types of traffic expected within organizations or
call backs to command and control centers. Devices enforcing strict adherence to protocol
formats include, for example, deep packet inspection firewalls and XML gateways. These
devices verify adherence to protocol formats and specification at the application layer and
serve to identify vulnerabilities that cannot be detected by devices operating at the network or
transport layers. This control enhancement is closely associated with cross-domain solutions
and system guards enforcing information flow requirements. Related control: SI-3.
Supplemental Guidance:
(11) BOUNDARY PROTECTION | RESTRICT INCOMING COMMUNICATIONS TRAFFIC
The information system only allows incoming communications from [Assignment: organizationdefined authorized sources] to be routed to [Assignment: organization-defined authorized
destinations].
This control enhancement provides determinations that source and
destination address pairs represent authorized/allowed communications. Such determinations
can be based on several factors including, for example, the presence of source/destination
Supplemental Guidance:
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address pairs in lists of authorized/allowed communications, the absence of address pairs in
lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed
source/destination pairs. Related control: AC-3.
(12) BOUNDARY PROTECTION | HOST-BASED PROTECTION
The organization implements [Assignment: organization-defined host-based boundary protection
mechanisms] at [Assignment: organization-defined information system components].
Host-based boundary protection mechanisms include, for example,
host-based firewalls. Information system components employing host-based boundary
protection mechanisms include, for example, servers, workstations, and mobile devices.
Supplemental Guidance:
(13) BOUNDARY PROTECTION | ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
The organization isolates [Assignment: organization-defined information security tools,
mechanisms, and support components] from other internal information system components by
implementing physically separate subnetworks with managed interfaces to other components of
the system.
Physically separate subnetworks with managed interfaces are useful,
for example, in isolating computer network defenses from critical operational processing
networks to prevent adversaries from discovering the analysis and forensics techniques of
organizations. Related controls: SA-8, SC-2, SC-3.
Supplemental Guidance:
(14) BOUNDARY PROTECTION | PROTECTS AGAINST UNAUTHORIZED PHYSICAL CONNECTIONS
The organization protects against unauthorized physical connections at [Assignment:
organization-defined managed interfaces].
Information systems operating at different security categories or
classification levels may share common physical and environmental controls, since the
systems may share space within organizational facilities. In practice, it is possible that these
separate information systems may share common equipment rooms, wiring closets, and cable
distribution paths. Protection against unauthorized physical connections can be achieved, for
example, by employing clearly identified and physically separated cable trays, connection
frames, and patch panels for each side of managed interfaces with physical access controls
enforcing limited authorized access to these items. Related controls: PE-4, PE-19.
Supplemental Guidance:
(15) BOUNDARY PROTECTION | ROUTE PRIVILEGED NETWORK ACCESSES
The information system routes all networked, privileged accesses through a dedicated, managed
interface for purposes of access control and auditing.
Supplemental Guidance:
Related controls: AC-2, AC-3, AU-2, SI-4.
(16) BOUNDARY PROTECTION | PREVENT DISCOVERY OF COMPONENTS / DEVICES
The information system prevents discovery of specific system components composing a managed
interface.
This control enhancement protects network addresses of information
system components that are part of managed interfaces from discovery through common tools
and techniques used to identify devices on networks. Network addresses are not available for
discovery (e.g., network address not published or entered in domain name systems), requiring
prior knowledge for access. Another obfuscation technique is to periodically change network
addresses.
Supplemental Guidance:
(17) BOUNDARY PROTECTION | AUTOMATED ENFORCEMENT OF PROTOCOL FORMATS
The information system enforces adherence to protocol formats.
Information system components that enforce protocol formats include,
for example, deep packet inspection firewalls and XML gateways. Such system components
verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and
identify significant vulnerabilities that cannot be detected by devices operating at the network
or transport layers. Related control: SC-4.
Supplemental Guidance:
(18) BOUNDARY PROTECTION | FAIL SECURE
The information system fails securely in the event of an operational failure of a boundary
protection device.
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Fail secure is a condition achieved by employing information system
mechanisms to ensure that in the event of operational failures of boundary protection devices
at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on
protected subnetworks commonly referred to as demilitarized zones), information systems do
not enter into unsecure states where intended security properties no longer hold. Failures of
boundary protection devices cannot lead to, or cause information external to the devices to
enter the devices, nor can failures permit unauthorized information releases. Related controls:
CP-2, SC-24.
Supplemental Guidance:
(19) BOUNDARY PROTECTION | BLOCKS COMMUNICATION FROM NON-ORGANIZATIONALLY CONFIGURED HOSTS
The information system blocks both inbound and outbound communications traffic between
[Assignment: organization-defined communication clients] that are independently configured by
end users and external service providers.
Communication clients independently configured by end users and
external service providers include, for example, instant messaging clients. Traffic blocking
does not apply to communication clients that are configured by organizations to perform
authorized functions.
Supplemental Guidance:
(20) BOUNDARY PROTECTION | DYNAMIC ISOLATION / SEGREGATION
The information system provides the capability to dynamically isolate/segregate [Assignment:
organization-defined information system components] from other components of the system.
The capability to dynamically isolate or segregate certain internal
components of organizational information systems is useful when it is necessary to partition
or separate certain components of dubious origin from those components possessing greater
trustworthiness. Component isolation reduces the attack surface of organizational information
systems. Isolation of selected information system components is also a means of limiting the
damage from successful cyber attacks when those attacks occur.
Supplemental Guidance:
(21) BOUNDARY PROTECTION | ISOLATION OF INFORMATION SYSTEM COMPONENTS
The organization employs boundary protection mechanisms to separate [Assignment:
organization-defined information system components] supporting [Assignment: organizationdefined missions and/or business functions].
Organizations can isolate information system components performing
different missions and/or business functions. Such isolation limits unauthorized information
flows among system components and also provides the opportunity to deploy greater levels of
protection for selected components. Separating system components with boundary protection
mechanisms provides the capability for increased protection of individual components and to
more effectively control information flows between those components. This type of enhanced
protection limits the potential harm from cyber attacks and errors. The degree of separation
provided varies depending upon the mechanisms chosen. Boundary protection mechanisms
include, for example, routers, gateways, and firewalls separating system components into
physically separate networks or subnetworks, cross-domain devices separating subnetworks,
virtualization techniques, and encrypting information flows among system components using
distinct encryption keys. Related controls: CA-9, SC-3.
Supplemental Guidance:
(22) BOUNDARY PROTECTION | SEPARATE SUBNETS FOR CONNECTING TO DIFFERENT SECURITY DOMAINS
The information system implements separate network addresses (i.e., different subnets) to connect
to systems in different security domains.
Decomposition of information systems into subnets helps to provide
the appropriate level of protection for network connections to different security domains
containing information with different security categories or classification levels.
Supplemental Guidance:
(23) BOUNDARY PROTECTION | DISABLE SENDER FEEDBACK ON PROTOCOL VALIDATION FAILURE
The information system disables feedback to senders on protocol format validation failure.
Disabling feedback to senders when there is a failure in protocol
validation format prevents adversaries from obtaining information which would otherwise be
unavailable.
Supplemental Guidance:
References:
APPENDIX F-SC
FIPS Publication 199; NIST Special Publications 800-41, 800-77.
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Priority and Baseline Allocation:
P1
SC-8
LOW SC-7
MOD SC-7 (3) (4) (5) (7)
HIGH SC-7 (3) (4) (5) (7) (8) (18) (21)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY
The information system protects the [Selection (one or more): confidentiality; integrity] of
transmitted information.
Control:
This control applies to both internal and external networks and all types of
information system components from which information can be transmitted (e.g., servers, mobile
devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication
paths outside the physical protection of a controlled boundary are exposed to the possibility of
interception and modification. Protecting the confidentiality and/or integrity of organizational
information can be accomplished by physical means (e.g., by employing protected distribution
systems) or by logical means (e.g., employing encryption techniques). Organizations relying on
commercial providers offering transmission services as commodity services rather than as fully
dedicated services (i.e., services which can be highly specialized to individual customer needs),
may find it difficult to obtain the necessary assurances regarding the implementation of needed
security controls for transmission confidentiality/integrity. In such situations, organizations
determine what types of confidentiality/integrity services are available in standard, commercial
telecommunication service packages. If it is infeasible or impractical to obtain the necessary
security controls and assurances of control effectiveness through appropriate contracting vehicles,
organizations implement appropriate compensating security controls or explicitly accept the
additional risk. Related controls: AC-17, PE-4.
Supplemental Guidance:
Control Enhancements:
(1)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION
The information system implements cryptographic mechanisms to [Selection (one or more):
prevent unauthorized disclosure of information; detect changes to information] during
transmission unless otherwise protected by [Assignment: organization-defined alternative physical
safeguards].
Encrypting information for transmission protects information from
unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect
information integrity include, for example, cryptographic hash functions which have common
application in digital signatures, checksums, and message authentication codes. Alternative
physical security safeguards include, for example, protected distribution systems. Related
control: SC-13.
Supplemental Guidance:
(2)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | PRE / POST TRANSMISSION HANDLING
The information system maintains the [Selection (one or more): confidentiality; integrity] of
information during preparation for transmission and during reception.
Information can be either unintentionally or maliciously disclosed or
modified during preparation for transmission or during reception including, for example,
during aggregation, at protocol transformation points, and during packing/unpacking. These
unauthorized disclosures or modifications compromise the confidentiality or integrity of the
information. Related control: AU-10.
Supplemental Guidance:
(3)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CRYPTOGRAPHIC PROTECTION FOR MESSAGE EXTERNALS
The information system implements cryptographic mechanisms to protect message externals
unless otherwise protected by [Assignment: organization-defined alternative physical safeguards].
This control enhancement addresses protection against unauthorized
disclosure of information. Message externals include, for example, message headers/routing
information. This control enhancement prevents the exploitation of message externals and
applies to both internal and external networks or links that may be visible to individuals who
are not authorized users. Header/routing information is sometimes transmitted unencrypted
because the information is not properly identified by organizations as having significant value
Supplemental Guidance:
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or because encrypting the information can result in lower network performance and/or higher
costs. Alternative physical safeguards include, for example, protected distribution systems.
Related controls: SC-12, SC-13.
(4)
TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CONCEAL / RANDOMIZE COMMUNICATIONS
The information system implements cryptographic mechanisms to conceal or randomize
communication patterns unless otherwise protected by [Assignment: organization-defined
alternative physical safeguards].
This control enhancement addresses protection against unauthorized
disclosure of information. Communication patterns include, for example, frequency, periods,
amount, and predictability. Changes to communications patterns can reveal information
having intelligence value especially when combined with other available information related
to missions/business functions supported by organizational information systems. This control
enhancement prevents the derivation of intelligence based on communications patterns and
applies to both internal and external networks or links that may be visible to individuals who
are not authorized users. Encrypting the links and transmitting in continuous, fixed/random
patterns prevents the derivation of intelligence from the system communications patterns.
Alternative physical safeguards include, for example, protected distribution systems. Related
controls: SC-12, SC-13.
Supplemental Guidance:
FIPS Publications 140-2, 197; NIST Special Publications 800-52, 800-77, 800-81,
800-113; CNSS Policy 15; NSTISSI No. 7003.
References:
Priority and Baseline Allocation:
P1
SC-9
LOW Not Selected
MOD SC-8 (1)
HIGH SC-8 (1)
TRANSMISSION CONFIDENTIALITY
[Withdrawn: Incorporated into SC-8].
SC-10
NETWORK DISCONNECT
The information system terminates the network connection associated with a
communications session at the end of the session or after [Assignment: organization-defined time
period] of inactivity.
Control:
This control applies to both internal and external networks. Terminating
network connections associated with communications sessions include, for example, de-allocating
associated TCP/IP address/port pairs at the operating system level, or de-allocating networking
assignments at the application level if multiple application sessions are using a single, operating
system-level network connection. Time periods of inactivity may be established by organizations
and include, for example, time periods by type of network access or for specific network accesses.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P2
APPENDIX F-SC
LOW Not Selected
MOD SC-10
HIGH SC-10
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SC-11
TRUSTED PATH
The information system establishes a trusted communications path between the user and
the following security functions of the system: [Assignment: organization-defined security
functions to include at a minimum, information system authentication and re-authentication].
Control:
Trusted paths are mechanisms by which users (through input devices) can
communicate directly with security functions of information systems with the requisite assurance
to support information security policies. The mechanisms can be activated only by users or the
security functions of organizational information systems. User responses via trusted paths are
protected from modifications by or disclosure to untrusted applications. Organizations employ
trusted paths for high-assurance connections between security functions of information systems
and users (e.g., during system logons). Enforcement of trusted communications paths is typically
provided via an implementation that meets the reference monitor concept. Related controls: AC16, AC-25.
Supplemental Guidance:
Control Enhancements:
(1)
TRUSTED PATH
| LOGICAL ISOLATION
The information system provides a trusted communications path that is logically isolated and
distinguishable from other paths.
References:
None.
Priority and Baseline Allocation:
P0
SC-12
LOW Not Selected
MOD Not Selected
HIGH Not Selected
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
The organization establishes and manages cryptographic keys for required cryptography
employed within the information system in accordance with [Assignment: organization-defined
requirements for key generation, distribution, storage, access, and destruction].
Control:
Cryptographic key management and establishment can be performed using
manual procedures or automated mechanisms with supporting manual procedures. Organizations
define key management requirements in accordance with applicable federal laws, Executive
Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options,
levels, and parameters. Organizations manage trust stores to ensure that only approved trust
anchors are in such trust stores. This includes certificates with visibility external to organizational
information systems and certificates related to the internal operations of systems. Related controls:
SC-13, SC-17.
Supplemental Guidance:
Control Enhancements:
(1)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | AVAILABILITY
The organization maintains availability of information in the event of the loss of cryptographic keys
by users.
Escrowing of encryption keys is a common practice for ensuring
availability in the event of loss of keys (e.g., due to forgotten passphrase).
Supplemental Guidance:
(2)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | SYMMETRIC KEYS
The organization produces, controls, and distributes symmetric cryptographic keys using
[Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes.
(3)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | ASYMMETRIC KEYS
The organization produces, controls, and distributes asymmetric cryptographic keys using
[Selection: NSA-approved key management technology and processes; approved PKI Class 3
certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and
hardware security tokens that protect the user’s private key].
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(4)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | PKI CERTIFICATES
[Withdrawn: Incorporated into SC-12].
(5)
CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT | PKI CERTIFICATES / HARDWARE TOKENS
[Withdrawn: Incorporated into SC-12].
References:
NIST Special Publications 800-56, 800-57.
Priority and Baseline Allocation:
P1
SC-13
LOW SC-12
MOD SC-12
HIGH SC-12 (1)
CRYPTOGRAPHIC PROTECTION
The information system implements [Assignment: organization-defined cryptographic
uses and type of cryptography required for each use] in accordance with applicable federal laws,
Executive Orders, directives, policies, regulations, and standards.
Control:
Cryptography can be employed to support a variety of security solutions
including, for example, the protection of classified and Controlled Unclassified Information, the
provision of digital signatures, and the enforcement of information separation when authorized
individuals have the necessary clearances for such information but lack the necessary formal
access approvals. Cryptography can also be used to support random number generation and hash
generation. Generally applicable cryptographic standards include FIPS-validated cryptography and
NSA-approved cryptography. This control does not impose any requirements on organizations to
use cryptography. However, if cryptography is required based on the selection of other security
controls, organizations define each type of cryptographic use and the type of cryptography
required (e.g., protection of classified information: NSA-approved cryptography; provision of
digital signatures: FIPS-validated cryptography). Related controls: AC-2, AC-3, AC-7, AC-17,
AC-18, AU-9, AU-10, CM-11, CP-9, IA-3, IA-7, MA-4, MP-2, MP-4, MP-5, SA-4, SC-8, SC-12,
SC-28, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
None.
CRYPTOGRAPHIC PROTECTION | FIPS-VALIDATED CRYPTOGRAPHY
[Withdrawn: Incorporated into SC-13].
(2)
CRYPTOGRAPHIC PROTECTION | NSA-APPROVED CRYPTOGRAPHY
[Withdrawn: Incorporated into SC-13].
(3)
CRYPTOGRAPHIC PROTECTION | INDIVIDUALS WITHOUT FORMAL ACCESS APPROVALS
[Withdrawn: Incorporated into SC-13].
(4)
CRYPTOGRAPHIC PROTECTION | DIGITAL SIGNATURES
[Withdrawn: Incorporated into SC-13].
References:
FIPS Publication 140; Web: http://csrc.nist.gov/cryptval, http://www.cnss.gov.
Priority and Baseline Allocation:
P1
SC-14
LOW SC-13
MOD SC-13
HIGH SC-13
PUBLIC ACCESS PROTECTIONS
[Withdrawn: Capability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10].
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SC-15
COLLABORATIVE COMPUTING DEVICES
Control:
The information system:
a.
Prohibits remote activation of collaborative computing devices with the following exceptions:
[Assignment: organization-defined exceptions where remote activation is to be allowed]; and
b.
Provides an explicit indication of use to users physically present at the devices.
Collaborative computing devices include, for example, networked white
boards, cameras, and microphones. Explicit indication of use includes, for example, signals to
users when collaborative computing devices are activated. Related control: AC-21.
Supplemental Guidance:
Control Enhancements:
(1)
COLLABORATIVE COMPUTING DEVICES | PHYSICAL DISCONNECT
The information system provides physical disconnect of collaborative computing devices in a
manner that supports ease of use.
Failing to physically disconnect from collaborative computing devices
can result in subsequent compromises of organizational information. Providing easy methods
to physically disconnect from such devices after a collaborative computing session helps to
ensure that participants actually carry out the disconnect activity without having to go through
complex and tedious procedures.
Supplemental Guidance:
(2)
COLLABORATIVE COMPUTING DEVICES | BLOCKING INBOUND / OUTBOUND COMMUNICATIONS TRAFFIC
[Withdrawn: Incorporated into SC-7].
(3)
COLLABORATIVE COMPUTING DEVICES | DISABLING / REMOVAL IN SECURE WORK AREAS
The organization disables or removes collaborative computing devices from [Assignment:
organization-defined information systems or information system components] in [Assignment:
organization-defined secure work areas].
Failing to disable or remove collaborative computing devices from
information systems or information system components can result in subsequent compromises
of organizational information including, for example, eavesdropping on conversations.
Supplemental Guidance:
(4)
COLLABORATIVE COMPUTING DEVICES | EXPLICITLY INDICATE CURRENT PARTICIPANTS
The information system provides an explicit indication of current participants in [Assignment:
organization-defined online meetings and teleconferences].
This control enhancement helps to prevent unauthorized individuals
from participating in collaborative computing sessions without the explicit knowledge of
other participants.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
SC-16
LOW SC-15
MOD SC-15
HIGH SC-15
TRANSMISSION OF SECURITY ATTRIBUTES
The information system associates [Assignment: organization-defined security attributes]
with information exchanged between information systems and between system components.
Control:
Security attributes can be explicitly or implicitly associated with the
information contained in organizational information systems or system components. Related
controls: AC-3, AC-4, AC-16.
Supplemental Guidance:
Control Enhancements:
(1)
TRANSMISSION OF SECURITY ATTRIBUTES | INTEGRITY VALIDATION
The information system validates the integrity of transmitted security attributes.
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This control enhancement ensures that the verification of the integrity
of transmitted information includes security attributes. Related controls: AU-10, SC-8.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SC-17
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PUBLIC KEY INFRASTRUCTURE CERTIFICATES
The organization issues public key certificates under an [Assignment: organizationdefined certificate policy] or obtains public key certificates from an approved service provider.
Control:
For all certificates, organizations manage information system trust stores to
ensure only approved trust anchors are in the trust stores. This control addresses both certificates
with visibility external to organizational information systems and certificates related to the internal
operations of systems, for example, application-specific time services. Related control: SC-12.
Supplemental Guidance:
Control Enhancements:
References:
None.
OMB Memorandum 05-24; NIST Special Publications 800-32, 800-63.
Priority and Baseline Allocation:
P1
SC-18
LOW Not Selected
MOD SC-17
HIGH SC-17
MOBILE CODE
Control:
The organization:
a.
Defines acceptable and unacceptable mobile code and mobile code technologies;
b.
Establishes usage restrictions and implementation guidance for acceptable mobile code and
mobile code technologies; and
c.
Authorizes, monitors, and controls the use of mobile code within the information system.
Decisions regarding the employment of mobile code within organizational
information systems are based on the potential for the code to cause damage to the systems if used
maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript,
PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation
guidance apply to both the selection and use of mobile code installed on servers and mobile code
downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile
code policy and procedures address preventing the development, acquisition, or introduction of
unacceptable mobile code within organizational information systems. Related controls: AU-2,
AU-12, CM-2, CM-6, SI-3.
Supplemental Guidance:
Control Enhancements:
(1)
MOBILE CODE | IDENTIFY UNACCEPTABLE CODE / TAKE CORRECTIVE ACTIONS
The information system identifies [Assignment: organization-defined unacceptable mobile code]
and takes [Assignment: organization-defined corrective actions].
Supplemental Guidance:
Corrective actions when unacceptable mobile code is detected include,
for example, blocking, quarantine, or alerting administrators. Blocking includes, for example,
preventing transmission of word processing files with embedded macros when such macros
have been defined to be unacceptable mobile code.
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(2)
MOBILE CODE | ACQUISITION / DEVELOPMENT / USE
The organization ensures that the acquisition, development, and use of mobile code to be
deployed in the information system meets [Assignment: organization-defined mobile code
requirements].
(3)
MOBILE CODE | PREVENT DOWNLOADING / EXECUTION
The information system prevents the download and execution of [Assignment: organizationdefined unacceptable mobile code].
(4)
MOBILE CODE | PREVENT AUTOMATIC EXECUTION
The information system prevents the automatic execution of mobile code in [Assignment:
organization-defined software applications] and enforces [Assignment: organization-defined
actions] prior to executing the code.
Supplemental Guidance:
Actions enforced before executing mobile code, include, for example,
prompting users prior to opening electronic mail attachments. Preventing automatic execution
of mobile code includes, for example, disabling auto execute features on information system
components employing portable storage devices such as Compact Disks (CDs), Digital Video
Disks (DVDs), and Universal Serial Bus (USB) devices.
(5)
MOBILE CODE | ALLOW EXECUTION ONLY IN CONFINED ENVIRONMENTS
The organization allows execution of permitted mobile code only in confined virtual machine
environments.
References:
NIST Special Publication 800-28; DoD Instruction 8552.01.
Priority and Baseline Allocation:
P2
SC-19
LOW Not Selected
MOD SC-18
HIGH SC-18
VOICE OVER INTERNET PROTOCOL
Control:
The organization:
a.
Establishes usage restrictions and implementation guidance for Voice over Internet Protocol
(VoIP) technologies based on the potential to cause damage to the information system if used
maliciously; and
b.
Authorizes, monitors, and controls the use of VoIP within the information system.
Supplemental Guidance:
Control Enhancements:
References:
Related controls: CM-6, SC-7, SC-15.
None.
NIST Special Publication 800-58.
Priority and Baseline Allocation:
P1
SC-20
LOW Not Selected
MOD SC-19
HIGH SC-19
SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
Control:
The information system:
a.
Provides additional data origin authentication and integrity verification artifacts along with
the authoritative name resolution data the system returns in response to external name/address
resolution queries; and
b.
Provides the means to indicate the security status of child zones and (if the child supports
secure resolution services) to enable verification of a chain of trust among parent and child
domains, when operating as part of a distributed, hierarchical namespace.
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This control enables external clients including, for example, remote
Internet clients, to obtain origin authentication and integrity verification assurances for the
host/service name to network address resolution information obtained through the service.
Information systems that provide name and address resolution services include, for example,
domain name system (DNS) servers. Additional artifacts include, for example, DNS Security
(DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of
authoritative data. The means to indicate the security status of child zones includes, for example,
the use of delegation signer resource records in the DNS. The DNS security controls reflect (and
are referenced from) OMB Memorandum 08-23. Information systems that use technologies other
than the DNS to map between host/service names and network addresses provide other means to
assure the authenticity and integrity of response data. Related controls: AU-10, SC-8, SC-12, SC13, SC-21, SC-22.
Supplemental Guidance:
Control Enhancements:
(1)
SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) | CHILD SUBSPACES
[Withdrawn: Incorporated into SC-20].
(2)
SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) | DATA ORIGIN / INTEGRITY
The information system provides data origin and integrity protection artifacts for internal
name/address resolution queries.
References:
OMB Memorandum 08-23; NIST Special Publication 800-81.
Priority and Baseline Allocation:
P1
SC-21
LOW SC-20
MOD SC-20
HIGH SC-20
SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
The information system requests and performs data origin authentication and data
integrity verification on the name/address resolution responses the system receives from
authoritative sources.
Control:
Each client of name resolution services either performs this validation on
its own, or has authenticated channels to trusted validation providers. Information systems that
provide name and address resolution services for local clients include, for example, recursive
resolving or caching domain name system (DNS) servers. DNS client resolvers either perform
validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that
perform such validations. Information systems that use technologies other than the DNS to map
between host/service names and network addresses provide other means to enable clients to verify
the authenticity and integrity of response data. Related controls: SC-20, SC-22.
Supplemental Guidance:
Control Enhancements:
(1)
None.
SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER) | DATA ORIGIN / INTEGRITY
[Withdrawn: Incorporated into SC-21].
References:
NIST Special Publication 800-81.
Priority and Baseline Allocation:
P1
SC-22
LOW SC-21
MOD SC-21
HIGH SC-21
ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
The information systems that collectively provide name/address resolution service for an
organization are fault-tolerant and implement internal/external role separation.
Control:
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Information systems that provide name and address resolution services
include, for example, domain name system (DNS) servers. To eliminate single points of failure
and to enhance redundancy, organizations employ at least two authoritative domain name system
servers, one configured as the primary server and the other configured as the secondary server.
Additionally, organizations typically deploy the servers in two geographically separated network
subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with
internal roles only process name and address resolution requests from within organizations (i.e.,
from internal clients). DNS servers with external roles only process name and address resolution
information requests from clients external to organizations (i.e., on external networks including
the Internet). Organizations specify clients that can access authoritative DNS servers in particular
roles (e.g., by address ranges, explicit lists). Related controls: SC-2, SC-20, SC-21, SC-24.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publication 800-81.
Priority and Baseline Allocation:
P1
SC-23
LOW SC-22
MOD SC-22
HIGH SC-22
SESSION AUTHENTICITY
Control:
The information system protects the authenticity of communications sessions.
This control addresses communications protection at the session, versus
packet level (e.g., sessions in service-oriented architectures providing web-based services) and
establishes grounds for confidence at both ends of communications sessions in ongoing identities
of other parties and in the validity of information transmitted. Authenticity protection includes, for
example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false
information into sessions. Related controls: SC-8, SC-10, SC-11.
Supplemental Guidance:
Control Enhancements:
(1)
SESSION AUTHENTICITY | INVALIDATE SESSION IDENTIFIERS AT LOGOUT
The information system invalidates session identifiers upon user logout or other session
termination.
This control enhancement curtails the ability of adversaries from
capturing and continuing to employ previously valid session IDs.
Supplemental Guidance:
(2)
SESSION AUTHENTICITY | USER-INITIATED LOGOUTS / MESSAGE DISPLAYS
[Withdrawn: Incorporated into AC-12 (1)].
(3)
SESSION AUTHENTICITY | UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
The information system generates a unique session identifier for each session with [Assignment:
organization-defined randomness requirements] and recognizes only session identifiers that are
system-generated.
This control enhancement curtails the ability of adversaries from
reusing previously valid session IDs. Employing the concept of randomness in the generation
of unique session identifiers helps to protect against brute-force attacks to determine future
session identifiers. Related control: SC-13.
Supplemental Guidance:
(4)
SESSION AUTHENTICITY | UNIQUE SESSION IDENTIFIERS WITH RANDOMIZATION
[Withdrawn: Incorporated into SC-23 (3)].
(5)
SESSION AUTHENTICITY | ALLOWED CERTIFICATE AUTHORITIES
The information system only allows the use of [Assignment: organization-defined certificate
authorities] for verification of the establishment of protected sessions.
Supplemental Guidance:
Reliance on certificate authorities (CAs) for the establishment of
secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport
Layer Security (TLS) certificates. These certificates, after verification by the respective
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certificate authorities, facilitate the establishment of protected sessions between web clients
and web servers. Related control: SC-13.
References:
NIST Special Publications 800-52, 800-77, 800-95.
Priority and Baseline Allocation:
P1
SC-24
LOW Not Selected
MOD SC-23
HIGH SC-23
FAIL IN KNOWN STATE
The information system fails to a [Assignment: organization-defined known-state] for
[Assignment: organization-defined types of failures] preserving [Assignment: organization-defined
system state information] in failure.
Control:
Failure in a known state addresses security concerns in accordance with the
mission/business needs of organizations. Failure in a known secure state helps to prevent the loss
of confidentiality, integrity, or availability of information in the event of failures of organizational
information systems or system components. Failure in a known safe state helps to prevent systems
from failing to a state that may cause injury to individuals or destruction to property. Preserving
information system state information facilitates system restart and return to the operational mode
of organizations with less disruption of mission/business processes. Related controls: CP-2, CP10, CP-12, SC-7, SC-22.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P1
SC-25
LOW Not Selected
MOD Not Selected
HIGH SC-24
THIN NODES
The organization employs [Assignment: organization-defined information system
components] with minimal functionality and information storage.
Control:
The deployment of information system components with reduced/minimal
functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every
user endpoint, and may reduce the exposure of information, information systems, and services to
cyber attacks. Related control: SC-30.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
SC-26
LOW Not Selected
MOD Not Selected
HIGH Not Selected
HONEYPOTS
The information system includes components specifically designed to be the target of
malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.
Control:
A honeypot is set up as a decoy to attract adversaries and to deflect their
attacks away from the operational systems supporting organizational missions/business function.
Supplemental Guidance:
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Depending upon the specific usage of the honeypot, consultation with the Office of the General
Counsel before deployment may be needed. Related controls: SC-30, SC-44, SI-3, SI-4.
Control Enhancements:
(1)
None.
HONEYPOTS | DETECTION OF MALICIOUS CODE
[Withdrawn: Incorporated into SC-35].
References:
None.
Priority and Baseline Allocation:
P0
SC-27
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PLATFORM-INDEPENDENT APPLICATIONS
The information system includes: [Assignment: organization-defined platformindependent applications].
Control:
Platforms are combinations of hardware and software used to run software
applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures,
or (iii) both. Platform-independent applications are applications that run on multiple platforms.
Such applications promote portability and reconstitution on different platforms, increasing the
availability of critical functions within organizations while information systems with specific
operating systems are under attack. Related control: SC-29.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
SC-28
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PROTECTION OF INFORMATION AT REST
The information system protects the [Selection (one or more): confidentiality; integrity] of
[Assignment: organization-defined information at rest].
Control:
This control addresses the confidentiality and integrity of information at
rest and covers user information and system information. Information at rest refers to the state of
information when it is located on storage devices as specific components of information systems.
System-related information requiring protection includes, for example, configurations or rule sets
for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator
content. Organizations may employ different mechanisms to achieve confidentiality and integrity
protections, including the use of cryptographic mechanisms and file share scanning. Integrity
protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM)
technologies. Organizations may also employ other security controls including, for example,
secure off-line storage in lieu of online storage when adequate protection of information at rest
cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.
Related controls: AC-3, AC-6, CA-7, CM-3, CM-5, CM-6, PE-3, SC-8, SC-13, SI-3, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
PROTECTION OF INFORMATION AT REST | CRYPTOGRAPHIC PROTECTION
The information system implements cryptographic mechanisms to prevent unauthorized
disclosure and modification of [Assignment: organization-defined information] on [Assignment:
organization-defined information system components].
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Selection of cryptographic mechanisms is based on the need to protect
the confidentiality and integrity of organizational information. The strength of mechanism is
commensurate with the security category and/or classification of the information. This control
enhancement applies to significant concentrations of digital media in organizational areas
designated for media storage and also to limited quantities of media generally associated with
information system components in operational environments (e.g., portable storage devices,
mobile devices). Organizations have the flexibility to either encrypt all information on storage
devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or
fields). Organizations employing cryptographic mechanisms to protect information at rest also
consider cryptographic key management solutions. Related controls: AC-19, SC-12.
Supplemental Guidance:
(2)
PROTECTION OF INFORMATION AT REST
| OFF-LINE STORAGE
The organization removes from online storage and stores off-line in a secure location [Assignment:
organization-defined information].
Removing organizational information from online information system
storage to off-line storage eliminates the possibility of individuals gaining unauthorized
access to the information through a network. Therefore, organizations may choose to move
information to off-line storage in lieu of protecting such information in online storage.
Supplemental Guidance:
References:
NIST Special Publications 800-56, 800-57, 800-111.
Priority and Baseline Allocation:
P1
SC-29
LOW Not Selected
MOD SC-28
HIGH SC-28
HETEROGENEITY
Control: The organization employs a diverse set of information technologies for [Assignment:
organization-defined information system components] in the implementation of the information
system.
Increasing the diversity of information technologies within organizational
information systems reduces the impact of potential exploitations of specific technologies and also
defends against common mode failures, including those failures induced by supply chain attacks.
Diversity in information technologies also reduces the likelihood that the means adversaries use to
compromise one information system component will be equally effective against other system
components, thus further increasing the adversary work factor to successfully complete planned
cyber attacks. An increase in diversity may add complexity and management overhead which
could ultimately lead to mistakes and unauthorized configurations. Related controls: SA-12, SA14, SC-27.
Supplemental Guidance:
Control Enhancements:
(1)
HETEROGENEITY | VIRTUALIZATION TECHNIQUES
The organization employs virtualization techniques to support the deployment of a diversity of
operating systems and applications that are changed [Assignment: organization-defined
frequency].
While frequent changes to operating systems and applications pose
configuration management challenges, the changes can result in an increased work factor for
adversaries in order to carry out successful cyber attacks. Changing virtual operating systems
or applications, as opposed to changing actual operating systems/applications, provide virtual
changes that impede attacker success while reducing configuration management efforts. In
addition, virtualization techniques can assist organizations in isolating untrustworthy software
and/or software of dubious provenance into confined execution environments.
Supplemental Guidance:
References:
APPENDIX F-SC
None.
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Priority and Baseline Allocation:
P0
SC-30
LOW Not Selected
MOD Not Selected
HIGH Not Selected
CONCEALMENT AND MISDIRECTION
The organization employs [Assignment: organization-defined concealment and
misdirection techniques] for [Assignment: organization-defined information systems] at
[Assignment: organization-defined time periods] to confuse and mislead adversaries.
Control:
Concealment and misdirection techniques can significantly reduce the
targeting capability of adversaries (i.e., window of opportunity and available attack surface) to
initiate and complete cyber attacks. For example, virtualization techniques provide organizations
with the ability to disguise information systems, potentially reducing the likelihood of successful
attacks without the cost of having multiple platforms. Increased use of concealment/misdirection
techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently
confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing
tradecraft. Concealment/misdirection techniques may also provide organizations additional time to
successfully perform core missions and business functions. Because of the time and effort required
to support concealment/misdirection techniques, it is anticipated that such techniques would be
used by organizations on a very limited basis. Related controls: SC-26, SC-29, SI-14.
Supplemental Guidance:
Control Enhancements:
(1)
CONCEALMENT AND MISDIRECTION | VIRTUALIZATION TECHNIQUES
[Withdrawn: Incorporated into SC-29 (1)].
(2)
CONCEALMENT AND MISDIRECTION | RANDOMNESS
The organization employs [Assignment: organization-defined techniques] to introduce
randomness into organizational operations and assets.
Randomness introduces increased levels of uncertainty for adversaries
regarding the actions organizations take in defending against cyber attacks. Such actions may
impede the ability of adversaries to correctly target information resources of organizations
supporting critical missions/business functions. Uncertainty may also cause adversaries to
hesitate before initiating or continuing attacks. Misdirection techniques involving randomness
include, for example, performing certain routine actions at different times of day, employing
different information technologies (e.g., browsers, search engines), using different suppliers,
and rotating roles and responsibilities of organizational personnel.
Supplemental Guidance:
(3)
CONCEALMENT AND MISDIRECTION | CHANGE PROCESSING / STORAGE LOCATIONS
The organization changes the location of [Assignment: organization-defined processing and/or
storage] [Selection: [Assignment: organization-defined time frequency]; at random time intervals]].
Adversaries target critical organizational missions/business functions
and the information resources supporting those missions and functions while at the same time,
trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and
deterministic nature of organizational information systems targeted by adversaries, make such
systems more susceptible to cyber attacks with less adversary cost and effort to be successful.
Changing organizational processing and storage locations (sometimes referred to as moving
target defense) addresses the advanced persistent threat (APT) using techniques such as
virtualization, distributed processing, and replication. This enables organizations to relocate
the information resources (i.e., processing and/or storage) supporting critical missions and
business functions. Changing locations of processing activities and/or storage sites introduces
uncertainty into the targeting activities by adversaries. This uncertainty increases the work
factor of adversaries making compromises or breaches to organizational information systems
much more difficult and time-consuming, and increases the chances that adversaries may
inadvertently disclose aspects of tradecraft while attempting to locate critical organizational
resources.
Supplemental Guidance:
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(4)
CONCEALMENT AND MISDIRECTION | MISLEADING INFORMATION
The organization employs realistic, but misleading information in [Assignment: organizationdefined information system components] with regard to its security state or posture.
This control enhancement misleads potential adversaries regarding the
nature and extent of security safeguards deployed by organizations. As a result, adversaries
may employ incorrect (and as a result ineffective) attack techniques. One way of misleading
adversaries is for organizations to place misleading information regarding the specific security
controls deployed in external information systems that are known to be accessed or targeted
by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized
environments) that mimic actual aspects of organizational information systems but use, for
example, out-of-date software configurations.
Supplemental Guidance:
(5)
CONCEALMENT AND MISDIRECTION | CONCEALMENT OF SYSTEM COMPONENTS
The organization employs [Assignment: organization-defined techniques] to hide or conceal
[Assignment: organization-defined information system components].
By hiding, disguising, or otherwise concealing critical information
system components, organizations may be able to decrease the probability that adversaries
target and successfully compromise those assets. Potential means for organizations to hide
and/or conceal information system components include, for example, configuration of routers
or the use of honeynets or virtualization techniques.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SC-31
LOW Not Selected
MOD Not Selected
HIGH Not Selected
COVERT CHANNEL ANALYSIS
Control:
The organization:
a.
Performs a covert channel analysis to identify those aspects of communications within the
information system that are potential avenues for covert [Selection (one or more): storage;
timing] channels; and
b.
Estimates the maximum bandwidth of those channels.
Developers are in the best position to identify potential areas within
systems that might lead to covert channels. Covert channel analysis is a meaningful activity when
there is the potential for unauthorized information flows across security domains, for example, in
the case of information systems containing export-controlled information and having connections
to external networks (i.e., networks not controlled by organizations). Covert channel analysis is
also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL)
systems, and cross-domain systems. Related controls: AC-3, AC-4, PL-2.
Supplemental Guidance:
Control Enhancements:
(1)
COVERT CHANNEL ANALYSIS | TEST COVERT CHANNELS FOR EXPLOITABILITY
The organization tests a subset of the identified covert channels to determine which channels are
exploitable.
(2)
COVERT CHANNEL ANALYSIS | MAXIMUM BANDWIDTH
The organization reduces the maximum bandwidth for identified covert [Selection (one or more);
storage; timing] channels to [Assignment: organization-defined values].
Information system developers are in the best position to reduce the
maximum bandwidth for identified covert storage and timing channels.
Supplemental Guidance:
(3)
APPENDIX F-SC
COVERT CHANNEL ANALYSIS | MEASURE BANDWIDTH IN OPERATIONAL ENVIRONMENTS
The organization measures the bandwidth of [Assignment: organization-defined subset of
identified covert channels] in the operational environment of the information system.
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This control enhancement addresses covert channel bandwidth in
operational environments versus developmental environments. Measuring covert channel
bandwidth in operational environments helps organizations to determine how much
information can be covertly leaked before such leakage adversely affects organizational
missions/business functions. Covert channel bandwidth may be significantly different when
measured in those settings that are independent of the particular environments of operation
(e.g., laboratories or development environments).
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SC-32
LOW Not Selected
MOD Not Selected
HIGH Not Selected
INFORMATION SYSTEM PARTITIONING
Control: The organization partitions the information system into [Assignment: organization-defined
information system components] residing in separate physical domains or environments based on
[Assignment: organization-defined circumstances for physical separation of components].
Information system partitioning is a part of a defense-in-depth protection
strategy. Organizations determine the degree of physical separation of system components from
physically distinct components in separate racks in the same room, to components in separate
rooms for the more critical components, to more significant geographical separation of the most
critical components. Security categorization can guide the selection of appropriate candidates for
domain partitioning. Managed interfaces restrict or prohibit network access and information flow
among partitioned information system components. Related controls: AC-4, SA-8, SC-2, SC-3,
SC-7.
Supplemental Guidance:
Control Enhancements:
References:
None.
FIPS Publication 199.
Priority and Baseline Allocation:
P0
SC-33
LOW Not Selected
MOD Not Selected
HIGH Not Selected
TRANSMISSION PREPARATION INTEGRITY
[Withdrawn: Incorporated into SC-8].
SC-34
NON-MODIFIABLE EXECUTABLE PROGRAMS
Control: The information system at [Assignment: organization-defined information system
components]:
a.
Loads and executes the operating environment from hardware-enforced, read-only media;
and
b.
Loads and executes [Assignment: organization-defined applications] from hardwareenforced, read-only media.
The term operating environment is defined as the specific code that hosts
applications, for example, operating systems, executives, or monitors including virtual machine
monitors (i.e., hypervisors). It can also include certain applications running directly on hardware
platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable
Supplemental Guidance:
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(CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable readonly memory. The use of non-modifiable storage ensures the integrity of software from the point
of creation of the read-only image. The use of reprogrammable read-only memory can be accepted
as read-only media provided: (i) integrity can be adequately protected from the point of initial
writing to the insertion of the memory into the information system; and (ii) there are reliable
hardware protections against reprogramming the memory while installed in organizational
information systems. Related controls: AC-3, SI-7.
Control Enhancements:
(1)
NON-MODIFIABLE EXECUTABLE PROGRAMS | NO WRITABLE STORAGE
The organization employs [Assignment: organization-defined information system components]
with no writeable storage that is persistent across component restart or power on/off.
This control enhancement: (i) eliminates the possibility of malicious
code insertion via persistent, writeable storage within the designated information system
components; and (ii) applies to both fixed and removable storage, with the latter being
addressed directly or as specific restrictions imposed through access controls for mobile
devices. Related controls: AC-19, MP-7.
Supplemental Guidance:
(2)
NON-MODIFIABLE EXECUTABLE PROGRAMS | INTEGRITY PROTECTION / READ-ONLY MEDIA
The organization protects the integrity of information prior to storage on read-only media and
controls the media after such information has been recorded onto the media.
Security safeguards prevent the substitution of media into information
systems or the reprogramming of programmable read-only media prior to installation into the
systems. Security safeguards include, for example, a combination of prevention, detection,
and response. Related controls: AC-5, CM-3, CM-5, CM-9, MP-2, MP-4, MP-5, SA-12, SC28, SI-3.
Supplemental Guidance:
(3)
NON-MODIFIABLE EXECUTABLE PROGRAMS | HARDWARE-BASED PROTECTION
The organization:
(a)
Employs hardware-based, write-protect for [Assignment: organization-defined information
system firmware components]; and
(b) Implements specific procedures for [Assignment: organization-defined authorized individuals]
to manually disable hardware write-protect for firmware modifications and re-enable the writeprotect prior to returning to operational mode.
References:
None.
Priority and Baseline Allocation:
P0
SC-35
LOW Not Selected
MOD Not Selected
HIGH Not Selected
HONEYCLIENTS
The information system includes components that proactively seek to identify malicious
websites and/or web-based malicious code.
Control:
Honeyclients differ from honeypots in that the components actively probe
the Internet in search of malicious code (e.g., worms) contained on external websites. As with
honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure
that any malicious code discovered during the search and subsequently executed does not infect
organizational information systems. Related controls: SC-26, SC-44, SI-3, SI-4.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX F-SC
None.
None.
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Priority and Baseline Allocation:
P0
SC-36
LOW Not Selected
MOD Not Selected
HIGH Not Selected
DISTRIBUTED PROCESSING AND STORAGE
The organization distributes [Assignment: organization-defined processing and storage]
across multiple physical locations.
Control:
Distributing processing and storage across multiple physical locations
provides some degree of redundancy or overlap for organizations, and therefore increases the work
factor of adversaries to adversely impact organizational operations, assets, and individuals. This
control does not assume a single primary processing or storage location, and thus allows for
parallel processing and storage. Related controls: CP-6, CP-7.
Supplemental Guidance:
Control Enhancements:
(1)
DISTRIBUTED PROCESSING AND STORAGE | POLLING TECHNIQUES
The organization employs polling techniques to identify potential faults, errors, or compromises to
[Assignment: organization-defined distributed processing and storage components].
Distributed processing and/or storage may be employed to reduce
opportunities for adversaries to successfully compromise the confidentiality, integrity, or
availability of information and information systems. However, distribution of processing
and/or storage components does not prevent adversaries from compromising one (or more) of
the distributed components. Polling compares the processing results and/or storage content
from the various distributed components and subsequently voting on the outcomes. Polling
identifies potential faults, errors, or compromises in distributed processing and/or storage
components. Related control: SI-4.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SC-37
LOW Not Selected
MOD Not Selected
HIGH Not Selected
OUT-OF-BAND CHANNELS
The organization employs [Assignment: organization-defined out-of-band channels] for
the physical delivery or electronic transmission of [Assignment: organization-defined information,
information system components, or devices] to [Assignment: organization-defined individuals or
information systems].
Control:
Out-of-band channels include, for example, local (nonnetwork) accesses to
information systems, network paths physically separate from network paths used for operational
traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the
same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels
do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality,
integrity, or availability compromises of in-band channels will not compromise the out-of-band
channels. Organizations may employ out-of-band channels in the delivery or transmission of many
organizational items including, for example, identifiers/authenticators, configuration management
changes for hardware, firmware, or software, cryptographic key management information, security
updates, system/data backups, maintenance information, and malicious code protection updates.
Related controls: AC-2, CM-3, CM-5, CM-7, IA-4, IA-5, MA-4, SC-12, SI-3, SI-4, SI-7.
Supplemental Guidance:
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Control Enhancements:
(1)
OUT-OF-BAND CHANNELS | ENSURE DELIVERY / TRANSMISSION
The organization employs [Assignment: organization-defined security safeguards] to ensure that
only [Assignment: organization-defined individuals or information systems] receive the
[Assignment: organization-defined information, information system components, or devices].
Techniques and/or methods employed by organizations to ensure that
only designated information systems or individuals receive particular information, system
components, or devices include, for example, sending authenticators via courier service but
requiring recipients to show some form of government-issued photographic identification as a
condition of receipt.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SC-38
LOW Not Selected
MOD Not Selected
HIGH Not Selected
OPERATIONS SECURITY
The organization employs [Assignment: organization-defined operations security
safeguards] to protect key organizational information throughout the system development life
cycle.
Control:
Operations security (OPSEC) is a systematic process by which potential
adversaries can be denied information about the capabilities and intentions of organizations by
identifying, controlling, and protecting generally unclassified information that specifically relates
to the planning and execution of sensitive organizational activities. The OPSEC process involves
five steps: (i) identification of critical information (e.g., the security categorization process); (ii)
analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application
of appropriate countermeasures. OPSEC safeguards are applied to both organizational information
systems and the environments in which those systems operate. OPSEC safeguards help to protect
the confidentiality of key information including, for example, limiting the sharing of information
with suppliers and potential suppliers of information system components, information technology
products and services, and with other non-organizational elements and individuals. Information
critical to mission/business success includes, for example, user identities, element uses, suppliers,
supply chain processes, functional and security requirements, system design specifications, testing
protocols, and security control implementation details. Related controls: RA-2, RA-5, SA-12.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
SC-39
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PROCESS ISOLATION
Control:
The information system maintains a separate execution domain for each executing
process.
Information systems can maintain separate execution domains for each
executing process by assigning each process a separate address space. Each information system
process has a distinct address space so that communication between processes is performed in a
manner controlled through the security functions, and one process cannot modify the executing
code of another process. Maintaining separate execution domains for executing processes can be
Supplemental Guidance:
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achieved, for example, by implementing separate address spaces. This capability is available in
most commercial operating systems that employ multi-state processor technologies. Related
controls: AC-3, AC-4, AC-6, SA-4, SA-5, SA-8, SC-2, SC-3.
Control Enhancements:
(1)
PROCESS ISOLATION | HARDWARE SEPARATION
The information system implements underlying hardware separation mechanisms to facilitate
process separation.
Hardware-based separation of information system processes is
generally less susceptible to compromise than software-based separation, thus providing
greater assurance that the separation will be enforced. Underlying hardware separation
mechanisms include, for example, hardware memory management.
Supplemental Guidance:
(2)
PROCESS ISOLATION | THREAD ISOLATION
The information system maintains a separate execution domain for each thread in [Assignment:
organization-defined multi-threaded processing].
References:
None.
Priority and Baseline Allocation:
P1
SC-40
LOW SC-39
MOD SC-39
HIGH SC-39
WIRELESS LINK PROTECTION
The information system protects external and internal [Assignment: organization-defined
wireless links] from [Assignment: organization-defined types of signal parameter attacks or
references to sources for such attacks].
Control:
This control applies to internal and external wireless communication links
that may be visible to individuals who are not authorized information system users. Adversaries
can exploit the signal parameters of wireless links if such links are not adequately protected. There
are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service,
or to spoof users of organizational information systems. This control reduces the impact of attacks
that are unique to wireless systems. If organizations rely on commercial service providers for
transmission services as commodity items rather than as fully dedicated services, it may not be
possible to implement this control. Related controls: AC-18, SC-5.
Supplemental Guidance:
Control Enhancements:
(1)
WIRELESS LINK PROTECTION | ELECTROMAGNETIC INTERFERENCE
The information system implements cryptographic mechanisms that achieve [Assignment:
organization-defined level of protection] against the effects of intentional electromagnetic
interference.
This control enhancement protects against intentional jamming that
might deny or impair communications by ensuring that wireless spread spectrum waveforms
used to provide anti-jam protection are not predictable by unauthorized individuals. The
control enhancement may also coincidentally help to mitigate the effects of unintentional
jamming due to interference from legitimate transmitters sharing the same spectrum. Mission
requirements, projected threats, concept of operations, and applicable legislation, directives,
regulations, policies, standards, and guidelines determine levels of wireless link availability
and performance/cryptography needed. Related controls: SC-12, SC-13.
Supplemental Guidance:
(2)
WIRELESS LINK PROTECTION | REDUCE DETECTION POTENTIAL
The information system implements cryptographic mechanisms to reduce the detection potential
of wireless links to [Assignment: organization-defined level of reduction].
This control enhancement is needed for covert communications and
protecting wireless transmitters from being geo-located by their transmissions. The control
enhancement ensures that spread spectrum waveforms used to achieve low probability of
Supplemental Guidance:
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detection are not predictable by unauthorized individuals. Mission requirements, projected
threats, concept of operations, and applicable legislation, directives, regulations, policies,
standards, and guidelines determine the levels to which wireless links should be undetectable.
Related controls: SC-12, SC-13.
(3)
WIRELESS LINK PROTECTION | IMITATIVE OR MANIPULATIVE COMMUNICATIONS DECEPTION
The information system implements cryptographic mechanisms to identify and reject wireless
transmissions that are deliberate attempts to achieve imitative or manipulative communications
deception based on signal parameters.
This control enhancement ensures that the signal parameters of
wireless transmissions are not predictable by unauthorized individuals. Such unpredictability
reduces the probability of imitative or manipulative communications deception based upon
signal parameters alone. Related controls: SC-12, SC-13.
Supplemental Guidance:
(4)
WIRELESS LINK PROTECTION | SIGNAL PARAMETER IDENTIFICATION
The information system implements cryptographic mechanisms to prevent the identification of
[Assignment: organization-defined wireless transmitters] by using the transmitter signal
parameters.
Radio fingerprinting techniques identify the unique signal parameters
of transmitters to fingerprint such transmitters for purposes of tracking and mission/user
identification. This control enhancement protects against the unique identification of wireless
transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting
alterations to signal parameters are not predictable by unauthorized individuals. This control
enhancement helps assure mission success when anonymity is required. Related controls: SC12, SC-13.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SC-41
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PORT AND I/O DEVICE ACCESS
The organization physically disables or removes [Assignment: organization-defined
connection ports or input/output devices] on [Assignment: organization-defined information
systems or information system components].
Control:
Connection ports include, for example, Universal Serial Bus (USB) and
Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and
Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O
devices helps prevent exfiltration of information from information systems and the introduction of
malicious code into systems from those ports/devices.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
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LOW Not Selected
MOD Not Selected
HIGH Not Selected
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SC-42
SENSOR CAPABILITY AND DATA
Control:
The information system:
a.
Prohibits the remote activation of environmental sensing capabilities with the following
exceptions: [Assignment: organization-defined exceptions where remote activation of sensors
is allowed]; and
b.
Provides an explicit indication of sensor use to [Assignment: organization-defined class of
users].
This control often applies to types of information systems or system
components characterized as mobile devices, for example, smart phones, tablets, and E-readers.
These systems often include sensors that can collect and record data regarding the environment
where the system is in use. Sensors that are embedded within mobile devices include, for example,
cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While
the sensors on mobiles devices provide an important function, if activated covertly, such devices
can potentially provide a means for adversaries to learn valuable information about individuals
and organizations. For example, remotely activating the GPS function on a mobile device could
provide an adversary with the ability to track the specific movements of an individual.
Supplemental Guidance:
Control Enhancements:
(1)
SENSOR CAPABILITY AND DATA | REPORTING TO AUTHORIZED INDIVIDUALS OR ROLES
The organization ensures that the information system is configured so that data or information
collected by the [Assignment: organization-defined sensors] is only reported to authorized
individuals or roles.
In situations where sensors are activated by authorized individuals
(e.g., end users), it is still possible that the data/information collected by the sensors will be
sent to unauthorized entities.
Supplemental Guidance:
(2)
SENSOR CAPABILITY AND DATA | AUTHORIZED USE
The organization employs the following measures: [Assignment: organization-defined measures],
so that data or information collected by [Assignment: organization-defined sensors] is only used
for authorized purposes.
Information collected by sensors for a specific authorized purpose
potentially could be misused for some unauthorized purpose. For example, GPS sensors that
are used to support traffic navigation could be misused to track movements of
individuals. Measures to mitigate such activities include, for example, additional training to
ensure that authorized parties do not abuse their authority, or (in the case where sensor
data/information is maintained by external parties) contractual restrictions on the use of the
data/information.
Supplemental Guidance:
(3)
SENSOR CAPABILITY AND DATA | PROHIBIT USE OF DEVICES
The organization prohibits the use of devices possessing [Assignment: organization-defined
environmental sensing capabilities] in [Assignment: organization-defined facilities, areas, or
systems].
For example, organizations may prohibit individuals from bringing cell
phones or digital cameras into certain facilities or specific controlled areas within facilities
where classified information is stored or sensitive conversations are taking place.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
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MOD Not Selected
HIGH Not Selected
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SC-43
USAGE RESTRICTIONS
Control:
The organization:
a.
Establishes usage restrictions and implementation guidance for [Assignment: organizationdefined information system components] based on the potential to cause damage to the
information system if used maliciously; and
b.
Authorizes, monitors, and controls the use of such components within the information system.
Information system components include hardware, software, or firmware
components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners,
optical devices, wireless technologies, mobile devices). Related controls: CM-6, SC-7.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
SC-44
LOW Not Selected
MOD Not Selected
HIGH Not Selected
DETONATION CHAMBERS
The organization employs a detonation chamber capability within [Assignment:
organization-defined information system, system component, or location].
Control:
Detonation chambers, also known as dynamic execution environments,
allow organizations to open email attachments, execute untrusted or suspicious applications, and
execute Universal Resource Locator (URL) requests in the safety of an isolated environment or
virtualized sandbox. These protected and isolated execution environments provide a means of
determining whether the associated attachments/applications contain malicious code. While
related to the concept of deception nets, the control is not intended to maintain a long-term
environment in which adversaries can operate and their actions can be observed. Rather, it is
intended to quickly identify malicious code and reduce the likelihood that the code is propagated
to user environments of operation (or prevent such propagation completely). Related controls: SC7, SC-25, SC-26, SC-30.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
APPENDIX F-SC
LOW Not Selected
MOD Not Selected
HIGH Not Selected
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FAMILY: SYSTEM AND INFORMATION INTEGRITY
SI-1
SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
Control:
a.
b.
The organization:
Develops, documents, and disseminates to [Assignment: organization-defined personnel or
roles]:
1.
A system and information integrity policy that addresses purpose, scope, roles,
responsibilities, management commitment, coordination among organizational entities,
and compliance; and
2.
Procedures to facilitate the implementation of the system and information integrity policy
and associated system and information integrity controls; and
Reviews and updates the current:
1.
System and information integrity policy [Assignment: organization-defined frequency];
and
2.
System and information integrity procedures [Assignment: organization-defined
frequency].
This control addresses the establishment of policy and procedures for the
effective implementation of selected security controls and control enhancements in the SI family.
Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations,
policies, standards, and guidance. Security program policies and procedures at the organization
level may make the need for system-specific policies and procedures unnecessary. The policy can
be included as part of the general information security policy for organizations or conversely, can
be represented by multiple policies reflecting the complex nature of certain organizations. The
procedures can be established for the security program in general and for particular information
systems, if needed. The organizational risk management strategy is a key factor in establishing
policy and procedures. Related control: PM-9.
Supplemental Guidance:
Control Enhancements:
References:
None.
NIST Special Publications 800-12, 800-100.
Priority and Baseline Allocation:
P1
SI-2
LOW SI-1
MOD SI-1
HIGH SI-1
FLAW REMEDIATION
Control:
The organization:
a.
Identifies, reports, and corrects information system flaws;
b.
Tests software and firmware updates related to flaw remediation for effectiveness and
potential side effects before installation;
c.
Installs security-relevant software and firmware updates within [Assignment: organizationdefined time period] of the release of the updates; and
d.
Incorporates flaw remediation into the organizational configuration management process.
Organizations identify information systems affected by announced
software flaws including potential vulnerabilities resulting from those flaws, and report this
information to designated organizational personnel with information security responsibilities.
Security-relevant software updates include, for example, patches, service packs, hot fixes, and
anti-virus signatures. Organizations also address flaws discovered during security assessments,
Supplemental Guidance:
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continuous monitoring, incident response activities, and system error handling. Organizations take
advantage of available resources such as the Common Weakness Enumeration (CWE) or Common
Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational
information systems. By incorporating flaw remediation into ongoing configuration management
processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation
actions that can be tracked and verified include, for example, determining whether organizations
follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined
time periods for updating security-relevant software and firmware may vary based on a variety of
factors including, for example, the security category of the information system or the criticality of
the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw
remediation may require more testing than other types. Organizations determine the degree and
type of testing needed for the specific type of flaw remediation activity under consideration and
also the types of changes that are to be configuration-managed. In some situations, organizations
may determine that the testing of software and/or firmware updates is not necessary or practical,
for example, when implementing simple anti-virus signature updates. Organizations may also
consider in testing decisions, whether security-relevant software or firmware updates are obtained
from authorized sources with appropriate digital signatures. Related controls: CA-2, CA-7, CM-3,
CM-5, CM-8, MA-2, IR-4, RA-5, SA-10, SA-11, SI-11.
Control Enhancements:
(1)
FLAW REMEDIATION | CENTRAL MANAGEMENT
The organization centrally manages the flaw remediation process.
Central management is the organization-wide management and
implementation of flaw remediation processes. Central management includes planning,
implementing, assessing, authorizing, and monitoring the organization-defined, centrally
managed flaw remediation security controls.
Supplemental Guidance:
(2)
FLAW REMEDIATION | AUTOMATED FLAW REMEDIATION STATUS
The organization employs automated mechanisms [Assignment: organization-defined frequency]
to determine the state of information system components with regard to flaw remediation.
Supplemental Guidance:
(3)
Related controls: CM-6, SI-4.
FLAW REMEDIATION | TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS
The organization:
(a)
Measures the time between flaw identification and flaw remediation; and
(b) Establishes [Assignment: organization-defined benchmarks] for taking corrective actions.
This control enhancement requires organizations to determine the
current time it takes on the average to correct information system flaws after such flaws have
been identified, and subsequently establish organizational benchmarks (i.e., time frames) for
taking corrective actions. Benchmarks can be established by type of flaw and/or severity of
the potential vulnerability if the flaw can be exploited.
Supplemental Guidance:
(4)
FLAW REMEDIATION | AUTOMATED PATCH MANAGEMENT TOOLS
[Withdrawn: Incorporated into SI-2].
(5)
FLAW REMEDIATION | AUTOMATIC SOFTWARE / FIRMWARE UPDATES
The organization installs [Assignment: organization-defined security-relevant software and
firmware updates] automatically to [Assignment: organization-defined information system
components].
Due to information system integrity and availability concerns,
organizations give careful consideration to the methodology used to carry out automatic
updates. Organizations must balance the need to ensure that the updates are installed as soon
as possible with the need to maintain configuration management and with any mission or
operational impacts that automatic updates might impose.
Supplemental Guidance:
(6)
FLAW REMEDIATION | REMOVAL OF PREVIOUS VERSIONS OF SOFTWARE / FIRMWARE
The organization removes [Assignment: organization-defined software and firmware components]
after updated versions have been installed.
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Previous versions of software and/or firmware components that are not
removed from the information system after updates have been installed may be exploited by
adversaries. Some information technology products may remove older versions of software
and/or firmware automatically from the information system.
Supplemental Guidance:
References:
NIST Special Publications 800-40, 800-128.
Priority and Baseline Allocation:
LOW SI-2
P1
SI-3
MOD SI-2 (2)
HIGH SI-2 (1) (2)
MALICIOUS CODE PROTECTION
Control:
The organization:
a.
Employs malicious code protection mechanisms at information system entry and exit points to
detect and eradicate malicious code;
b.
Updates malicious code protection mechanisms whenever new releases are available in
accordance with organizational configuration management policy and procedures;
c.
Configures malicious code protection mechanisms to:
d.
1.
Perform periodic scans of the information system [Assignment: organization-defined
frequency] and real-time scans of files from external sources at [Selection (one or more);
endpoint; network entry/exit points] as the files are downloaded, opened, or executed in
accordance with organizational security policy; and
2.
[Selection (one or more): block malicious code; quarantine malicious code; send alert to
administrator; [Assignment: organization-defined action]] in response to malicious code
detection; and
Addresses the receipt of false positives during malicious code detection and eradication and
the resulting potential impact on the availability of the information system.
Information system entry and exit points include, for example, firewalls,
electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook
computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan
horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE,
Unicode), contained within compressed or hidden files, or hidden in files using steganography.
Malicious code can be transported by different means including, for example, web accesses,
electronic mail, electronic mail attachments, and portable storage devices. Malicious code
insertions occur through the exploitation of information system vulnerabilities. Malicious code
protection mechanisms include, for example, anti-virus signature definitions and reputation-based
technologies. A variety of technologies and methods exist to limit or eliminate the effects of
malicious code. Pervasive configuration management and comprehensive software integrity
controls may be effective in preventing execution of unauthorized code. In addition to commercial
off-the-shelf software, malicious code may also be present in custom-built software. This could
include, for example, logic bombs, back doors, and other types of cyber attacks that could affect
organizational missions/business functions. Traditional malicious code protection mechanisms
cannot always detect such code. In these situations, organizations rely instead on other safeguards
including, for example, secure coding practices, configuration management and control, trusted
procurement processes, and monitoring practices to help ensure that software does not perform
functions other than the functions intended. Organizations may determine that in response to the
detection of malicious code, different actions may be warranted. For example, organizations can
define actions in response to malicious code detection during periodic scans, actions in response to
detection of malicious downloads, and/or actions in response to detection of maliciousness when
attempting to open or execute files. Related controls: CM-3, MP-2, SA-4, SA-8, SA-12, SA-13,
SC-7, SC-26, SC-44, SI-2, SI-4, SI-7.
Supplemental Guidance:
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Control Enhancements:
(1)
MALICIOUS CODE PROTECTION | CENTRAL MANAGEMENT
The organization centrally manages malicious code protection mechanisms.
Central management is the organization-wide management and
implementation of malicious code protection mechanisms. Central management includes
planning, implementing, assessing, authorizing, and monitoring the organization-defined,
centrally managed flaw malicious code protection security controls. Related controls: AU-2,
SI-8.
Supplemental Guidance:
(2)
MALICIOUS CODE PROTECTION | AUTOMATIC UPDATES
The information system automatically updates malicious code protection mechanisms.
Malicious code protection mechanisms include, for example, signature
definitions. Due to information system integrity and availability concerns, organizations give
careful consideration to the methodology used to carry out automatic updates. Related control:
SI-8.
Supplemental Guidance:
(3)
MALICIOUS CODE PROTECTION | NON-PRIVILEGED USERS
[Withdrawn: Incorporated into AC-6 (10)].
(4)
MALICIOUS CODE PROTECTION | UPDATES ONLY BY PRIVILEGED USERS
The information system updates malicious code protection mechanisms only when directed by a
privileged user.
This control enhancement may be appropriate for situations where for
reasons of security or operational continuity, updates are only applied when selected/approved
by designated organizational personnel. Related controls: AC-6, CM-5.
Supplemental Guidance:
(5)
MALICIOUS CODE PROTECTION | PORTABLE STORAGE DEVICES
(6)
MALICIOUS CODE PROTECTION | TESTING / VERIFICATION
[Withdrawn: Incorporated into MP-7].
The organization:
(a)
Tests malicious code protection mechanisms [Assignment: organization-defined frequency]
by introducing a known benign, non-spreading test case into the information system; and
(b) Verifies that both detection of the test case and associated incident reporting occur.
Supplemental Guidance:
(7)
Related controls: CA-2, CA-7, RA-5.
MALICIOUS CODE PROTECTION | NONSIGNATURE-BASED DETECTION
The information system implements nonsignature-based malicious code detection mechanisms.
Nonsignature-based detection mechanisms include, for example, the
use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious
code and to provide safeguards against malicious code for which signatures do not yet exist or
for which existing signatures may not be effective. This includes polymorphic malicious code
(i.e., code that changes signatures when it replicates). This control enhancement does not
preclude the use of signature-based detection mechanisms.
Supplemental Guidance:
(8)
MALICIOUS CODE PROTECTION | DETECT UNAUTHORIZED COMMANDS
The information system detects [Assignment: organization-defined unauthorized operating system
commands] through the kernel application programming interface at [Assignment: organizationdefined information system hardware components] and [Selection (one or more): issues a warning;
audits the command execution; prevents the execution of the command].
This control enhancement can also be applied to critical interfaces
other than kernel-based interfaces, including for example, interfaces with virtual machines
and privileged applications. Unauthorized operating system commands include, for example,
commands for kernel functions from information system processes that are not trusted to
initiate such commands, or commands for kernel functions that are suspicious even though
commands of that type are reasonable for processes to initiate. Organizations can define the
malicious commands to be detected by a combination of command types, command classes,
or specific instances of commands. Organizations can define hardware components by
specific component, component type, location in the network, or combination therein.
Supplemental Guidance:
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Organizations may select different actions for different types/classes/specific instances of
potentially malicious commands. Related control: AU-6.
(9)
MALICIOUS CODE PROTECTION | AUTHENTICATE REMOTE COMMANDS
The information system implements [Assignment: organization-defined security safeguards] to
authenticate [Assignment: organization-defined remote commands].
This control enhancement protects against unauthorized commands
and replay of authorized commands. This capability is important for those remote information
systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or
serious consequences (e.g., injury or death, property damage, loss of high-valued assets or
sensitive information, or failure of important missions/business functions). Authentication
safeguards for remote commands help to ensure that information systems accept and execute
in the order intended, only authorized commands, and that unauthorized commands are
rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote
commands. Related controls: SC-12, SC-13, SC-23.
Supplemental Guidance:
(10) MALICIOUS CODE PROTECTION | MALICIOUS CODE ANALYSIS
The organization:
(a)
Employs [Assignment: organization-defined tools and techniques] to analyze the
characteristics and behavior of malicious code; and
(b) Incorporates the results from malicious code analysis into organizational incident response
and flaw remediation processes.
The application of selected malicious code analysis tools and
techniques provides organizations with a more in-depth understanding of adversary tradecraft
(i.e., tactics, techniques, and procedures) and the functionality and purpose of specific
instances of malicious code. Understanding the characteristics of malicious code facilitates
more effective organizational responses to current and future threats. Organizations can
conduct malicious code analyses by using reverse engineering techniques or by monitoring
the behavior of executing code.
Supplemental Guidance:
References:
NIST Special Publication 800-83.
Priority and Baseline Allocation:
LOW SI-3
P1
SI-4
MOD SI-3 (1) (2)
HIGH SI-3 (1) (2)
INFORMATION SYSTEM MONITORING
Control:
a.
The organization:
Monitors the information system to detect:
1.
Attacks and indicators of potential attacks in accordance with [Assignment: organizationdefined monitoring objectives]; and
2.
Unauthorized local, network, and remote connections;
b.
Identifies unauthorized use of the information system through [Assignment: organizationdefined techniques and methods];
c.
Deploys monitoring devices:
1. Strategically within the information system to collect organization-determined essential
information; and
2. At ad hoc locations within the system to track specific types of transactions of interest to
the organization;
d.
APPENDIX F-SI
Protects information obtained from intrusion-monitoring tools from unauthorized access,
modification, and deletion;
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e.
Heightens the level of information system monitoring activity whenever there is an indication
of increased risk to organizational operations and assets, individuals, other organizations, or
the Nation based on law enforcement information, intelligence information, or other credible
sources of information;
f.
Obtains legal opinion with regard to information system monitoring activities in accordance
with applicable federal laws, Executive Orders, directives, policies, or regulations; and
g.
Provides [Assignment: organization-defined information system monitoring information] to
[Assignment: organization-defined personnel or roles] [Selection (one or more): as needed;
[Assignment: organization-defined frequency]].
Information system monitoring includes external and internal monitoring.
External monitoring includes the observation of events occurring at the information system
boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes
the observation of events occurring within the information system. Organizations can monitor
information systems, for example, by observing audit activities in real time or by observing other
system aspects such as access patterns, characteristics of access, and other actions. The monitoring
objectives may guide determination of the events. Information system monitoring capability is
achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion
prevention systems, malicious code protection software, scanning tools, audit record monitoring
software, network monitoring software). Strategic locations for monitoring devices include, for
example, selected perimeter locations and near server farms supporting critical applications, with
such devices typically being employed at the managed interfaces associated with controls SC-7
and AC-17. Einstein network monitoring devices from the Department of Homeland Security can
also be included as monitoring devices. The granularity of monitoring information collected is
based on organizational monitoring objectives and the capability of information systems to
support such objectives. Specific types of transactions of interest include, for example, Hyper Text
Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is
an integral part of organizational continuous monitoring and incident response programs. Output
from system monitoring serves as input to continuous monitoring and incident response programs.
A network connection is any connection with a device that communicates through a network (e.g.,
local area network, Internet). A remote connection is any connection with a device communicating
through an external network (e.g., the Internet). Local, network, and remote connections can be
either wired or wireless. Related controls: AC-3, AC-4, AC-8, AC-17, AU-2, AU-6, AU-7, AU-9,
AU-12, CA-7, IR-4, PE-3, RA-5, SC-7, SC-26, SC-35, SI-3, SI-7.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION SYSTEM MONITORING | SYSTEM-WIDE INTRUSION DETECTION SYSTEM
The organization connects and configures individual intrusion detection tools into an information
system-wide intrusion detection system.
(2)
INFORMATION SYSTEM MONITORING | AUTOMATED TOOLS FOR REAL-TIME ANALYSIS
The organization employs automated tools to support near real-time analysis of events.
Automated tools include, for example, host-based, network-based,
transport-based, or storage-based event monitoring tools or Security Information and Event
Management (SIEM) technologies that provide real time analysis of alerts and/or notifications
generated by organizational information systems.
Supplemental Guidance:
(3)
INFORMATION SYSTEM MONITORING | AUTOMATED TOOL INTEGRATION
The organization employs automated tools to integrate intrusion detection tools into access
control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of
these mechanisms in support of attack isolation and elimination.
(4)
INFORMATION SYSTEM MONITORING | INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
The information system monitors inbound and outbound communications traffic [Assignment:
organization-defined frequency] for unusual or unauthorized activities or conditions.
Unusual/unauthorized activities or conditions related to information
system inbound and outbound communications traffic include, for example, internal traffic
that indicates the presence of malicious code within organizational information systems or
Supplemental Guidance:
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propagating among system components, the unauthorized exporting of information, or
signaling to external information systems. Evidence of malicious code is used to identify
potentially compromised information systems or information system components.
(5)
INFORMATION SYSTEM MONITORING | SYSTEM-GENERATED ALERTS
The information system alerts [Assignment: organization-defined personnel or roles] when the
following indications of compromise or potential compromise occur: [Assignment: organizationdefined compromise indicators].
Alerts may be generated from a variety of sources, including, for
example, audit records or inputs from malicious code protection mechanisms, intrusion
detection or prevention mechanisms, or boundary protection devices such as firewalls,
gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic
mail messages, or by text messaging. Organizational personnel on the notification list can
include, for example, system administrators, mission/business owners, system owners, or
information system security officers. Related controls: AU-5, PE-6.
Supplemental Guidance:
(6)
INFORMATION SYSTEM MONITORING | RESTRICT NON-PRIVILEGED USERS
[Withdrawn: Incorporated into AC-6 (10)].
(7)
INFORMATION SYSTEM MONITORING | AUTOMATED RESPONSE TO SUSPICIOUS EVENTS
The information system notifies [Assignment: organization-defined incident response personnel
(identified by name and/or by role)] of detected suspicious events and takes [Assignment:
organization-defined least-disruptive actions to terminate suspicious events].
Supplemental Guidance:
Least-disruptive actions may include, for example, initiating requests
for human responses.
(8)
INFORMATION SYSTEM MONITORING | PROTECTION OF MONITORING INFORMATION
[Withdrawn: Incorporated into SI-4].
(9)
INFORMATION SYSTEM MONITORING | TESTING OF MONITORING TOOLS
The organization tests intrusion-monitoring tools [Assignment: organization-defined frequency].
Testing intrusion-monitoring tools is necessary to ensure that the tools
are operating correctly and continue to meet the monitoring objectives of organizations. The
frequency of testing depends on the types of tools used by organizations and methods of
deployment. Related control: CP-9.
Supplemental Guidance:
(10) INFORMATION SYSTEM MONITORING | VISIBILITY OF ENCRYPTED COMMUNICATIONS
The organization makes provisions so that [Assignment: organization-defined encrypted
communications traffic] is visible to [Assignment: organization-defined information system
monitoring tools].
Organizations balance the potentially conflicting needs for encrypting
communications traffic and for having insight into such traffic from a monitoring perspective.
For some organizations, the need to ensure the confidentiality of communications traffic is
paramount; for others, mission-assurance is of greater concern. Organizations determine
whether the visibility requirement applies to internal encrypted traffic, encrypted traffic
intended for external destinations, or a subset of the traffic types.
Supplemental Guidance:
(11) INFORMATION SYSTEM MONITORING | ANALYZE COMMUNICATIONS TRAFFIC ANOMALIES
The organization analyzes outbound communications traffic at the external boundary of the
information system and selected [Assignment: organization-defined interior points within the
system (e.g., subnetworks, subsystems)] to discover anomalies.
Anomalies within organizational information systems include, for
example, large file transfers, long-time persistent connections, unusual protocols and ports in
use, and attempted communications with suspected malicious external addresses.
Supplemental Guidance:
(12) INFORMATION SYSTEM MONITORING | AUTOMATED ALERTS
The organization employs automated mechanisms to alert security personnel of the following
inappropriate or unusual activities with security implications: [Assignment: organization-defined
activities that trigger alerts].
This control enhancement focuses on the security alerts generated by
organizations and transmitted using automated means. In contrast to the alerts generated by
Supplemental Guidance:
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information systems in SI-4 (5), which tend to focus on information sources internal to the
systems (e.g., audit records), the sources of information for this enhancement can include
other entities as well (e.g., suspicious activity reports, reports on potential insider threats).
Related controls: AC-18, IA-3.
(13) INFORMATION SYSTEM MONITORING | ANALYZE TRAFFIC / EVENT PATTERNS
The organization:
(a)
Analyzes communications traffic/event patterns for the information system;
(b) Develops profiles representing common traffic patterns and/or events; and
(c)
Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of
false positives and the number of false negatives.
(14) INFORMATION SYSTEM MONITORING | WIRELESS INTRUSION DETECTION
The organization employs a wireless intrusion detection system to identify rogue wireless devices
and to detect attack attempts and potential compromises/breaches to the information system.
Wireless signals may radiate beyond the confines of organizationcontrolled facilities. Organizations proactively search for unauthorized wireless connections
including the conduct of thorough scans for unauthorized wireless access points. Scans are not
limited to those areas within facilities containing information systems, but also include areas
outside of facilities as needed, to verify that unauthorized wireless access points are not
connected to the systems. Related controls: AC-18, IA-3.
Supplemental Guidance:
(15) INFORMATION SYSTEM MONITORING | WIRELESS TO WIRELINE COMMUNICATIONS
The organization employs an intrusion detection system to monitor wireless communications
traffic as the traffic passes from wireless to wireline networks.
Supplemental Guidance:
Related control: AC-18.
(16) INFORMATION SYSTEM MONITORING | CORRELATE MONITORING INFORMATION
The organization correlates information from monitoring tools employed throughout the
information system.
Correlating information from different monitoring tools can provide a
more comprehensive view of information system activity. The correlation of monitoring tools
that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software)
can provide an organization-wide view and in so doing, may reveal otherwise unseen attack
patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to
maximize the utility of information generated by those tools can help organizations to build,
operate, and maintain effective monitoring programs. Related control: AU-6.
Supplemental Guidance:
(17) INFORMATION SYSTEM MONITORING | INTEGRATED SITUATIONAL AWARENESS
The organization correlates information from monitoring physical, cyber, and supply chain
activities to achieve integrated, organization-wide situational awareness.
This control enhancement correlates monitoring information from a
more diverse set of information sources to achieve integrated situational awareness. Integrated
situational awareness from a combination of physical, cyber, and supply chain monitoring
activities enhances the capability of organizations to more quickly detect sophisticated cyber
attacks and investigate the methods and techniques employed to carry out such attacks. In
contrast to SI-4 (16) which correlates the various cyber monitoring information, this control
enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help
reveal attacks on organizations that are operating across multiple attack vectors. Related
control: SA-12.
Supplemental Guidance:
(18) INFORMATION SYSTEM MONITORING | ANALYZE TRAFFIC / COVERT EXFILTRATION
The organization analyzes outbound communications traffic at the external boundary of the
information system (i.e., system perimeter) and at [Assignment: organization-defined interior
points within the system (e.g., subsystems, subnetworks)] to detect covert exfiltration of
information.
Covert means that can be used for the unauthorized exfiltration of
organizational information include, for example, steganography.
Supplemental Guidance:
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(19) INFORMATION SYSTEM MONITORING | INDIVIDUALS POSING GREATER RISK
The organization implements [Assignment: organization-defined additional monitoring] of
individuals who have been identified by [Assignment: organization-defined sources] as posing an
increased level of risk.
Indications of increased risk from individuals can be obtained from a
variety of sources including, for example, human resource records, intelligence agencies, law
enforcement organizations, and/or other credible sources. The monitoring of individuals is
closely coordinated with management, legal, security, and human resources officials within
organizations conducting such monitoring and complies with federal legislation, Executive
Orders, policies, directives, regulations, and standards.
Supplemental Guidance:
(20) INFORMATION SYSTEM MONITORING | PRIVILEGED USERS
The organization implements [Assignment: organization-defined additional monitoring] of
privileged users.
(21) INFORMATION SYSTEM MONITORING | PROBATIONARY PERIODS
The organization implements [Assignment: organization-defined additional monitoring] of
individuals during [Assignment: organization-defined probationary period].
(22) INFORMATION SYSTEM MONITORING | UNAUTHORIZED NETWORK SERVICES
The information system detects network services that have not been authorized or approved by
[Assignment: organization-defined authorization or approval processes] and [Selection (one or
more): audits; alerts [Assignment: organization-defined personnel or roles]].
Unauthorized or unapproved network services include, for example,
services in service-oriented architectures that lack organizational verification or validation
and therefore may be unreliable or serve as malicious rogues for valid services. Related
controls: AC-6, CM-7, SA-5, SA-9.
Supplemental Guidance:
(23) INFORMATION SYSTEM MONITORING | HOST-BASED DEVICES
The organization implements [Assignment: organization-defined host-based monitoring
mechanisms] at [Assignment: organization-defined information system components].
Information system components where host-based monitoring can be
implemented include, for example, servers, workstations, and mobile devices. Organizations
consider employing host-based monitoring mechanisms from multiple information technology
product developers.
Supplemental Guidance:
(24) INFORMATION SYSTEM MONITORING | INDICATORS OF COMPROMISE
The information system discovers, collects, distributes, and uses indicators of compromise.
Indicators of compromise (IOC) are forensic artifacts from intrusions
that are identified on organizational information systems (at the host or network level). IOCs
provide organizations with valuable information on objects or information systems that have
been compromised. IOCs for the discovery of compromised hosts can include for example,
the creation of registry key values. IOCs for network traffic include, for example, Universal
Resource Locator (URL) or protocol elements that indicate malware command and control
servers. The rapid distribution and adoption of IOCs can improve information security by
reducing the time that information systems and organizations are vulnerable to the same
exploit or attack.
Supplemental Guidance:
References:
NIST Special Publications 800-61, 800-83, 800-92, 800-94, 800-137.
Priority and Baseline Allocation:
P1
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LOW SI-4
MOD SI-4 (2) (4) (5)
HIGH SI-4 (2) (4) (5)
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SI-5
SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
Control:
The organization:
a.
Receives information system security alerts, advisories, and directives from [Assignment:
organization-defined external organizations] on an ongoing basis;
b.
Generates internal security alerts, advisories, and directives as deemed necessary;
c.
Disseminates security alerts, advisories, and directives to: [Selection (one or more):
[Assignment: organization-defined personnel or roles]; [Assignment: organization-defined
elements within the organization]; [Assignment: organization-defined external
organizations]]; and
d.
Implements security directives in accordance with established time frames, or notifies the
issuing organization of the degree of noncompliance.
The United States Computer Emergency Readiness Team (US-CERT)
generates security alerts and advisories to maintain situational awareness across the federal
government. Security directives are issued by OMB or other designated organizations with the
responsibility and authority to issue such directives. Compliance to security directives is essential
due to the critical nature of many of these directives and the potential immediate adverse effects
on organizational operations and assets, individuals, other organizations, and the Nation should the
directives not be implemented in a timely manner. External organizations include, for example,
external mission/business partners, supply chain partners, external service providers, and other
peer/supporting organizations. Related control: SI-2.
Supplemental Guidance:
Control Enhancements:
(1)
SECURITY ALERTS, ADVISORIES, AND DIRECTIVES | AUTOMATED ALERTS AND ADVISORIES
The organization employs automated mechanisms to make security alert and advisory information
available throughout the organization.
The significant number of changes to organizational information
systems and the environments in which those systems operate requires the dissemination of
security-related information to a variety of organizational entities that have a direct interest in
the success of organizational missions and business functions. Based on the information
provided by the security alerts and advisories, changes may be required at one or more of the
three tiers related to the management of information security risk including the governance
level, mission/business process/enterprise architecture level, and the information system level.
Supplemental Guidance:
References:
NIST Special Publication 800-40.
Priority and Baseline Allocation:
P1
SI-6
LOW SI-5
MOD SI-5
HIGH SI-5 (1)
SECURITY FUNCTION VERIFICATION
Control:
The information system:
a.
Verifies the correct operation of [Assignment: organization-defined security functions];
b.
Performs this verification [Selection (one or more): [Assignment: organization-defined system
transitional states]; upon command by user with appropriate privilege; [Assignment:
organization-defined frequency]];
c.
Notifies [Assignment: organization-defined personnel or roles] of failed security verification
tests; and
d.
[Selection (one or more): shuts the information system down; restarts the information system;
[Assignment: organization-defined alternative action(s)]] when anomalies are discovered.
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Transitional states for information systems include, for example, system
startup, restart, shutdown, and abort. Notifications provided by information systems include, for
example, electronic alerts to system administrators, messages to local computer consoles, and/or
hardware indications such as lights. Related controls: CA-7, CM-6.
Supplemental Guidance:
Control Enhancements:
(1)
SECURITY FUNCTION VERIFICATION | NOTIFICATION OF FAILED SECURITY TESTS
[Withdrawn: Incorporated into SI-6].
(2)
SECURITY FUNCTION VERIFICATION | AUTOMATION SUPPORT FOR DISTRIBUTED TESTING
The information system implements automated mechanisms to support the management of
distributed security testing.
Supplemental Guidance:
(3)
Related control: SI-2.
SECURITY FUNCTION VERIFICATION | REPORT VERIFICATION RESULTS
The organization reports the results of security function verification to [Assignment: organizationdefined personnel or roles].
Organizational personnel with potential interest in security function
verification results include, for example, senior information security officers, information
system security managers, and information systems security officers. Related controls: SA-12,
SI-4, SI-5.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
SI-7
LOW Not Selected
MOD Not Selected
HIGH SI-6
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Control: The organization employs integrity verification tools to detect unauthorized changes to
[Assignment: organization-defined software, firmware, and information].
Unauthorized changes to software, firmware, and information can occur
due to errors or malicious activity (e.g., tampering). Software includes, for example, operating
systems (with key internal components such as kernels, drivers), middleware, and applications.
Firmware includes, for example, the Basic Input Output System (BIOS). Information includes
metadata such as security attributes associated with information. State-of-the-practice integritychecking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and
associated tools can automatically monitor the integrity of information systems and hosted
applications. Related controls: SA-12, SC-8, SC-13, SI-3.
Supplemental Guidance:
Control Enhancements:
(1)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRITY CHECKS
The information system performs an integrity check of [Assignment: organization-defined
software, firmware, and information] [Selection (one or more): at startup; at [Assignment:
organization-defined transitional states or security-relevant events]; [Assignment: organizationdefined frequency]].
Security-relevant events include, for example, the identification of a
new threat to which organizational information systems are susceptible, and the installation of
new hardware, software, or firmware. Transitional states include, for example, system startup,
restart, shutdown, and abort.
Supplemental Guidance:
(2)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | AUTOMATED NOTIFICATIONS OF INTEGRITY VIOLATIONS
The organization employs automated tools that provide notification to [Assignment: organizationdefined personnel or roles] upon discovering discrepancies during integrity verification.
The use of automated tools to report integrity violations and to notify
organizational personnel in a timely matter is an essential precursor to effective risk response.
Supplemental Guidance:
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Personnel having an interest in integrity violations include, for example, mission/business
owners, information system owners, systems administrators, software developers, systems
integrators, and information security officers.
(3)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CENTRALLY-MANAGED INTEGRITY TOOLS
The organization employs centrally managed integrity verification tools.
Supplemental Guidance:
(4)
Related controls: AU-3, SI-2, SI-8.
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | TAMPER-EVIDENT PACKAGING
[Withdrawn: Incorporated into SA-12].
(5)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | AUTOMATED RESPONSE TO INTEGRITY VIOLATIONS
The information system automatically [Selection (one or more): shuts the information system
down; restarts the information system; implements [Assignment: organization-defined security
safeguards]] when integrity violations are discovered.
Organizations may define different integrity checking and anomaly
responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific
information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a
combination of both. Automatic implementation of specific safeguards within organizational
information systems includes, for example, reversing the changes, halting the information
system, or triggering audit alerts when unauthorized modifications to critical security files
occur.
Supplemental Guidance:
(6)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CRYPTOGRAPHIC PROTECTION
The information system implements cryptographic mechanisms to detect unauthorized changes to
software, firmware, and information.
Cryptographic mechanisms used for the protection of integrity include,
for example, digital signatures and the computation and application of signed hashes using
asymmetric cryptography, protecting the confidentiality of the key used to generate the hash,
and using the public key to verify the hash information. Related control: SC-13.
Supplemental Guidance:
(7)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRATION OF DETECTION AND RESPONSE
The organization incorporates the detection of unauthorized [Assignment: organization-defined
security-relevant changes to the information system] into the organizational incident response
capability.
This control enhancement helps to ensure that detected events are
tracked, monitored, corrected, and available for historical purposes. Maintaining historical
records is important both for being able to identify and discern adversary actions over an
extended period of time and for possible legal actions. Security-relevant changes include, for
example, unauthorized changes to established configuration settings or unauthorized elevation
of information system privileges. Related controls: IR-4, IR-5, SI-4.
Supplemental Guidance:
(8)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | AUDITING CAPABILITY FOR SIGNIFICANT EVENTS
The information system, upon detection of a potential integrity violation, provides the capability to
audit the event and initiates the following actions: [Selection (one or more): generates an audit
record; alerts current user; alerts [Assignment: organization-defined personnel or roles];
[Assignment: organization-defined other actions]].
Organizations select response actions based on types of software,
specific software, or information for which there are potential integrity violations. Related
controls: AU-2, AU-6, AU-12.
Supplemental Guidance:
(9)
SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | VERIFY BOOT PROCESS
The information system verifies the integrity of the boot process of [Assignment: organizationdefined devices].
Ensuring the integrity of boot processes is critical to starting devices in
known/trustworthy states. Integrity verification mechanisms provide organizational personnel
with assurance that only trusted code is executed during boot processes.
Supplemental Guidance:
(10) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | PROTECTION OF BOOT FIRMWARE
The information system implements [Assignment: organization-defined security safeguards] to
protect the integrity of boot firmware in [Assignment: organization-defined devices].
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Unauthorized modifications to boot firmware may be indicative of a
sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent
denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence
(e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot
firmware in organizational information systems by: (i) verifying the integrity and authenticity
of all updates to the boot firmware prior to applying changes to the boot devices; and (ii)
preventing unauthorized processes from modifying the boot firmware.
Supplemental Guidance:
(11) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CONFINED ENVIRONMENTS WITH LIMITED PRIVILEGES
The organization requires that [Assignment: organization-defined user-installed software] execute
in a confined physical or virtual machine environment with limited privileges.
Organizations identify software that may be of greater concern with
regard to origin or potential for containing malicious code. For this type of software, user
installations occur in confined environments of operation to limit or contain damage from
malicious code that may be executed.
Supplemental Guidance:
(12) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRITY VERIFICATION
The organization requires that the integrity of [Assignment: organization-defined user-installed
software] be verified prior to execution.
Organizations verify the integrity of user-installed software prior to
execution to reduce the likelihood of executing malicious code or code that contains errors
from unauthorized modifications. Organizations consider the practicality of approaches to
verifying software integrity including, for example, availability of checksums of adequate
trustworthiness from software developers or vendors.
Supplemental Guidance:
(13) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CODE EXECUTION IN PROTECTED ENVIRONMENTS
The organization allows execution of binary or machine-executable code obtained from sources
with limited or no warranty and without the provision of source code only in confined physical or
virtual machine environments and with the explicit approval of [Assignment: organization-defined
personnel or roles].
This control enhancement applies to all sources of binary or machineexecutable code including, for example, commercial software/firmware and open source
software.
Supplemental Guidance:
(14) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | BINARY OR MACHINE EXECUTABLE CODE
The organization:
(a)
Prohibits the use of binary or machine-executable code from sources with limited or no
warranty and without the provision of source code; and
(b) Provides exceptions to the source code requirement only for compelling mission/operational
requirements and with the approval of the authorizing official.
This control enhancement applies to all sources of binary or machineexecutable code including, for example, commercial software/firmware and open source
software. Organizations assess software products without accompanying source code from
sources with limited or no warranty for potential security impacts. The assessments address
the fact that these types of software products may be very difficult to review, repair, or
extend, given that organizations, in most cases, do not have access to the original source code,
and there may be no owners who could make such repairs on behalf of organizations. Related
control: SA-5.
Supplemental Guidance:
(15) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | CODE AUTHENTICATION
The information system implements cryptographic mechanisms to authenticate [Assignment:
organization-defined software or firmware components] prior to installation.
Cryptographic authentication includes, for example, verifying that
software or firmware components have been digitally signed using certificates recognized and
approved by organizations. Code signing is an effective method to protect against malicious
code.
Supplemental Guidance:
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(16) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | TIME LIMIT ON PROCESS EXECUTION W/O SUPERVISION
The organization does not allow processes to execute without supervision for more than
[Assignment: organization-defined time period].
This control enhancement addresses processes for which normal
execution periods can be determined and situations in which organizations exceed such
periods. Supervision includes, for example, operating system timers, automated responses, or
manual oversight and response when information system process anomalies occur.
Supplemental Guidance:
References:
NIST Special Publications 800-147, 800-155.
Priority and Baseline Allocation:
P1
SI-8
LOW Not Selected
MOD SI-7 (1) (7)
HIGH SI-7 (1) (2) (5) (7) (14)
SPAM PROTECTION
Control:
The organization:
a.
Employs spam protection mechanisms at information system entry and exit points to detect
and take action on unsolicited messages; and
b.
Updates spam protection mechanisms when new releases are available in accordance with
organizational configuration management policy and procedures.
Information system entry and exit points include, for example, firewalls,
electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile
devices, and notebook/laptop computers. Spam can be transported by different means including,
for example, electronic mail, electronic mail attachments, and web accesses. Spam protection
mechanisms include, for example, signature definitions. Related controls: AT-2, AT-3, SC-5, SC7, SI-3.
Supplemental Guidance:
Control Enhancements:
(1)
SPAM PROTECTION | CENTRAL MANAGEMENT
The organization centrally manages spam protection mechanisms.
Central management is the organization-wide management and
implementation of spam protection mechanisms. Central management includes planning,
implementing, assessing, authorizing, and monitoring the organization-defined, centrally
managed spam protection security controls. Related controls: AU-3, SI-2, SI-7.
Supplemental Guidance:
(2)
SPAM PROTECTION | AUTOMATIC UPDATES
The information system automatically updates spam protection mechanisms.
(3)
SPAM PROTECTION | CONTINUOUS LEARNING CAPABILITY
The information system implements spam protection mechanisms with a learning capability to
more effectively identify legitimate communications traffic.
Learning mechanisms include, for example, Bayesian filters that
respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm
parameters and thereby more accurately separating types of traffic.
Supplemental Guidance:
References:
NIST Special Publication 800-45.
Priority and Baseline Allocation:
P2
APPENDIX F-SI
LOW Not Selected
MOD SI-8 (1) (2)
HIGH SI-8 (1) (2)
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SI-9
INFORMATION INPUT RESTRICTIONS
[Withdrawn: Incorporated into AC-2, AC-3, AC-5, AC-6].
SI-10
INFORMATION INPUT VALIDATION
The information system checks the validity of [Assignment: organization-defined
information inputs].
Control:
Checking the valid syntax and semantics of information system inputs
(e.g., character set, length, numerical range, and acceptable values) verifies that inputs match
specified definitions for format and content. Software applications typically follow well-defined
protocols that use structured messages (i.e., commands or queries) to communicate between
software modules or system components. Structured messages can contain raw or unstructured
data interspersed with metadata or control information. If software applications use attackersupplied inputs to construct structured messages without properly encoding such messages, then
the attacker could insert malicious commands or special characters that can cause the data to be
interpreted as control information or metadata. Consequently, the module or component that
receives the tainted output will perform the wrong operations or otherwise interpret the
data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from
being unintentionally interpreted as commands. Input validation helps to ensure accurate and
correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.
Supplemental Guidance:
Control Enhancements:
(1)
INFORMATION INPUT VALIDATION | MANUAL OVERRIDE CAPABILITY
The information system:
(a)
Provides a manual override capability for input validation of [Assignment: organizationdefined inputs];
(b) Restricts the use of the manual override capability to only [Assignment: organization-defined
authorized individuals]; and
(c)
Audits the use of the manual override capability.
Supplemental Guidance:
(2)
Related controls: CM-3, CM-5.
INFORMATION INPUT VALIDATION | REVIEW / RESOLUTION OF ERRORS
The organization ensures that input validation errors are reviewed and resolved within
[Assignment: organization-defined time period].
Resolution of input validation errors includes, for example, correcting
systemic causes of errors and resubmitting transactions with corrected input.
Supplemental Guidance:
(3)
INFORMATION INPUT VALIDATION | PREDICTABLE BEHAVIOR
The information system behaves in a predictable and documented manner that reflects
organizational and system objectives when invalid inputs are received.
A common vulnerability in organizational information systems is
unpredictable behavior when invalid inputs are received. This control enhancement ensures
that there is predictable behavior in the face of invalid inputs by specifying information
system responses that facilitate transitioning the system to known states without adverse,
unintended side effects.
Supplemental Guidance:
(4)
INFORMATION INPUT VALIDATION | REVIEW / TIMING INTERACTIONS
The organization accounts for timing interactions among information system components in
determining appropriate responses for invalid inputs.
In addressing invalid information system inputs received across
protocol interfaces, timing interactions become relevant, where one protocol needs to consider
the impact of the error response on other protocols within the protocol stack. For example,
802.11 standard wireless network protocols do not interact well with Transmission Control
Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP
assumes packet losses are due to congestion, while packets lost over 802.11 links are typically
dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes
Supplemental Guidance:
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precisely the wrong action in response to a collision event. Adversaries may be able to use
apparently acceptable individual behaviors of the protocols in concert to achieve adverse
effects through suitable construction of invalid input.
(5)
INFORMATION INPUT VALIDATION | RESTRICT INPUTS TO TRUSTED SOURCES AND APPROVED FORMATS
The organization restricts the use of information inputs to [Assignment: organization-defined
trusted sources] and/or [Assignment: organization-defined formats].
This control enhancement applies the concept of whitelisting to
information inputs. Specifying known trusted sources for information inputs and acceptable
formats for such inputs can reduce the probability of malicious activity.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P1
SI-11
LOW Not Selected
MOD SI-10
HIGH SI-10
ERROR HANDLING
Control:
The information system:
a.
Generates error messages that provide information necessary for corrective actions without
revealing information that could be exploited by adversaries; and
b.
Reveals error messages only to [Assignment: organization-defined personnel or roles].
Organizations carefully consider the structure/content of error messages.
The extent to which information systems are able to identify and handle error conditions is guided
by organizational policy and operational requirements. Information that could be exploited by
adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as
the username, mission/business information that can be derived from (if not stated explicitly by)
information recorded, and personal information such as account numbers, social security numbers,
and credit card numbers. In addition, error messages may provide a covert channel for transmitting
information. Related controls: AU-2, AU-3, SC-31.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P2
SI-12
LOW Not Selected
MOD SI-11
HIGH SI-11
INFORMATION HANDLING AND RETENTION
The organization handles and retains information within the information system and
information output from the system in accordance with applicable federal laws, Executive Orders,
directives, policies, regulations, standards, and operational requirements.
Control:
Information handling and retention requirements cover the full life cycle of
information, in some cases extending beyond the disposal of information systems. The National
Archives and Records Administration provides guidance on records retention. Related controls:
AC-16, AU-5, AU-11, MP-2, MP-4.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX F-SI
None.
None.
PAGE F-230
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________________________________________________________________________________________________
Priority and Baseline Allocation:
LOW SI-12
P2
SI-13
MOD SI-12
HIGH SI-12
PREDICTABLE FAILURE PREVENTION
Control:
The organization:
a.
Determines mean time to failure (MTTF) for [Assignment: organization-defined information
system components] in specific environments of operation; and
b.
Provides substitute information system components and a means to exchange active and
standby components at [Assignment: organization-defined MTTF substitution criteria].
While MTTF is primarily a reliability issue, this control addresses potential
failures of specific information system components that provide security capability. Failure rates
reflect installation-specific consideration, not industry-average. Organizations define criteria for
substitution of information system components based on MTTF value with consideration for
resulting potential harm from component failures. Transfer of responsibilities between active and
standby components does not compromise safety, operational readiness, or security capability
(e.g., preservation of state variables). Standby components remain available at all times except for
maintenance issues or recovery failures in progress. Related controls: CP-2, CP-10, MA-6.
Supplemental Guidance:
Control Enhancements:
(1)
PREDICTABLE FAILURE PREVENTION | TRANSFERRING COMPONENT RESPONSIBILITIES
The organization takes information system components out of service by transferring component
responsibilities to substitute components no later than [Assignment: organization-defined fraction
or percentage] of mean time to failure.
(2)
PREDICTABLE FAILURE PREVENTION | TIME LIMIT ON PROCESS EXECUTION WITHOUT SUPERVISION
[Withdrawn: Incorporated into SI-7 (16)].
(3)
PREDICTABLE FAILURE PREVENTION | MANUAL TRANSFER BETWEEN COMPONENTS
The organization manually initiates transfers between active and standby information system
components [Assignment: organization-defined frequency] if the mean time to failure exceeds
[Assignment: organization-defined time period].
(4)
PREDICTABLE FAILURE PREVENTION | STANDBY COMPONENT INSTALLATION / NOTIFICATION
The organization, if information system component failures are detected:
(a)
Ensures that the standby components are successfully and transparently installed within
[Assignment: organization-defined time period]; and
(b) [Selection (one or more): activates [Assignment: organization-defined alarm]; automatically
shuts down the information system].
Automatic or manual transfer of components from standby to active
mode can occur, for example, upon detection of component failures.
Supplemental Guidance:
(5)
PREDICTABLE FAILURE PREVENTION | FAILOVER CAPABILITY
The organization provides [Selection: real-time; near real-time] [Assignment: organization-defined
failover capability] for the information system.
Failover refers to the automatic switchover to an alternate information
system upon the failure of the primary information system. Failover capability includes, for
example, incorporating mirrored information system operations at alternate processing sites or
periodic data mirroring at regular intervals defined by recovery time periods of organizations.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
APPENDIX F-SI
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PAGE F-231
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SI-14
NON-PERSISTENCE
The organization implements non-persistent [Assignment: organization-defined
information system components and services] that are initiated in a known state and terminated
[Selection (one or more): upon end of session of use; periodically at [Assignment: organizationdefined frequency]].
Control:
This control mitigates risk from advanced persistent threats (APTs) by
significantly reducing the targeting capability of adversaries (i.e., window of opportunity and
available attack surface) to initiate and complete cyber attacks. By implementing the concept of
non-persistence for selected information system components, organizations can provide a known
state computing resource for a specific period of time that does not give adversaries sufficient time
on target to exploit vulnerabilities in organizational information systems and the environments in
which those systems operate. Since the advanced persistent threat is a high-end threat with regard
to capability, intent, and targeting, organizations assume that over an extended period of time, a
percentage of cyber attacks will be successful. Non-persistent information system components and
services are activated as required using protected information and terminated periodically or upon
the end of sessions. Non-persistence increases the work factor of adversaries in attempting to
compromise or breach organizational information systems.
Supplemental Guidance:
Non-persistent system components can be implemented, for example, by periodically re-imaging
components or by using a variety of common virtualization techniques. Non-persistent services
can be implemented using virtualization techniques as part of virtual machines or as new instances
of processes on physical machines (either persistent or non-persistent).The benefit of periodic
refreshes of information system components/services is that it does not require organizations to
first determine whether compromises of components or services have occurred (something that
may often be difficult for organizations to determine). The refresh of selected information system
components and services occurs with sufficient frequency to prevent the spread or intended impact
of attacks, but not with such frequency that it makes the information system unstable. In some
instances, refreshes of critical components and services may be done periodically in order to
hinder the ability of adversaries to exploit optimum windows of vulnerabilities. Related controls:
SC-30, SC-34.
Control Enhancements:
(1)
NON-PERSISTENCE | REFRESH FROM TRUSTED SOURCES
The organization ensures that software and data employed during information system component
and service refreshes are obtained from [Assignment: organization-defined trusted sources].
Trusted sources include, for example, software/data from write-once,
read-only media or from selected off-line secure storage facilities.
Supplemental Guidance:
References:
None.
Priority and Baseline Allocation:
P0
SI-15
LOW Not Selected
MOD Not Selected
HIGH Not Selected
INFORMATION OUTPUT FILTERING
The information system validates information output from [Assignment: organizationdefined software programs and/or applications] to ensure that the information is consistent with
the expected content.
Control:
Certain types of cyber attacks (e.g., SQL injections) produce output results
that are unexpected or inconsistent with the output results that would normally be expected from
software programs or applications. This control enhancement focuses on detecting extraneous
content, preventing such extraneous content from being displayed, and alerting monitoring tools
that anomalous behavior has been discovered. Related controls: SI-3, SI-4.
Supplemental Guidance:
APPENDIX F-SI
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Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
SI-16
LOW Not Selected
MOD Not Selected
HIGH Not Selected
MEMORY PROTECTION
The information system implements [Assignment: organization-defined security
safeguards] to protect its memory from unauthorized code execution.
Control:
Some adversaries launch attacks with the intent of executing code in nonexecutable regions of memory or in memory locations that are prohibited. Security safeguards
employed to protect memory include, for example, data execution prevention and address space
layout randomization. Data execution prevention safeguards can either be hardware-enforced or
software-enforced with hardware providing the greater strength of mechanism. Related controls:
AC-25, SC-3.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P1
SI-17
LOW Not Selected
MOD SI-16
HIGH SI-16
FAIL-SAFE PROCEDURES
Control: The information system implements [Assignment: organization-defined fail-safe
procedures] when [Assignment: organization-defined failure conditions occur].
Failure conditions include, for example, loss of communications among
critical system components or between system components and operational facilities. Fail-safe
procedures include, for example, alerting operator personnel and providing specific instructions on
subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart
the system, or contact designated organizational personnel). Related controls: CP-12, CP-13, SC24, SI-13.
Supplemental Guidance:
Control Enhancements:
References:
None.
None.
Priority and Baseline Allocation:
P0
APPENDIX F-SI
LOW Not Selected
MOD Not Selected
HIGH Not Selected
PAGE F-233
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APPENDIX G
INFORMATION SECURITY PROGRAMS
ORGANIZATION-WIDE INFORMATION SECURITY PROGRAM MANAGEMENT CONTROLS
T
he Federal Information Security Management Act (FISMA) requires organizations to
develop and implement an organization-wide information security program to address
information security for the information and information systems that support the
operations and assets of the organization, including those provided or managed by another
organization, contractor, or other source. The information security program management (PM)
controls described in this appendix are typically implemented at the organization level and not
directed at individual organizational information systems. The program management controls
have been designed to facilitate compliance with applicable federal laws, Executive Orders,
directives, policies, regulations, and standards. The controls are independent of any FIPS
Publication 200 impact levels and therefore, are not directly associated with any of the security
control baselines described in Appendix D. The program management controls do, however,
complement the security controls in Appendix F and focus on the programmatic, organizationwide information security requirements that are independent of any particular information system
and are essential for managing information security programs. Tailoring guidance can be applied
to the program management controls in a manner similar to how the guidance is applied to
security controls in Appendix F. Organizations specify the individual or individuals responsible
and accountable for the development, implementation, assessment, authorization, and monitoring
of the program management controls. Organizations document program management controls in
the information security program plan. The organization-wide information security program plan
supplements the individual security plans developed for each organizational information system.
Together, the security plans for the individual information systems and the information security
program cover the totality of security controls employed by the organization.
In addition to documenting the information security program management controls, the security
program plan provides a vehicle for the organization, in a central repository, to document all
security controls from Appendix F that have been designated as common controls (i.e., security
controls inheritable by organizational information systems). 111 The information security program
management controls and common controls contained in the information security program plan
are implemented, assessed for effectiveness, 112 and authorized by a senior organizational official,
with the same or similar authority and responsibility for managing risk as the authorization
officials for information systems. Plans of action and milestones are developed and maintained
for the program management and common controls that are deemed through assessment to be less
than effective. Information security program management and common controls are also subject
to the same continuous monitoring requirements as security controls employed in individual
organizational information systems.
Table G-1 provides a summary of the security controls in the program management family from
Appendix G. Organizations can use the recommended priority code designation associated with
each program management control to assist in making sequencing decisions for implementation
111
Common controls are those security controls that are inheritable by one or more organizational information systems,
and thus are separate and distinct from information security program management controls.
112
Assessment procedures for program management controls and common controls can be found in NIST Special
Publication 800-53A.
APPENDIX G
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(i.e., a Priority Code 1 [P1] control has a higher priority for implementation than a Priority Code
2 [P2] control; and a Priority Code 2 [P2] control has a higher priority for implementation than a
Priority Code 3 [P3] control.
CNTL
NO.
CONTROL NAME
PRIORITY
TABLE G-1: PROGRAM MANAGEMENT CONTROLS
PM-1
Information Security Program Plan
P1
PM-2
Senior Information Security Officer
P1
PM-3
Information Security Resources
P1
PM-4
Plan of Action and Milestones Process
P1
PM-5
Information System Inventory
P1
PM-6
Information Security Measures of
Performance
P1
PM-7
Enterprise Architecture
P1
PM-8
Critical Infrastructure Plan
P1
PM-9
Risk Management Strategy
P1
PM-10
Security Authorization Process
P1
PM-11
Mission/Business Process Definition
P1
PM-12
Insider Threat Program
P1
PM-13
Information Security Workforce
P1
PM-14
Testing, Training, and Monitoring
P1
PM-15
Contacts with Security Groups and
Associations
P3
PM-16
Threat Awareness Program
P1
INITIAL CONTROL BASELINES
LOW
MOD
HIGH
Deployed organization-wide.
Supporting information security program.
Not associated with security control baselines.
Independent of any system impact level.
Cautionary Note
Organizations are required to implement security program management controls to provide a foundation
for the organizational information security program. The successful implementation of security controls
for organizational information systems depends on the successful implementation of organization-wide
program management controls. However, the manner in which organizations implement the program
management controls depends on specific organizational characteristics including, for example, the size,
complexity, and mission/business requirements of the respective organizations.
APPENDIX G
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PM-1
INFORMATION SECURITY PROGRAM PLAN
Control:
a.
The organization:
Develops and disseminates an organization-wide information security program plan that:
1.
Provides an overview of the requirements for the security program and a description of
the security program management controls and common controls in place or planned for
meeting those requirements;
2.
Includes the identification and assignment of roles, responsibilities, management
commitment, coordination among organizational entities, and compliance;
3.
Reflects coordination among organizational entities responsible for the different aspects
of information security (i.e., technical, physical, personnel, cyber-physical); and
4.
Is approved by a senior official with responsibility and accountability for the risk being
incurred to organizational operations (including mission, functions, image, and
reputation), organizational assets, individuals, other organizations, and the Nation;
b.
Reviews the organization-wide information security program plan [Assignment: organizationdefined frequency];
c.
Updates the plan to address organizational changes and problems identified during plan
implementation or security control assessments; and
d.
Protects the information security program plan from unauthorized disclosure and
modification.
Information security program plans can be represented in single documents
or compilations of documents at the discretion of organizations. The plans document the program
management controls and organization-defined common controls. Information security program
plans provide sufficient information about the program management controls/common controls
(including specification of parameters for any assignment and selection statements either explicitly
or by reference) to enable implementations that are unambiguously compliant with the intent of
the plans and a determination of the risk to be incurred if the plans are implemented as intended.
Supplemental Guidance:
The security plans for individual information systems and the organization-wide information
security program plan together, provide complete coverage for all security controls employed
within the organization. Common controls are documented in an appendix to the organization’s
information security program plan unless the controls are included in a separate security plan for
an information system (e.g., security controls employed as part of an intrusion detection system
providing organization-wide boundary protection inherited by one or more organizational
information systems). The organization-wide information security program plan will indicate
which separate security plans contain descriptions of common controls.
Organizations have the flexibility to describe common controls in a single document or in multiple
documents. In the case of multiple documents, the documents describing common controls are
included as attachments to the information security program plan. If the information security
program plan contains multiple documents, the organization specifies in each document the
organizational official or officials responsible for the development, implementation, assessment,
authorization, and monitoring of the respective common controls. For example, the organization
may require that the Facilities Management Office develop, implement, assess, authorize, and
continuously monitor common physical and environmental protection controls from the PE family
when such controls are not associated with a particular information system but instead, support
multiple information systems. Related control: PM-8.
Control Enhancements:
References:
APPENDIX G
None.
None.
PAGE G-3
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and Organizations
________________________________________________________________________________________________
PM-2
SENIOR INFORMATION SECURITY OFFICER
The organization appoints a senior information security officer with the mission and
resources to coordinate, develop, implement, and maintain an organization-wide information
security program.
Control:
The security officer described in this control is an organizational official.
For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies,
or regulations) this official is the Senior Agency Information Security Officer. Organizations may
also refer to this official as the Senior Information Security Officer or Chief Information Security
Officer.
Supplemental Guidance:
Control Enhancements:
References:
PM-3
None.
None.
INFORMATION SECURITY RESOURCES
Control:
The organization:
a.
Ensures that all capital planning and investment requests include the resources needed to
implement the information security program and documents all exceptions to this
requirement;
b.
Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and
c.
Ensures that information security resources are available for expenditure as planned.
Organizations consider establishing champions for information security
efforts and as part of including the necessary resources, assign specialized expertise and resources
as needed. Organizations may designate and empower an Investment Review Board (or similar
group) to manage and provide oversight for the information security-related aspects of the capital
planning and investment control process. Related controls: PM-4, SA-2.
Supplemental Guidance:
Control Enhancements:
References:
PM-4
None.
NIST Special Publication 800-65.
PLAN OF ACTION AND MILESTONES PROCESS
Control:
a.
b.
The organization:
Implements a process for ensuring that plans of action and milestones for the security
program and associated organizational information systems:
1.
Are developed and maintained;
2.
Document the remedial information security actions to adequately respond to risk to
organizational operations and assets, individuals, other organizations, and the Nation; and
3.
Are reported in accordance with OMB FISMA reporting requirements.
Reviews plans of action and milestones for consistency with the organizational risk
management strategy and organization-wide priorities for risk response actions.
The plan of action and milestones is a key document in the information
security program and is subject to federal reporting requirements established by OMB. With the
increasing emphasis on organization-wide risk management across all three tiers in the risk
management hierarchy (i.e., organization, mission/business process, and information system),
organizations view plans of action and milestones from an organizational perspective, prioritizing
risk response actions and ensuring consistency with the goals and objectives of the organization.
Plan of action and milestones updates are based on findings from security control assessments and
Supplemental Guidance:
APPENDIX G
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continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding
organizational plans of action and milestones. Related control: CA-5.
Control Enhancements:
References:
PM-5
None.
OMB Memorandum 02-01; NIST Special Publication 800-37.
INFORMATION SYSTEM INVENTORY
Control:
The organization develops and maintains an inventory of its information systems.
This control addresses the inventory requirements in FISMA. OMB
provides guidance on developing information systems inventories and associated reporting
requirements. For specific information system inventory reporting requirements, organizations
consult OMB annual FISMA reporting guidance.
Supplemental Guidance:
Control Enhancements:
References:
PM-6
None.
Web: http://www.omb.gov.
INFORMATION SECURITY MEASURES OF PERFORMANCE
The organization develops, monitors, and reports on the results of information security
measures of performance.
Control:
Measures of performance are outcome-based metrics used by an
organization to measure the effectiveness or efficiency of the information security program and
the security controls employed in support of the program.
Supplemental Guidance:
Control Enhancements:
References:
PM-7
None.
NIST Special Publication 800-55.
ENTERPRISE ARCHITECTURE
The organization develops an enterprise architecture with consideration for information
security and the resulting risk to organizational operations, organizational assets, individuals, other
organizations, and the Nation.
Control:
The enterprise architecture developed by the organization is aligned with
the Federal Enterprise Architecture. The integration of information security requirements and
associated security controls into the organization’s enterprise architecture helps to ensure that
security considerations are addressed by organizations early in the system development life cycle
and are directly and explicitly related to the organization’s mission/business processes. This
process of security requirements integration also embeds into the enterprise architecture, an
integral information security architecture consistent with organizational risk management and
information security strategies. For PM-7, the information security architecture is developed at a
system-of-systems level (organization-wide), representing all of the organizational information
systems. For PL-8, the information security architecture is developed at a level representing an
individual information system but at the same time, is consistent with the information security
architecture defined for the organization. Security requirements and security control integration
are most effectively accomplished through the application of the Risk Management Framework
and supporting security standards and guidelines. The Federal Segment Architecture Methodology
provides guidance on integrating information security requirements and security controls into
enterprise architectures. Related controls: PL-2, PL-8, PM-11, RA-2, SA-3.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX G
None.
NIST Special Publication 800-39.
PAGE G-5
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________________________________________________________________________________________________
PM-8
CRITICAL INFRASTRUCTURE PLAN
The organization addresses information security issues in the development,
documentation, and updating of a critical infrastructure and key resources protection plan.
Control:
Protection strategies are based on the prioritization of critical assets and
resources. The requirement and guidance for defining critical infrastructure and key resources and
for preparing an associated critical infrastructure protection plan are found in applicable federal
laws, Executive Orders, directives, policies, regulations, standards, and guidance. Related
controls: PM-1, PM-9, PM-11, RA-3.
Supplemental Guidance:
Control Enhancements:
References:
PM-9
None.
HSPD 7; National Infrastructure Protection Plan.
RISK MANAGEMENT STRATEGY
Control:
The organization:
a.
Develops a comprehensive strategy to manage risk to organizational operations and assets,
individuals, other organizations, and the Nation associated with the operation and use of
information systems;
b.
Implements the risk management strategy consistently across the organization; and
c.
Reviews and updates the risk management strategy [Assignment: organization-defined
frequency] or as required, to address organizational changes.
An organization-wide risk management strategy includes, for example, an
unambiguous expression of the risk tolerance for the organization, acceptable risk assessment
methodologies, risk mitigation strategies, a process for consistently evaluating risk across the
organization with respect to the organization’s risk tolerance, and approaches for monitoring risk
over time. The use of a risk executive function can facilitate consistent, organization-wide
application of the risk management strategy. The organization-wide risk management strategy can
be informed by risk-related inputs from other sources both internal and external to the organization
to ensure the strategy is both broad-based and comprehensive. Related control: RA-3.
Supplemental Guidance:
Control Enhancements:
References:
PM-10
None.
NIST Special Publications 800-30, 800-39.
SECURITY AUTHORIZATION PROCESS
Control:
The organization:
a.
Manages (i.e., documents, tracks, and reports) the security state of organizational information
systems and the environments in which those systems operate through security authorization
processes;
b.
Designates individuals to fulfill specific roles and responsibilities within the organizational
risk management process; and
c.
Fully integrates the security authorization processes into an organization-wide risk
management program.
Security authorization processes for information systems and environments
of operation require the implementation of an organization-wide risk management process, a Risk
Management Framework, and associated security standards and guidelines. Specific roles within
the risk management process include an organizational risk executive (function) and designated
authorizing officials for each organizational information system and common control provider.
Security authorization processes are integrated with organizational continuous monitoring
Supplemental Guidance:
APPENDIX G
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________________________________________________________________________________________________
processes to facilitate ongoing understanding and acceptance of risk to organizational operations
and assets, individuals, other organizations, and the Nation. Related control: CA-6.
Control Enhancements:
References:
PM-11
None.
NIST Special Publications 800-37, 800-39.
MISSION/BUSINESS PROCESS DEFINITION
Control:
The organization:
a.
Defines mission/business processes with consideration for information security and the
resulting risk to organizational operations, organizational assets, individuals, other
organizations, and the Nation; and
b.
Determines information protection needs arising from the defined mission/business processes
and revises the processes as necessary, until achievable protection needs are obtained.
Information protection needs are technology-independent, required
capabilities to counter threats to organizations, individuals, or the Nation through the compromise
of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs
are derived from the mission/business needs defined by the organization, the mission/business
processes selected to meet the stated needs, and the organizational risk management strategy.
Information protection needs determine the required security controls for the organization and the
associated information systems supporting the mission/business processes. Inherent in defining an
organization’s information protection needs is an understanding of the level of adverse impact that
could result if a compromise of information occurs. The security categorization process is used to
make such potential impact determinations. Mission/business process definitions and associated
information protection requirements are documented by the organization in accordance with
organizational policy and procedure. Related controls: PM-7, PM-8, RA-2.
Supplemental Guidance:
Control Enhancements:
References:
PM-12
None.
FIPS Publication 199; NIST Special Publication 800-60.
INSIDER THREAT PROGRAM
Control: The organization implements an insider threat program that includes a cross-discipline
insider threat incident handling team.
Organizations handling classified information are required, under
Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat
programs. The standards and guidelines that apply to insider threat programs in classified
environments can also be employed effectively to improve the security of Controlled Unclassified
Information in non-national security systems. Insider threat programs include security controls to
detect and prevent malicious insider activity through the centralized integration and analysis of
both technical and non-technical information to identify potential insider threat concerns. A senior
organizational official is designated by the department/agency head as the responsible individual
to implement and provide oversight for the program. In addition to the centralized integration and
analysis capability, insider threat programs as a minimum, prepare department/agency insider
threat policies and implementation plans, conduct host-based user monitoring of individual
employee activities on government-owned classified computers, provide insider threat awareness
training to employees, receive access to information from all offices within the department/agency
(e.g., human resources, legal, physical security, personnel security, information technology,
information system security, and law enforcement) for insider threat analysis, and conduct selfassessments of department/agency insider threat posture.
Supplemental Guidance:
Insider threat programs can leverage the existence of incident handling teams organizations may
already have in place, such as computer security incident response teams. Human resources
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records are especially important in this effort, as there is compelling evidence to show that some
types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g.,
ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues).
These precursors can better inform and guide organizational officials in more focused, targeted
monitoring efforts. The participation of a legal team is important to ensure that all monitoring
activities are performed in accordance with appropriate legislation, directives, regulations,
policies, standards, and guidelines. Related controls: AC-6, AT-2, AU-6, AU-7, AU-10, AU-12,
AU-13, CA-7, IA-4, IR-4, MP-7, PE-2, PS-3, PS-4, PS-5, PS-8, SC-7, SC-38, SI-4, PM-1, PM-14.
Control Enhancements:
References:
PM-13
None.
Executive Order 13587.
INFORMATION SECURITY WORKFORCE
Control: The organization establishes an information security workforce development and
improvement program.
Information security workforce development and improvement programs
include, for example: (i) defining the knowledge and skill levels needed to perform information
security duties and tasks; (ii) developing role-based training programs for individuals assigned
information security roles and responsibilities; and (iii) providing standards for measuring and
building individual qualifications for incumbents and applicants for information security-related
positions. Such workforce programs can also include associated information security career paths
to encourage: (i) information security professionals to advance in the field and fill positions with
greater responsibility; and (ii) organizations to fill information security-related positions with
qualified personnel. Information security workforce development and improvement programs are
complementary to organizational security awareness and training programs. Information security
workforce development and improvement programs focus on developing and institutionalizing
core information security capabilities of selected personnel needed to protect organizational
operations, assets, and individuals. Related controls: AT-2, AT-3.
Supplemental Guidance:
Control Enhancements:
References:
PM-14
None.
None.
TESTING, TRAINING, AND MONITORING
Control:
a.
b.
The organization:
Implements a process for ensuring that organizational plans for conducting security testing,
training, and monitoring activities associated with organizational information systems:
1.
Are developed and maintained; and
2.
Continue to be executed in a timely manner;
Reviews testing, training, and monitoring plans for consistency with the organizational risk
management strategy and organization-wide priorities for risk response actions.
This control ensures that organizations provide oversight for the security
testing, training, and monitoring activities conducted organization-wide and that those activities
are coordinated. With the importance of continuous monitoring programs, the implementation of
information security across the three tiers of the risk management hierarchy, and the widespread
use of common controls, organizations coordinate and consolidate the testing and monitoring
activities that are routinely conducted as part of ongoing organizational assessments supporting a
variety of security controls. Security training activities, while typically focused on individual
information systems and specific roles, also necessitate coordination across all organizational
elements. Testing, training, and monitoring plans and activities are informed by current threat and
vulnerability assessments. Related controls: AT-3, CA-7, CP-4, IR-3, SI-4.
Supplemental Guidance:
APPENDIX G
PAGE G-8
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Control Enhancements:
References:
PM-15
None.
NIST Special Publications 800-16, 800-37, 800-53A, 800-137.
CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
The organization establishes and institutionalizes contact with selected groups and
associations within the security community:
Control:
a.
To facilitate ongoing security education and training for organizational personnel;
b.
To maintain currency with recommended security practices, techniques, and technologies; and
c.
To share current security-related information including threats, vulnerabilities, and incidents.
Ongoing contact with security groups and associations is of paramount
importance in an environment of rapidly changing technologies and threats. Security groups and
associations include, for example, special interest groups, forums, professional associations, news
groups, and/or peer groups of security professionals in similar organizations. Organizations select
groups and associations based on organizational missions/business functions. Organizations share
threat, vulnerability, and incident information consistent with applicable federal laws, Executive
Orders, directives, policies, regulations, standards, and guidance. Related control: SI-5.
Supplemental Guidance:
Control Enhancements:
References:
PM-16
None.
None.
THREAT AWARENESS PROGRAM
Control: The organization implements a threat awareness program that includes a crossorganization information-sharing capability.
Because of the constantly changing and increasing sophistication of
adversaries, especially the advanced persistent threat (APT), it is becoming more likely that
adversaries may successfully breach or compromise organizational information systems. One of
the best techniques to address this concern is for organizations to share threat information. This
can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that
organizations have experienced, mitigations that organizations have found are effective against
certain types of threats, threat intelligence (i.e., indications and warnings about threats that are
likely to occur). Threat information sharing may be bilateral (e.g., government-commercial
cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking
part in threat-sharing consortia). Threat information may be highly sensitive requiring special
agreements and protection, or less sensitive and freely shared. Related controls: PM-12, PM-16.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX G
None.
None.
PAGE G-9
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
APPENDIX H
INTERNATIONAL INFORMATION SECURITY STANDARDS
SECURITY CONTROL MAPPINGS FOR ISO/IEC 27001 AND 15408
T
he mapping tables in this appendix provide organizations with a general indication of
security control coverage with respect to ISO/IEC 27001, Information technology–Security
techniques–Information security management systems–Requirements 113 and ISO/IEC
15408, Information technology -- Security techniques -- Evaluation criteria for IT security. 114
ISO/IEC 27001 may be applied to all types of organizations and specifies requirements for
establishing, implementing, operating, monitoring, reviewing, maintaining, and improving a
documented information security management system (ISMS) within the context of business
risks. NIST Special Publication 800-39 includes guidance on managing risk at the organizational
level, mission/business process level, and information system level, is consistent with ISO/IEC
27001, and provides additional implementation detail for the federal government and its
contractors. ISO/IEC 15408 (also known as the Common Criteria) provides functionality and
assurance requirements for developers of information systems and information system
components (i.e., information technology products). Since many of the technical security controls
defined in Appendix F are implemented in hardware, software, and firmware components of
information systems, organizations can obtain significant benefit from the acquisition and
employment of information technology products evaluated against the requirements of ISO/IEC
15408. The use of such products can provide evidence that certain security controls are
implemented correctly, operating as intended, and producing the desired effect in satisfying stated
security requirements.
Previously, the ISO/IEC 27001 mappings were created by relating the primary security topic
identified in each of the Special Publication 800-53 base controls to a similar security topic in the
ISO/IEC standard. This methodology resulted in a mapping of security control relationships
rather than a mapping of equivalent security control requirements. The ISO/IEC 27001:2013
update provided an opportunity to reassess whether the implementation of a security control from
Special Publication 800-53 satisfied the intent of the mapped control from ISO/IEC 27001 and
conversely, whether the implementation of a security control from ISO/IEC 27001 satisfied the
intent of the mapped control from Special Publication 800-53. To successfully meet the mapping
criteria, the implementation of the mapped controls should result in an equivalent information
security posture. However, this does not mean that security control equivalency based solely on
the mapping tables herein should be assumed by organizations. While the revised security control
mappings are more accurate, there is still some degree of subjectivity in the mapping analysis
because the mappings are not always one-to-one and may not be completely equivalent. The
following examples illustrate some of the mapping issues:
•
Example 1: Special Publication 800-53 contingency planning and ISO/IEC 27001 business
continuity management were deemed to have similar, but not the same, functionality.
•
Example 2: In some cases, similar topics are addressed in the two security control sets but
provide a different context, perspective, or scope. Special Publication 800-53 addresses
113
ISO/IEC 27001 was published in October 2013 by the International Organization for Standardization (ISO) and the
International Electrotechnical Commission (IEC).
114
ISO/IEC 15408 was published in September 2012 by the International Organization for Standardization (ISO) and
the International Electrotechnical Commission (IEC).
APPENDIX H
PAGE H-1
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
information flow control broadly in terms of approved authorizations for controlling access
between source and destination objects, whereas ISO/IEC 27001 addresses information flow
more narrowly as it applies to interconnected network domains.
•
Example 3: Security control A.6.1.1, Information Security Roles and Responsibilities, in
ISO/IEC 27001 states that “all information security responsibilities shall be defined and
allocated” while security control PM-10, Security Authorization Process, in Special
Publication 800-53 that is mapped to A.6.1.1, has three distinct parts. The first part states that
the organization “designates individuals to fulfill specific roles and responsibilities…” If
A.6.1.1 is mapped to PM-10 without providing any additional information, organizations
might assume that if they implement A.6.1.1 (i.e., all responsibilities are defined and
allocated), then the intent of PM-10 would also be fully satisfied. However, this would not be
the case since the other two parts of PM-10 would not have been addressed. To resolve and
clarify the security control mappings, when a security control in the right column of Tables
H-1 and H-2 does not fully satisfy the intent of the security control in the left column of the
tables, the control in the right column is designated with an asterisk (*).
In a few cases, an ISO/IEC 27001 security control could only be directly mapped to a Special
Publication 800-53 control enhancement. In such cases, the relevant enhancement is specified in
Table H-2 indicating that the corresponding ISO/IEC 27001 control satisfies only the intent of the
specified enhancement and does not address the associated base control from Special Publication
800-53 or any other enhancements under that base control. Where no enhancement is specified,
the ISO/IEC 27001 control is relevant only to the Special Publication 800-53 base control.
And finally, the security controls from ISO/IEC 27002 were not considered in the mapping
analysis since the standard is informative rather than normative.
APPENDIX H
PAGE H-2
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Table H-1 provides a mapping from the security controls in NIST Special Publication 800-53 to
the security controls in ISO/IEC 27001. Please review the introductory text at the beginning of
Appendix H before employing the mappings in Table H-1.
TABLE H-1: MAPPING NIST SP 800-53 TO ISO/IEC 27001
NIST SP 800-53 CONTROLS
AC-1
Access Control Policy and Procedures
AC-2
AC-3
Account Management
Access Enforcement
AC-4
AC-5
AC-6
AC-7
AC-8
AC-9
AC-10
AC-11
AC-12
AC-13
AC-14
Information Flow Enforcement
Separation of Duties
Least Privilege
Unsuccessful Logon Attempts
System Use Notification
Previous Logon (Access) Notification
Concurrent Session Control
Session Lock
Session Termination
Withdrawn
Permitted Actions without Identification or
Authentication
Withdrawn
Security Attributes
Remote Access
Wireless Access
Access Control for Mobile Devices
Use of External Information Systems
Information Sharing
Publicly Accessible Content
Data Mining Protection
Access Control Decisions
Reference Monitor
Security Awareness and Training Policy and
Procedures
Security Awareness Training
Role-Based Security Training
Security Training Records
Withdrawn
Audit and Accountability Policy and Procedures
Audit Events
Content of Audit Records
Audit Storage Capacity
Response to Audit Processing Failures
Audit Review, Analysis, and Reporting
Audit Reduction and Report Generation
Time Stamps
Protection of Audit Information
Non-repudiation
Audit Record Retention
Audit Generation
AC-15
AC-16
AC-17
AC-18
AC-19
AC-20
AC-21
AC-22
AC-23
AC-24
AC-25
AT-1
AT-2
AT-3
AT-4
AT-5
AU-1
AU-2
AU-3
AU-4
AU-5
AU-6
AU-7
AU-8
AU-9
AU-10
AU-11
AU-12
APPENDIX H
ISO/IEC 27001 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
A.5.1.1, A.5.1.2, A.6.1.1, A.9.1.1, A.12.1.1, A.18.1.1,
A.18.2.2
A.9.2.1, A.9.2.2, A.9.2.3, A.9.2.5, A.9.2.6
A.6.2.2, A.9.1.2, A.9.4.1, A.9.4.4, A.9.4.5, A.13.1.1,
A.14.1.2, A.14.1.3, A.18.1.3
A.13.1.3, A.13.2.1, A.14.1.2, A.14.1.3
A.6.1.2
A.9.1.2, A.9.2.3, A.9.4.4, A.9.4.5
A.9.4.2
A.9.4.2
A.9.4.2
None
A.11.2.8, A.11.2.9
None
--None
--None
A.6.2.1, A.6.2.2, A.13.1.1, A.13.2.1, A.14.1.2
A.6.2.1, A.13.1.1, A.13.2.1
A.6.2.1, A.11.2.6, A.13.2.1
A.11.2.6, A.13.1.1, A.13.2.1
None
None
None
A.9.4.1*
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.7.2.2, A.12.2.1
A.7.2.2*
None
--A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
None
A.12.4.1*
A.12.1.3
None
A.12.4.1, A.16.1.2, A.16.1.4
None
A.12.4.4
A.12.4.2, A.12.4.3, A.18.1.3
None
A.12.4.1, A.16.1.7
A.12.4.1, A.12.4.3
PAGE H-3
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
NIST SP 800-53 CONTROLS
AU-13
AU-14
AU-15
AU-16
CA-1
CA-2
CA-3
CA-4
CA-5
CA-6
CA-7
CA-8
CA-9
CM-1
CM-2
CM-3
CM-4
CM-5
CM-6
CM-7
CM-8
CM-9
CM-10
CM-11
CP-1
CP-2
CP-3
CP-4
CP-5
CP-6
CP-7
CP-8
CP-9
CP-10
CP-11
CP-12
CP-13
IA-1
IA-2
IA-3
IA-4
IA-5
IA-6
IA-7
IA-8
IA-9
APPENDIX H
Monitoring for Information Disclosure
Session Audit
Alternate Audit Capability
Cross-Organizational Auditing
Security Assessment and Authorization Policies
and Procedures
Security Assessments
System Interconnections
Withdrawn
Plan of Action and Milestones
Security Authorization
Continuous Monitoring
Penetration Testing
Internal System Connections
Configuration Management Policy and
Procedures
Baseline Configuration
Configuration Change Control
Security Impact Analysis
Access Restrictions for Change
Configuration Settings
Least Functionality
Information System Component Inventory
Configuration Management Plan
Software Usage Restrictions
User-Installed Software
Contingency Planning Policy and Procedures
Contingency Plan
Contingency Training
Contingency Plan Testing
Withdrawn
Alternate Storage Site
Alternate Processing Site
Telecommunications Services
Information System Backup
Information System Recovery and
Reconstitution
Alternate Communications Protocols
Safe Mode
Alternative Security Mechanisms
Identification and Authentication Policy and
Procedures
Identification and Authentication
(Organizational Users)
Device Identification and Authentication
Identifier Management
Authenticator Management
Authenticator Feedback
Cryptographic Module Authentication
Identification and Authentication (NonOrganizational Users)
Service Identification and Authentication
ISO/IEC 27001 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
None
A.12.4.1*
None
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.14.2.8, A.18.2.2, A.18.2.3
A.13.1.2, A.13.2.1, A.13.2.2
--None
None
None
None
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
None
A.12.1.2, A.14.2.2, A.14.2.3, A.14.2.4
A.14.2.3
A.9.2.3, A.9.4.5, A.12.1.2, A.12.1.4, A.12.5.1
None
A.12.5.1*
A.8.1.1, A.8.1.2
A.6.1.1*
A.18.1.2
A.12.5.1, A.12.6.2
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.6.1.1, A.17.1.1, A.17.2.1
A.7.2.2*
A.17.1.3
--A.11.1.4, A.17.1.2, A.17.2.1
A.11.1.4, A.17.1.2, A.17.2.1
A.11.2.2, A.17.1.2
A.12.3.1, A.17.1.2, A.18.1.3
A.17.1.2
A.17.1.2*
None
A.17.1.2*
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.9.2.1
None
A.9.2.1
A.9.2.1, A.9.2.4, A.9.3.1, A.9.4.3
A.9.4.2
A.18.1.5
A.9.2.1
None
PAGE H-4
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
NIST SP 800-53 CONTROLS
IA-10
IA-11
IR-1
IR-2
IR-3
IR-4
IR-5
IR-6
IR-7
IR-8
IR-9
IR-10
MA-1
MA-2
MA-3
MA-4
MA-5
MA-6
MP-1
MP-2
MP-3
MP-4
MP-5
MP-6
MP-7
MP-8
PE-1
PE-2
PE-3
PE-4
PE-5
PE-6
PE-7
PE-8
PE-9
PE-10
PE-11
PE-12
PE-13
PE-14
PE-15
PE-16
PE-17
PE-18
PE-19
PE-20
PL-1
PL-2
PL-3
PL-4
APPENDIX H
Adaptive Identification and Authentication
Re-authentication
Incident Response Policy and Procedures
Incident Response Training
Incident Response Testing
Incident Handling
Incident Monitoring
Incident Reporting
Incident Response Assistance
Incident Response Plan
Information Spillage Response
Integrated Information Security Analysis Team
System Maintenance Policy and Procedures
Controlled Maintenance
Maintenance Tools
Nonlocal Maintenance
Maintenance Personnel
Timely Maintenance
Media Protection Policy and Procedures
Media Access
Media Marking
Media Storage
Media Transport
Media Sanitization
Media Use
Media Downgrading
Physical and Environmental Protection Policy
and Procedures
Physical Access Authorizations
Physical Access Control
Access Control for Transmission Medium
Access Control for Output Devices
Monitoring Physical Access
Withdrawn
Visitor Access Records
Power Equipment and Cabling
Emergency Shutoff
Emergency Power
Emergency Lighting
Fire Protection
Temperature and Humidity Controls
Water Damage Protection
Delivery and Removal
Alternate Work Site
Location of Information System Components
Information Leakage
Asset Monitoring and Tracking
Security Planning Policy and Procedures
System Security Plan
Withdrawn
Rules of Behavior
ISO/IEC 27001 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
None
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1 A.18.1.1, A.18.2.2
A.7.2.2*
None
A.16.1.4, A.16.1.5, A.16.1.6
None
A.6.1.3, A.16.1.2
None
A.16.1.1
None
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.11.2.4*, A.11.2.5*
None
None
None
A.11.2.4
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.8.2.3, A.8.3.1, A.11.2.9
A.8.2.2
A.8.2.3, A.8.3.1, A.11.2.9
A.8.2.3, A.8.3.1, A.8.3.3, A.11.2.5, A.11.2.6
A.8.2.3, A.8.3.1, A.8.3.2, A.11.2.7
A.8.2.3, A.8.3.1
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.11.1.2*
A.11.1.1, A.11.1.2, A.11.1.3
A.11.1.2, A.11.2.3
A.11.1.2, A.11.1.3
None
--None
A.11.1.4, A.11.2.1, A.11.2.2, A.11.2.3
A.11.2.2*
A.11.2.2
A.11.2.2*
A.11.1.4, A.11.2.1
A.11.1.4, A.11.2.1, A.11.2.2
A.11.1.4, A.11.2.1, A.11.2.2
A.8.2.3, A.11.1.6, A.11.2.5
A.6.2.2, A.11.2.6, A.13.2.1
A.8.2.3, A.11.1.4, A.11.2.1
A.11.1.4, A.11.2.1
A.8.2.3*
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.14.1.1
--A.7.1.2, A.7.2.1, A.8.1.3
PAGE H-5
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
NIST SP 800-53 CONTROLS
PL-5
PL-6
PL-7
PL-8
PL-9
PS-1
PS-2
PS-3
PS-4
PS-5
PS-6
PS-7
PS-8
RA-1
RA-2
RA-3
RA-4
RA-5
RA-6
SA-1
SA-2
SA-3
SA-4
SA-5
SA-6
SA-7
SA-8
SA-9
SA-10
SA-11
SA-12
SA-13
SA-14
SA-15
SA-16
SA-17
SA-18
SA-19
SA-20
SA-21
SA-22
SC-1
SC-2
SC-3
SC-4
SC-5
SC-6
APPENDIX H
Withdrawn
Withdrawn
Security Concept of Operations
Information Security Architecture
Central Management
Personnel Security Policy and Procedures
Position Risk Designation
Personnel Screening
Personnel Termination
Personnel Transfer
Access Agreements
Third-Party Personnel Security
Personnel Sanctions
Risk Assessment Policy and Procedures
Security Categorization
Risk Assessment
Withdrawn
Vulnerability Scanning
Technical Surveillance Countermeasures
Survey
System and Services Acquisition Policy and
Procedures
Allocation of Resources
System Development Life Cycle
Acquisition Process
Information System Documentation
Withdrawn
Withdrawn
Security Engineering Principles
External Information System Services
Developer Configuration Management
Developer Security Testing and Evaluation
Supply Chain Protections
Trustworthiness
Criticality Analysis
Development Process, Standards, and Tools
Developer-Provided Training
Developer Security Architecture and Design
Tamper Resistance and Detection
Component Authenticity
Customized Development of Critical
Components
Developer Screening
Unsupported System Components
System and Communications Protection Policy
and Procedures
Application Partitioning
Security Function Isolation
Information In Shared Resources
Denial of Service Protection
Resource Availability
ISO/IEC 27001 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
----A.14.1.1*
A.14.1.1*
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
None
A.7.1.1
A.7.3.1, A.8.1.4
A.7.3.1, A.8.1.4
A.7.1.2, A.7.2.1, A.13.2.4
A.6.1.1*, A.7.2.1*
A.7.2.3
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.8.2.1
A.12.6.1*
--A.12.6.1*
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
None
A.6.1.1, A.6.1.5, A.14.1.1, A.14.2.1, A.14.2.6
A.14.1.1, A.14.2.7, A.14.2.9, A.15.1.2
A.12.1.1*
----A.14.2.5
A.6.1.1, A.6.1.5, A.7.2.1, A.13.1.2, A.13.2.2, A.15.2.1,
A.15.2.2
A.12.1.2, A.14.2.2, A.14.2.4, A.14.2.7
A.14.2.7, A.14.2.8
A.14.2.7, A.15.1.1, A.15.1.2, A.15.1.3
None
None
A.6.1.5, A.14.2.1,
None
A.14.2.1, A.14.2.5
None
None
None
A.7.1.1
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
None
None
None
None
None
PAGE H-6
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
NIST SP 800-53 CONTROLS
SC-7
SC-8
SC-9
SC-10
SC-11
SC-12
SC-13
SC-14
SC-15
SC-16
SC-17
SC-18
SC-19
SC-20
SC-21
SC-22
SC-23
SC-24
SC-25
SC-26
SC-27
SC-28
SC-29
SC-30
SC-31
SC-32
SC-33
SC-34
SC-35
SC-36
SC-37
SC-38
SC-39
SC-40
SC-41
SC-42
SC-43
SC-44
SI-1
SI-2
SI-3
SI-4
SI-5
SI-6
SI-7
SI-8
SI-9
APPENDIX H
Boundary Protection
Transmission Confidentiality and Integrity
Withdrawn
Network Disconnect
Trusted Path
Cryptographic Key Establishment and
Management
Cryptographic Protection
Withdrawn
Collaborative Computing Devices
Transmission of Security Attributes
Public Key Infrastructure Certificates
Mobile Code
Voice Over Internet Protocol
Secure Name/Address Resolution Service
(Authoritative Source)
Secure Name/Address Resolution Service
(Recursive or Caching Resolver)
Architecture and Provisioning for
Name/Address Resolution Service
Session Authenticity
Fail in Known State
Thin Nodes
Honeypots
Platform-Independent Applications
Protection of Information at Rest
Heterogeneity
Concealment and Misdirection
Covert Channel Analysis
Information System Partitioning
Withdrawn
Non-Modifiable Executable Programs
Honeyclients
Distributed Processing and Storage
Out-of-Band Channels
Operations Security
Process Isolation
Wireless Link Protection
Port and I/O Device Access
Sensor Capability and Data
Usage Restrictions
Detonation Chambers
System and Information Integrity Policy and
Procedures
Flaw Remediation
Malicious Code Protection
Information System Monitoring
Security Alerts, Advisories, and Directives
Security Function Verification
Software, Firmware, and Information Integrity
Spam Protection
Withdrawn
ISO/IEC 27001 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
A.13.1.1, A.13.1.3, A.13.2.1, A.14.1.3
A.8.2.3, A.13.1.1, A.13.2.1, A.13.2.3, A.14.1.2, A.14.1.3
--A.13.1.1
None
A.10.1.2
A.10.1.1, A.14.1.2, A.14.1.3, A.18.1.5
--A.13.2.1*
None
A.10.1.2
None
None
None
None
None
None
None
None
None
None
A.8.2.3*
None
None
None
None
--None
None
None
None
A.12.x
None
None
None
None
None
None
A.5.1.1, A.5.1.2, A.6.1.1, A.12.1.1, A.18.1.1, A.18.2.2
A.12.6.1, A.14.2.2, A.14.2.3, A.16.1.3
A.12.2.1
None
A.6.1.4*
None
None
None
--PAGE H-7
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
NIST SP 800-53 CONTROLS
SI-10
SI-11
SI-12
SI-13
SI-14
SI-15
SI-16
SI-17
PM-1
PM-2
PM-3
PM-4
PM-5
PM-6
PM-7
PM-8
PM-9
PM-10
PM-11
PM-12
PM-13
PM-14
PM-15
PM-16
APPENDIX H
Information Input Validation
Error Handling
Information Handling and Retention
Predictable Failure Prevention
Non-Persistence
Information Output Filtering
Memory Protection
Fail-Safe Procedures
Information Security Program Plan
Senior Information Security Officer
Information Security Resources
Plan of Action and Milestones Process
Information System Inventory
Information Security Measures of Performance
Enterprise Architecture
Critical Infrastructure Plan
Risk Management Strategy
Security Authorization Process
Mission/Business Process Definition
Insider Threat Program
Information Security Workforce
Testing, Training, and Monitoring
Contacts with Security Groups and
Associations
Threat Awareness Program
ISO/IEC 27001 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
None
None
None
None
None
None
None
None
A.5.1.1, A.5.1.2, A.6.1.1, A.18.1.1, A.18.2.2
A.6.1.1*
None
None
None
None
None
None
None
A.6.1.1*
None
None
A.7.2.2*
None
A.6.1.4
None
PAGE H-8
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Table H-2 provides a mapping from the security controls in ISO/IEC 27001 to the security
controls in Special Publication 800-53. 115 Please review the introductory text at the beginning
of Appendix H before employing the mappings in Table H-2.
TABLE H-2: MAPPING ISO/IEC 27001 TO NIST SP 800-53
ISO/IEC 27001 CONTROLS
A.5 Information Security Policies
A.5.1 Management direction for information security
A.5.1.1 Policies for information security
A.5.1.2 Review of the policies for information security
A.6 Organization of information security
A.6.1 Internal organization
A.6.1.1 Information security roles and responsibilities
A.6.1.2 Segregation of duties
A.6.1.3 Contact with authorities
A.6.1.4 Contact with special interest groups
A.6.1.5 Information security in project management
A.6.2 Mobile devices and teleworking
A.6.2.1 Mobile device policy
A.6.2.2 Teleworking
A.7 Human Resources Security
A.7.1 Prior to Employment
A.7.1.1 Screening
A.7.1.2 Terms and conditions of employment
A.7.2 During employment
A.7.2.1 Management responsibilities
A.7.2.2 Information security awareness, education, and
training
A.7.2.3 Disciplinary process
A.7.3 Termination and change of employment
A.7.3.1 Termination or change of employment
responsibilities
A.8 Asset Management
A.8.1 Responsibility for assets
A.8.1.1 Inventory of assets
A.8.1.2 Ownership of assets
A.8.1.3 Acceptable use of assets
A.8.1.4 Return of assets
A.8.2 Information Classification
A.8.2.1 Classification of information
A.8.2.2 Labelling of Information
A.8.2.3 Handling of Assets
A.8.3 Media Handling
A.8.3.1 Management of removable media
A.8.3.2 Disposal of media
A.8.3.3 Physical media transfer
A.9 Access Control
NIST SP 800-53 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
All XX-1 controls
All XX-1 controls
All XX-1 controls, CM-9, CP-2,PS-7, SA-3, SA-9, PM- 2,
PM-10
AC-5
IR-6
SI-5, PM-15
SA-3, SA-9, SA-15
AC-17, AC-18, AC-19
AC-3, AC-17, PE-17
PS-3, SA-21
PL-4, PS-6
PL-4, PS-6, PS-7, SA-9
AT-2, AT-3, CP-3, IR-2, PM-13
PS-8
PS-4, PS-5
CM-8
CM-8
PL-4
PS-4, PS-5
RA-2
MP-3
MP-2, MP-4, MP-5, MP-6, MP-7, PE-16, PE-18, PE- 20,
SC-8, SC-28
MP-2, MP-4, MP-5, MP-6, MP-7
MP-6
MP-5
115
The use of the term XX-1 controls in mapping Table H-2 refers to the set of security controls represented by the first
control in each family in Appendix F, where XX is a placeholder for the two-letter family identifier.
APPENDIX H
PAGE H-9
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and Organizations
________________________________________________________________________________________________
ISO/IEC 27001 CONTROLS
A.9.1 Business requirement of access control
A.9.1.1 Access control policy
A.9.1.2 Access to networks and network services
A.9.2 User access management
A.9.2.1 User registration and de-registration
A.9.2.2 User access provisioning
A.9.2.3 Management of privileged access rights
A.9.2.4 Management of secret authentication information
of users
A.9.2.5 Review of user access rights
A.9.2.6 Removal or adjustment of access rights
A.9.3 User responsibilities
A.9.3.1 Use of secret authentication information
A.9.4 System and application access control
A.9.4.1 Information access restriction
A.9.4.2 Secure logon procedures
A.9.4.3 Password management system
A.9.4.4 Use of privileged utility programs
A.9.4.5 Access control to program source code
A.10 Cryptography
A.10.1 Cryptographic controls
A.10.1.1 Policy on the use of cryptographic controls
A.10.1.2 Key Management
A.11 Physical and environmental security
A.11.1 Secure areas
A.11.1.1 Physical security perimeter
A.11.1.2 Physical entry controls
A.11.1.3 Securing offices, rooms and facilities
A.11.1.4 Protecting against external and environmental
threats
A.11.1.5 Working in secure areas
A.11.1.6 Delivery and loading areas
A.11.2 Equipment
A.11.2.1 Equipment siting and protection
A.11.2.2 Supporting utilities
A.11.2.3 Cabling security
A.11.2.4 Equipment maintenance
A.11.2.5 Removal of assets
A.11.2.6 Security of equipment and assets off-premises
A.11.2.7 Secure disposal or reuse of equipment
A.11.2.8 Unattended user equipment
A.11.2.9 Clear desk and clear screen policy
A.12 Operations security
A.12.1 Operational procedures and responsibilities
A.12.1.1 Documented operating procedures
A.12.1.2 Change management
A.12.1.3 Capacity management
A.12.1.4 Separation of development, testing, and
operational environments
A.12.2 Protection from malware
A.12.2.1 Controls against malware
APPENDIX H
NIST SP 800-53 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
AC-1
AC-3, AC-6
AC-2, IA-2, IA-4, IA-5, IA-8
AC-2
AC-2, AC-3, AC-6, CM-5
IA-5
AC-2
AC-2
IA-5
AC-3, AC-24
AC-7, AC-8, AC-9, IA-6
IA-5
AC-3, AC-6
AC-3, AC-6, CM-5
SC-13
SC-12, SC-17
PE-3*
PE-2, PE-3, PE-4, PE-5
PE-3, PE-5
CP-6, CP-7, PE-9, PE-13, PE-14, PE-15, PE-18, PE- 19
SC-42(3)*
PE-16
PE-9, PE-13, PE-14, PE-15, PE-18, PE-19
CP-8, PE-9, PE-10, PE-11, PE-12, PE-14, PE-15
PE-4, PE-9
MA-2, MA-6
MA-2, MP-5, PE-16
AC-19, AC-20, MP-5, PE-17
MP-6
AC-11
AC-11, MP-2, MP-4
All XX-1 controls, SA-5
CM-3, CM-5, SA-10
AU-4, CP-2(2), SC-5(2)
CM-4(1)*, CM-5*
AT-2, SI-3
PAGE H-10
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and Organizations
________________________________________________________________________________________________
ISO/IEC 27001 CONTROLS
A.12.3 Backup
A.12.3.1 Information backup
A.12.4 Logging and monitoring
A.12.4.1 Event logging
A.12.4.2 Protection of log information
A.12.4.3 Administrator and operator logs
A.12.4.4 Clock synchronization
A.12.5 Control of operational software
A.12.5.1 Installation of software on operational systems
A.12.6 Technical vulnerability management
A.12.6.1 Management of technical vulnerabilities
A.12.6.2 Restrictions on software installation
A.12.7 Information systems audit considerations
A.12.7.1 Information systems audit controls
A.13 Communications security
A.13.1 Network security management
A.13.1.1 Network controls
A.13.1.2 Security of network services
A.13.1.3 Segregation in networks
A.13.2 Information transfer
A.13.2.1 Information transfer policies and procedures
A.13.2.2 Agreements on information transfer
A.13.2.3 Electronic messaging
A.13.2.4 Confidentiality or nondisclosure agreements
A.14 System acquisition, development and
maintenance
A.14.1 Security requirements of information systems
A.14.1.1 Information security requirements analysis and
specification
A.14.1.2 Securing application services on public networks
A.14.1.3 Protecting application services transactions
A.14.2 Security in development and support
processes
A.14.2.1 Secure development policy
A.14.2.2 System change control procedures
A.14.2.3 Technical review of applications after operating
platform changes
A.14.2.4 Restrictions on changes to software packages
A.14.2.5 Secure system engineering principles
A.14.2.6 Secure development environment
A.14.2.7 Outsourced development
A.14.2.8 System security testing
A.14.2.9 System acceptance testing
A.14.3 Test data
A.14.3.1 Protection of test data
A.15 Supplier Relationships
A.15.1 Information security in supplier relationships
A.15.1.1 Information security policy for supplier
relationships
A.15.1.2 Address security within supplier agreements
APPENDIX H
NIST SP 800-53 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
CP-9
AU-3, AU-6, AU-11, AU-12, AU-14
AU-9
AU-9, AU-12
AU-8
CM-5, CM-7(4), CM-7(5), CM-11
RA-3, RA-5, SI-2, SI-5
CM-11
AU-5*
AC-3, AC-17, AC-18, AC-20, SC-7, SC-8, SC-10
CA-3, SA-9
AC-4, SC-7
AC-4, AC-17, AC-18, AC-19, AC-20, CA-3, PE-17, SC-7,
SC-8, SC-15
CA-3, PS-6, SA-9
SC-8
PS-6
PL-2, PL-7, PL-8, SA-3, SA-4
AC-3, AC-4, AC-17, SC-8, SC-13
AC-3, AC-4, SC-7, SC-8, SC-13
SA-3, SA-15, SA-17
CM-3, SA-10, SI-2
CM-3, CM-4, SI-2
CM-3, SA-10
SA-8
SA-3*
SA-4, SA-10, SA-11, SA-12, SA-15
CA-2, SA-11
SA-4, SA-12(7)
SA-15(9)*
SA-12
SA-4, SA-12
PAGE H-11
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and Organizations
________________________________________________________________________________________________
ISO/IEC 27001 CONTROLS
A.15.1.3 Information and communication technology
supply chain
A.15.2 Supplier service delivery management
A.15.2.1 Monitoring and review of supplier services
A.15.2.2 Managing changes to supplier services
A.16 Information security incident management
A.16.1 Managing of information security incidents and
improvements
A.16.1.1 Responsibilities and procedures
A.16.1.2 Reporting information security events
A.16.1.3 Reporting information security weaknesses
A.16.1.4 Assessment of and decision on information
security events
A.16.1.5 Response to information security incidents
A.16.1.6 Learning from information security incidents
A.16.1.7 Collection of evidence
A.17 Information security aspects of business
continuity management
A.17.1 Information security continuity
A.17.1.1 Planning information security continuity
A.17.1.2 Implementing information security continuity
A.17.1.3 Verify, review, and evaluate information security
continuity
A.17.2 Redundancies
A.17.2.1 Availability of information processing facilities
A.18 Compliance
A.18.1 Compliance with legal and contractual
requirements
A.18.1.1 Identification of applicable legislation and
contractual requirements
A.18.1.2 Intellectual property rights
A.18.1.3 Protection of records
A.18.1.4 Privacy and protection of personal information
A.18.1.5 Regulation of cryptographic controls
A.18.2 Information security reviews
A.18.2.1 Independent review of information security
A.18.2.2 Compliance with security policies and standards
A.18.2.3 Technical compliance review
NIST SP 800-53 CONTROLS
Note: An asterisk (*) indicates that the ISO/IEC control does not
fully satisfy the intent of the NIST control.
SA-12
SA-9
SA-9
IR-8
AU-6, IR-6
SI-2
AU-6, IR-4
IR-4
IR-4
AU-4*, AU-9*, AU-10(3)*, AU-11*
CP-2
CP-6, CP-7, CP-8, CP-9, CP-10, CP-11, CP-13
CP-4
CP-2,CP-6, CP-7
All XX-1 controls
CM-10
AC-3, AC-23, AU-9, AU-10, CP-9, SC-8, SC-8(1), SC-13,
SC-28, SC-28(1)
Appendix J Privacy controls
IA-7, SC-12, SC-13, SC-17
CA-2(1), SA-11(3)
All XX-1 controls, CA-2
CA-2
Note: The content of Table H-3, the mapping from the functional and assurance requirements in ISO/IEC 15408 (Common Criteria)
to the security controls in Special Publication 800-53, is unaffected by the changes above.
APPENDIX H
PAGE H-12
Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Table H-3 provides a generalized mapping from the functional and assurance requirements in
ISO/IEC 15408 (Common Criteria) to the security controls in Special Publication 800-53. The
table represents an informal correspondence between security requirements and security controls
(i.e., the table is not intended to determine whether the ISO/IEC 15408 security requirements are
fully, partially, or not satisfied by the associated security controls). However, the table can serve
as a beneficial starting point for further correspondence analysis. Organizations are cautioned that
satisfying ISO/IEC 15408 security requirements for an particular evaluated and validated
information technology product as represented by the presence of certain security controls from
Appendix F, does not imply that such requirements have been satisfied throughout the entire
information system (which may consist of multiple, integrated individual component products).
Additional information explaining the specific mappings that appear in Table H-3 is available at
the National Information Assurance Partnership (NIAP) website at: http://www.niap-ccevs.org.
TABLE H-3: MAPPING ISO/IEC 15408 TO NIST SP 800-53
ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
Functional Requirements
FAU_ARP.1
FAU_GEN.1
APPENDIX H
Security Audit Automatic Response
Security Alarms
Security Audit Data Generation
Audit Data Generation
AU-5
Response to Audit Processing Failures
AU-5(1)
Response to Audit Processing Failures
Audit Storage Capacity
AU-5(2)
Response to Audit Processing Failures
Real-Time Alerts
AU-5(3)
Response to Audit Processing Failures
Configurable Traffic Volume Thresholds
AU-5(4)
Response to Audit Processing Failures
Shutdown on Failure
PE-6(2)
Monitoring Physical Access
Automated Intrusion Recognition / Responses
SI-3
Malicious Code Protection
SI-3(8)
Malicious Code Protection
Detect Unauthorized Commands
SI-4(5)
Information System Monitoring
System-Generated Alerts
SI-4(7)
Information Systems Monitoring
Automated Response to Suspicious Events
SI-4(22)
Information Systems Monitoring
Unauthorized Network Services
SI-7(2)
Software, Firmware, and Information
Integrity
Automated Notifications of Integrity Violations
SI-7(5)
Software, Firmware, and Information
Integrity
Automated Response to Integrity Violations
SI-7(8)
Software, Firmware, and Information
Integrity
Auditing Capability for Significant Events
AU-2
Audit Events
AU-3
Content of Audit Records
AU-3(1)
Content of Audit Records
Additional Audit Information
AU-12
Audit Generation
PAGE H-13
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
FAU_GEN.2
Security Audit Data Generation
User Identity Association
AU-3
Content of Audit Records
FAU_SAA.1
Security Audit Analysis
Potential Violation Analysis
SI-4
Information System Monitoring
FAU_SAA.2
Security Audit Analysis
Profile-Based Anomaly Detection
AC-2(12)
Account Management
Account Monitoring / Atypical Usage
SI-4
Information System Monitoring
FAU_SAA.3
Security Audit Analysis
Simple Attack Heuristics
SI-3(7)
Malicious Code Protection
Non Signature-Based Protection
SI-4
Information System Monitoring
SI-3(7)
Malicious Code Protection
Non Signature-Based Protection
FAU_SAA.4
Security Audit Analysis
Complex Attack Heuristics
SI-4
Information System Monitoring
FAU_SAR.1
Security Audit Review
Audit Review
AU-7
Audit Reduction and Report Generation
FAU_SAR.2
Security Audit Review
Restricted Audit Review
AU-9(6)
Protection of Audit Information
Read Only Access
FAU_SAR.3
Security Audit Review
Selectable Audit Review
AU-7
Audit Reduction and Report Generation
AU-7(1)
Audit Reduction and Report Generation
Automatic Processing
AU-7(2)
Audit Reduction and Report Generation
Automatic Sort and Search
FAU_SEL.1
Security Audit Event Selection
Selective Audit
AU-12
Audit Generation
FAU_STG.1
Security Audit Event Storage
Protected Audit Trail Storage
AU-9
Protection of Audit Information
FAU_STG.2
Security Audit Event Storage
Guarantees of Audit Data Availability
AU-9
Protection of Audit Information
Alternate audit capability
FAU_STG.3
Security Audit Event Storage
Action In Case of Possible Audit Data
Loss
AU-5
Response to Audit Processing Failures
AU-5(1)
Response to Audit Processing Failures
Audit Storage Capacity
AU-5(2)
Response To Audit Processing Failures
Real-Time Alerts
AU-5(4)
Response To Audit Processing Failures
Shutdown on Failure
AU-4
Audit Storage Capacity
AU-5
Response to Audit Processing Failures
AU-5(2)
Response To Audit Processing Failures
Real-Time Alerts
AU-5(4)
Response To Audit Processing Failures
Shutdown on Failure
AU-10
Non-Repudiation
AU-10(1)
Non-Repudiation
Association Of Identities
AU-10(2)
Non-Repudiation
Validate Binding of Information Producer
Identity
FAU_STG.4
FCO_NRO.1
APPENDIX H
Security Audit Event Storage
Prevention of Audit Data Loss
Non-Repudiation of Origin
Selective Proof of Origin
PAGE H-14
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
FCO_NRO.2
FCO_NRR.1
FCO_NRR.2
Non-Repudiation of Origin
Enforced Proof of Origin
Non-Repudiation of Receipt
Selective Proof of Receipt
Non-Repudiation of Receipt
Enforced Proof of Receipt
NIST SP 800-53 CONTROLS
AU-10
Non-Repudiation
AU-10(1)
Non-Repudiation
Association Of Identities
AU-10(2)
Non-Repudiation
Validate Binding of Information Producer
Identity
AU-10
Non-Repudiation
AU-10(1)
Non-Repudiation
Association Of Identities
AU-10(2)
Non-Repudiation
Validate Binding of Information Producer
Identity
AU-10
Non-Repudiation
AU-10(1)
Non-Repudiation
Association Of Identities
AU-10(2)
Non-Repudiation
Validate Binding of Information Producer
Identity
FCS_CKM.1
Cryptographic Key Management
Cryptographic Key Generation
SC-12
Cryptographic Key Establishment and
Management
FCS_CKM.2
Cryptographic Key Management
Cryptographic Key Distribution
SC-12
Cryptographic Key Establishment and
Management
FCS_CKM.3
Cryptographic Key Management
Cryptographic Key Access
SC-12
Cryptographic Key Establishment and
Management
FCS_CKM.4
Cryptographic Key Management
Cryptographic Key Destruction
SC-12
Cryptographic Key Establishment and
Management
FCS_COP.1
Cryptographic Operation
Cryptographic Operation
SC-13
Cryptographic Protection
FDP_ACC.1
Access Control Policy
Subset Access Control
AC-3
Access Enforcement
AC-3(3)
Access Enforcement
Mandatory Access Control
AC-3(4)
Access Enforcement
Discretionary Access Control
AC-3(7)
Access Enforcement
Role-Based Access Control
AC-3
Access Enforcement
AC-3(3)
Access Enforcement
Mandatory Access Control
AC-3(4)
Access Enforcement
Discretionary Access Control
AC-3(7)
Access Enforcement
Role-Based Access Control
AC-3
Access Enforcement
AC-3(3)
Access Enforcement
Mandatory Access Control
AC-3(4)
Access Enforcement
Discretionary Access Control
AC-3(7)
Access Enforcement
Role-Based Access Control
AC-16
Security Attributes
FDP_ACC.2
FDP_ACF.1
APPENDIX H
Access Control Policy
Complete Access Control
Access Control Functions
Security Attribute Based Access
Control
PAGE H-15
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
FDP_DAU.1
FDP_DAU.2
Data Authentication
Basic Data Authentication
Data Authentication
Data Authentication With Identity of
Guarantor
NIST SP 800-53 CONTROLS
SC-16
Transmission of Security Attributes
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Checks
SI-7(6)
Software, Firmware, And Information
Integrity
Cryptographic Protection
SI-10
Information Input Validation
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Checks
SI-7(6)
Software, Firmware, And Information
Integrity
Cryptographic Protection
SI-10
Information Input Validation
FDP_ETC.1
Export from the TOE
Export of User Data without Security
Attributes
No Mapping.
FDP_ETC.2
Export from the TOE
Export of User Data with Security
Attributes
AC-4(18)
Information Flow Enforcement
Security Attribute Binding
AC-16
Security Attributes
AC-16(5)
Security Attributes
Attribute Displays for Output Devices
SC-16
Transmission of Security Attributes
AC-3
Access Enforcement
AC-3(3)
Access Enforcement
Mandatory Access Control
AC-4
Information Flow Enforcement
AC-4(1)
Information Flow Enforcement
Object Security Attributes
AC-3
Access Enforcement
AC-3(3)
Access Enforcement
Mandatory Access Control
AC-4
Information Flow Enforcement
AC-3
Access Enforcement
AC-3(3)
Access Enforcement
Mandatory Access Control
AC-4
Information Flow Enforcement
AC-4(1)
Information Flow Enforcement
Object Security Attributes
AC-4(2)
Information Flow Enforcement
Processing Domains
AC-4(7)
Information Flow Enforcement
One-Way Flow Mechanisms
AC-16
Security Attributes
SC-7
Boundary Protection
FDP_IFC.1
FDP_IFC.2
FDP_IFF.1
APPENDIX H
Information Flow Control Policy
Subset Information Flow Control
Information Flow Control Policy
Complete Information Flow Control
Information Flow Control Functions
Simple Security Attributes
PAGE H-16
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
FDP_IFF.2
FDP_IFF.3
FDP_IFF.4
FDP_IFF.5
FDP_IFF.6
FDP_ITC.1
FDP_ITC.2
FDP_ITT.1
FDP_ITT.2
FDP_ITT.3
APPENDIX H
Information Flow Control Functions
Hierarchical Security Attributes
NIST SP 800-53 CONTROLS
AC-3
Access Enforcement
AC-3(3)
Access Enforcement
Mandatory Access Control
AC-4(1)
Information Flow Enforcement
Object Security Attributes
AC-16
Security Attributes
Information Flow Control Functions
Limited Illicit Information Flows
SC-31
Covert Channel Analysis
SC-31(2)
Covert Channel Analysis
Maximum Bandwidth
Information Flow Control Functions
Partial Elimination of Illicit Information
Flows
SC-31
Covert Channel Analysis
SC-31(2)
Covert Channel Analysis
Maximum Bandwidth
Information Flow Control Functions
No Illicit Information Flows
SC-31
Covert Channel Analysis
SC-31(2)
Covert Channel Analysis
Maximum Bandwidth
Information Flow Control Functions
Illicit Information Flow Monitoring
SC-31
Covert Channel Analysis
SI-4(18)
Information System Monitoring
Analyze Traffic / Covert Exfiltration
Import from Outside of the TOE
Import of User Data without Security
Attributes
AC-4(9)
Information Flow Enforcement
Human Reviews
AC-4(12)
Information Flow Enforcement
Data Type Identifiers
Import from Outside of the TOE
Import of User Data with Security
Attributes
AC-4(18)
Information Flow Enforcement
Security Attribute Binding
AC-16
Security Attributes
SC-16
Transmission of Security Attributes
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic or Alternate Physical Protection
SC-5
Denial of Service Protection
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic or Alternate Physical Protection
SC-5
Denial of Service Protection
AC-4(21)
Information Flow Enforcement
Physical / Logical Separation of Information
Flows
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Checks
SC-8(1)
Transmission Integrity
Cryptographic or Alternate Physical Protection
SI-7(5)
Software, Firmware, and Information
Integrity
Automated Response to Integrity Violations
Internal TOE Transfer
Basic Internal Transfer Protection
Internal TOE Transfer
Transmission Separation by Attribute
Internal TOE Transfer
Integrity Monitoring
PAGE H-17
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
FDP_ITT.4
Internal TOE Transfer
Attribute-Based Integrity Monitoring
NIST SP 800-53 CONTROLS
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Checks
SC-8(1)
Transmission Integrity
Cryptographic or Alternate Physical
Protection
AC-4(21)
Information Flow Enforcement
Physical / Logical Separation of Information
Flows
SI-7(5)
Software, Firmware, and Information
Integrity
Automated Response to Integrity Violations
FDP_RIP.1
Residual Information Protection
Subset Residual Information
Protection
SC-4
Information in Shared Resources
FDP_RIP.2
Residual Information Protection
Full Residual Information Protection
SC-4
Information in Shared Resources
FDP_ROL.1
Rollback
Basic Rollback
CP-10(2)
Information System Recovery and
Reconstitution
Transaction Recovery
FDP_ROL.2
Rollback
Advanced Rollback
CP-10(2)
Information System Recovery and
Reconstitution
Transaction Recovery
FDP_SDI.1
Stored Data Integrity
Stored Data Integrity Monitoring
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Scans
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Scans
SI-7(5)
Software, Firmware, and Information
Integrity
Automated Response to Integrity Violations
Inter-TSF User Data Confidentiality
Transfer Protection
Basic Data Exchange Confidentiality
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic or Alternate Physical Protection
Inter-TSF User Data Integrity
Transfer Protection
Data Exchange Integrity
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic or Alternate Physical Protection
SI-7
Software, Firmware, and Information
Integrity
SI-7(6)
Software, Firmware, and Information
Integrity
Cryptographic Protection
FDP_SDI.2
FDP_UCT.1
FDP_UIT.1
FDP_UIT.2
APPENDIX H
Stored Data Integrity
Stored Data Integrity Monitoring and
Action
Inter-TSF User Data Integrity
Transfer Protection
Source Data Exchange Recovery
No Mapping.
PAGE H-18
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
FDP_UIT.3
Inter-TSF User Data Integrity
Transfer Protection
Destination Data Exchange Recovery
No Mapping.
FIA_AFL.1
Authentication Failure
Authentication Failure Handling
AC-7
Unsuccessful Logon Attempts
FIA_ATD.1
User Attribute Definition
User Attribute Definition
AC-2
Account Management
IA-2
Identification and Authentication
(Organizational Users)
Specification of Secrets
Verification of Secrets
IA-5
Authenticator Management
IA-5(1)
Authenticator Management
Password-Based Authentication
IA-5(12)
Authenticator Management
Biometric Authentication
IA-5
Authenticator Management
IA-5(1)
Authenticator Management
Password-Based Authentication
IA-5(12)
Authenticator Management
Biometric Authentication
AC-14
Permitted Actions without Identification or
Authentication
IA-2
Identification and Authentication
(Organizational Users)
IA-8
Identification and Authentication (NonOrganizational Users)
AC-14
Permitted Actions without Identification or
Authentication
IA-2
Identification and Authentication
(Organizational Users)
IA-8
Identification and Authentication (NonOrganizational Users)
IA-2(8)
Identification and Authentication
(Organizational Users)
Network Access To Privileged Accounts Replay Resistant
IA-2(9)
Identification and Authentication
(Organizational Users)
Network Access To Non-Privileged Accounts Replay Resistant
IA-2(8)
Identification and Authentication
(Organizational Users)
Network Access To Privileged Accounts Replay Resistant
IA-2(9)
Identification and Authentication
(Organizational Users)
Network Access To Non-Privileged Accounts Replay Resistant
IA-2(1)
Identification and Authentication
(Organizational Users)
Network Access To Privileged Accounts
IA-2(2)
Identification and Authentication
(Organizational Users)
Network Access To Non-Privileged Accounts
FIA_SOS.1
FIA_SOS.2
FIA_UAU.1
FIA_UAU.2
FIA_UAU.3
FIA_UAU.4
FIA_UAU.5
APPENDIX H
Specification of Secrets
TSF Generation of Secrets
User Authentication
Timing of Authentication
User Authentication
User Authentication Before Any Action
User Authentication
Unforgeable Authentication
User Authentication
Single-Use Authentication
Mechanisms
User Authentication
Multiple Authentication Mechanisms
PAGE H-19
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
IA-2(3)
Identification and Authentication
(Organizational Users)
Local Access To Privileged Accounts
IA-2(4)
Identification and Authentication
(Organizational Users)
Local Access To Non-Privileged Accounts
IA-2(6)
Identification and Authentication
(Organizational Users)
Network Access To Privileged Accounts Separate Device
IA-2(7)
Identification and Authentication
(Organizational Users)
Network Access To Non-Privileged Accounts Separate Device
IA-2(11)
Identification and Authentication
(Organizational Users)
Remote Access - Separate Device
FIA_UAU.6
User Authentication
Re-Authenticating
IA-11
Re-authentication
FIA_UAU.7
User Authentication
Protected Authentication Feedback
IA-6
Authenticator Feedback
FIA_UID.1
User Identification
Timing of Identification
AC-14
Permitted Actions without Identification or
Authentication
IA-2
Identification and Authentication
(Organizational Users)
IA-8
Identification and Authentication (NonOrganizational Users)
AC-14
Permitted Actions without Identification or
Authentication
IA-2
Identification and Authentication
(Organizational Users)
IA-8
Identification and Authentication (NonOrganizational Users)
FIA_UID.2
User Identification
User Identification Before Any Action
FIA_USB.1
User-Subject Binding
User-Subject Binding
AC-16(3)
Security Attributes
Maintenance Of Attribute Associations By
Information System
FMT_MOF.1
Management of Functions in TSF
Management of Security Functions
Behavior
AC-3(7)
Access Enforcement
Role-Based Access Control
AC-6
Least Privilege
AC-6(1)
Least Privilege
Authorize Access To Security Functions
AC-6
Least Privilege
AC-6(1)
Least Privilege
Authorize Access To Security Functions
AC-16(2)
Security Attributes
Attribute Value Changes By Authorized
Individuals
AC-16(4)
Security Attributes
Association of Attributes By Authorized
Individuals
AC-16(10)
Security Attributes
Attribute Configuration By Authorized
Individuals
FMT_MSA.1
APPENDIX H
Management of Security Attributes
Management of Security Attributes
PAGE H-20
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
FMT_MSA.2
Management of Security Attributes
Secure Security Attributes
NIST SP 800-53 CONTROLS
AC-16
Security Attributes
CM-6
Configuration Settings
SI-10
Information Input Validation
FMT_MSA.3
Management of Security Attributes
Static Attribute Initialization
No Mapping.
FMT_MSA.4
Management of Security Attributes
Security Attribute Value Inheritance
No Mapping.
FMT_MTD.1
Management of TSF Data
Management of TSF Data
AC-3(7)
Access Enforcement
Role-Based Access Control
AC-6
Least Privilege
AC-6(1)
Least Privilege
Authorize Access To Security Functions
AU-6(7)
Audit Review, Analysis, and Reporting
Permitted Actions
AU-9(4)
Protection of Audit Information
Access By Subset of Privileged Users
AC-3(7)
Access Enforcement
Role-based Access Control
AC-6
Least Privilege
AC-6(1)
Least Privilege
Authorize Access To Security Functions
FMT_MTD.2
Management of TSF Data
Management of Limits on TSF Data
FMT_MTD.3
Management of TSF Data
Secure TSF Data
SI-10
Information Input Validation
FMT_REV.1
Revocation
Revocation
AC-3(7)
Access Enforcement
Rose-based Access Control
AC-3(8)
Access Enforcement
Revocation Of Access Authorizations
AC-6
Least Privilege
AC-6(1)
Least Privilege
Authorize Access To Security Functions
AC-3(7)
Access Enforcement
Role-based Access Control
AC-6
Least Privilege
AC-6(1)
Least Privilege
Authorize Access To Security Functions
FMT_SAE.1
Security Attribute Expiration
Time-Limited Authorization
FMT_SMF.1
Specification of Management
Functions
Specification of Management
Functions
No Mapping.
FMT_SMR.1
Security Management Roles
Security Roles
AC-2(7)
Account Management
Role-based schemes
AC-3(7)
Access Enforcement
Role-Based Access Control
AC-5
Separation of Duties
AC-6
Least Privilege
AC-2(7)
Account Management
Role-based schemes
AC-3(7)
Access Enforcement
Role-Based Access Control
AC-5
Separation of Duties
FMT_SMR.2
APPENDIX H
Security Management Roles
Restrictions on Security Roles
PAGE H-21
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ISO/IEC 15408 REQUIREMENTS
FMT_SMR.3
Security Management Roles
Assuming Roles
NIST SP 800-53 CONTROLS
AC-6
Least Privilege
AC-6(1)
Least Privilege
Authorized Access to Security Functions
AC-6(2)
Least Privilege
Non-Privileged Access For Nonsecurity
Functions
FPR_ANO.1
Anonymity
Anonymity
No Mapping.
FPR_ANO.2
Anonymity
Anonymity Without Soliciting
Information
No Mapping.
FPR_PSE.1
Pseudonymity
Pseudonymity
No Mapping.
FPR_PSE.2
Pseudonymity
Reversible Pseudonymity
No Mapping.
FPR_PSE.3
Pseudonymity
Alias Pseudonymity
No Mapping.
FPR_UNL.1
Unlinkability
Unlinkability
No Mapping.
FPR_UNO.1
Unobservability
Unobservability
No Mapping.
FPR_UNO.2
Unobservability
Allocation of Information Impacting
Unobservability
No Mapping.
FPR_UNO.3
Unobservability
Unobservability Without Soliciting
Information
No Mapping.
FPR_UNO.4
Unobservability
Authorized User Observability
No Mapping.
FPT_FLS.1
Fail Secure
Failure with Preservation of Secure
State
SC-7(18)
Boundary Protection
Fail Secure
SC-24
Fail in Known State
FPT_ITA.1
Availability of Exported TSF Data
Inter-TSF Availability within a Defined
Availability Metric
CP-10
Information System Recovery And
Reconstitution
Restore Within Time Period
SC-5
Denial of Service Protection
SC-5(2)
Denial of Service Protection
Excess Capacity/Bandwidth/Redundancy
SC-5(3)
Denial of Service Protection
Detection/Monitoring
Confidentiality of Exported TSF
Data
Inter-TSF Confidentiality During
Transmission
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic Or Alternate Physical Protection
Integrity of Exported TSF Data
Inter-TSF Detection of Modification
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic Or Alternate Physical Protection
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Scans
FPT_ITC.1
FPT_ITI.1
APPENDIX H
PAGE H-22
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
FPT_ITI.2
FPT_ITT.1
FPT_ITT.2
FPT_ITT.3
FPT_PHP.1
FPT_PHP.2
FPT_PHP.3
APPENDIX H
NIST SP 800-53 CONTROLS
SI-7(5)
Software, Firmware, and Information
Integrity
Automated Response to Integrity Violations
SI-7(6)
Software, Firmware, and Information
Integrity
Cryptographic Protection
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic Or Alternate Physical Protection
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Scans
SI-7(5)
Software, Firmware, and Information
Integrity
Automated Response to Integrity Violations
SI-7(6)
Software, Firmware, and Information
Integrity
Cryptographic Protection
Internal TOE TSF Data Transfer
Basic Internal TSF Data Transfer
Protection
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic Or Alternate Physical Protection
Internal TOE TSF Data Transfer
TSF Data Transfer Separation
AC-4(21)
Information Flow Enforcement
Physical / Logical Separation Of Information
Flows
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic Or Alternate Physical Protection
SI-7
Software, Firmware, and Information
Integrity
SI-7(1)
Software, Firmware, and Information
Integrity
Integrity Scans
SI-7(5)
Software, Firmware, and Information
Integrity
Automated Response to Integrity Violations
SI-7(6)
Software, Firmware, and Information
Integrity
Cryptographic Protection
PE-3(5)
Physical Access Control
Tamper Protection
PE-6(2)
Monitoring Physical Access
Automated Intrusion Recognition / Responses
SA-18
Tamper Resistance and Detection
PE-3(5)
Physical Access Control
Tamper Protection
PE-6(2)
Monitoring Physical Access
Automated Intrusion Recognition / Responses
SA-18
Tamper Resistance and Detection
PE-3(5)
Physical Access Control
Tamper Protection
Integrity of Exported TSF Data
Inter-TSF Detection and Correction of
Modification
Internal TOE TSF Data Transfer
TSF Data Integrity Monitoring
TSF Physical Protection
Passive Detection of Physical Attack
TSF Physical Protection
Notification of Physical Attack
TSF Physical Protection
Resistance to Physical Attack
PAGE H-23
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
Tamper Resistance and Detection
CP-10
Information System Recovery and
Reconstitution
CP-12
Safe Mode
CP-10
Information System Recovery and
Reconstitution
CP-12
Safe Mode
Trusted Recovery
Automated Recovery Without Undue
Loss
CP-10
Information System Recovery and
Reconstitution
CP-12
Safe Mode
Trusted Recovery
Function Recovery
SI-6
Security Function Verification
SI-10(3)
Information Input Validation
Predictable Behavior
SC-24
Fail in Known State
IA-2(8)
Identification and Authentication
(Organizational Users)
Network Access To Privileged Accounts Replay Resistant
IA-2(9)
Identification and Authentication
(Organizational Users)
Network Access To Non-Privileged Accounts Replay Resistant
SC-23
Session Authenticity
SI-3(9)
Malicious Code Protection
Authenticate Remote Commands
FPT_RCV.1
Trusted Recovery
Manual Recovery
FPT_RCV.2
Trusted Recovery
Automated Recovery
FPT_RCV.3
FPT_RCV.4
FPT_RPL.1
NIST SP 800-53 CONTROLS
SA-18
Replay Detection
Replay Detection
FPT_SSP.1
State Synchrony Protocol
Simple Trusted Acknowledgement
No Mapping.
FPT_SSP.2
State Synchrony Protocol
Mutual Trusted Acknowledgement
No Mapping.
FPT_STM.1
Time Stamps
Reliable Time Stamps
AU-8
Time Stamps
FPT_TDC.1
Inter-TSF TSF Data Consistency
Inter-TSF Basic Data Consistency
AC-16(7)
Security Attributes | Consistent Attribute
Interpretation
AC-16(8)
Security Attributes
Association Techniques/Technologies
FPT_TEE.1
Testing of External Entities
Testing of External Entities
SI-6
Security Functionality Verification
FPT_TRC.1
Internal TOE TSF Data Replication
Consistency
Internal TSF Consistency
SI-7
Software, Firmware, and Information
Integrity
FPT_TST.1
TSF Self-Test
TSF Testing
SI-6
Security Functionality Verification
SI-7
Software, Firmware, and Information
Integrity
Fault Tolerance
Degraded Fault Tolerance
AU-15
Alternate Audit Capability
CP-11
Alternate Communications Protocols
SC-24
Fail in Known State
SI-13
Predictable Failure Prevention
SI-13(1)
Predictable Failure Prevention
Transferring Component Responsibilities
FRU_FLT.1
APPENDIX H
PAGE H-24
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
FRU_FLT.2
Fault Tolerance
Limited Fault Tolerance
NIST SP 800-53 CONTROLS
SI-13(2)
Predictable Failure Prevention
Time Limit on Process Execution Without
Supervision
SI-13(3)
Predictable Failure Prevention
Manual Transfer Between Components
SI-13(4)
Predictable Failure Prevention
Standby Component Installation/Notification
SI-13(5)
Predictable Failure Prevention
Failover Capability
AU-15
Alternate Audit Capability
CP-11
Alternate Communications Protocols
SC-24
Fail in Known State
SI-13
Predictable Failure Prevention
SI-13(1)
Predictable Failure Prevention
Transferring Component Responsibilities
SI-13(2)
Predictable Failure Prevention
Time Limit on Process Execution Without
Supervision
SI-13(3)
Predictable Failure Prevention
Manual Transfer Between Components
SI-13(4)
Predictable Failure Prevention
Standby Component Installation/Notification
SI-13(5)
Predictable Failure Prevention
Failover Capability
FRU_PRS.1
Priority of Service
Limited Priority of Service
SC-6
Resource Availability
FRU_PRS.2
Priority of Service
Full Priority of Service
SC-6
Resource Availability
FRU_RSA.1
Resource Allocation
Maximum Quotas
SC-6
Resource Availability
FRU_RSA.2
Resource Allocation
Minimum and Maximum Quotas
SC-6
Resource Availability
FTA_LSA.1
Limitation on Scope of Selectable
Attributes
Limitation on Scope of Selectable
Attributes
AC-2(6)
Account Management
Dynamic Privilege Management
AC-2(11)
Account Management
Usage Conditions
FTA_MCS.1
Limitation on Multiple Concurrent
Sessions
Basic Limitation on Multiple
Concurrent Sessions
AC-10
Concurrent Session Control
FTA_MCS.2
Limitation on Multiple Concurrent
Sessions
Per-User Limitation on Multiple
Concurrent Sessions
AC-10
Concurrent Session Control
FTA_SSL.1
Session Locking and Termination
TSF-Initiated Session Locking
AC-11
Session Lock
AC-11(1)
Session Lock
Pattern-Hiding Displays
Session Locking and Termination
User-Initiated Locking
AC-11
Session Lock
AC-11(1)
Session Lock
Pattern-Hiding Displays
FTA_SSL.2
APPENDIX H
PAGE H-25
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
Session Locking and Termination
TSF-Initiated Termination
AC-12
Session Termination
SC-10
Network Disconnect
FTA_SSL.4
Session Locking and Termination
User-Initiated Termination
AC-12(1)
Session Termination
User-Initiated Logouts / Message Displays
FTA_TAB.1
TOE Access Banners
Default TOE Access Banners
AC-8
System Use Notification
FTA_TAH.1
TOE Access History
TOE Access History
AC-9
Previous Login (Access) Notification
AC-9(1)
Previous Login (Access) Notification
Unsuccessful Logons
FTA_TSE.1
TOE Session Establishment
TOE Session Establishment
AC-2(11)
Account Management
Usage Conditions
FTP_ITC.1
Inter-TSF Trusted Channel
Inter-TSF Trusted Channel
IA-3(1)
Device Identification and Authentication
Cryptographic Bidirectional Authentication
SC-8
Transmission Confidentiality and Integrity
SC-8(1)
Transmission Confidentiality and Integrity
Cryptographic or Alternate Physical Protection
SC-11
Trusted Path
FTA_SSL.3
FTP_TRP.1
Trusted Path
Trusted Path
Assurance Requirements
ASE_INT.1
EAL1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
ST Introduction
ST Introduction
SA-4
Acquisition Process
ASE_CCL.1
EAL1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Conformance Claims
Conformance Claims
PL-2
System Security Plan
SA-4(7)
Acquisition Process
NIAP-Approved Protection Profiles
ASE_SPD.1
EAL1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Security Problem Definition
Security Problem Definition
PL-2
System Security Plan
SA-4
Acquisition Process
ASE_OBJ.1
EAL1
Security Objectives
Security Objectives for the Operational
Environment
PL-2
System Security Plan
SA-4
Acquisition Process
ASE_OBJ.2
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Security Objectives
Security Objectives
PL-2
System Security Plan
SA-4
Acquisition Process
APPENDIX H
PAGE H-26
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ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
ASE_ECD.1
EAL1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Extended Components Definition
Extended Components Definition
No Mapping.
ASE_REQ.1
EAL1
Security Requirements
Stated Security Requirements
PL-2
System Security Plan
SA-4
Acquisition Process
ASE_REQ.2
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Security Requirements
Derived Security Requirements
PL-2
System Security Plan
SA-4
Acquisition Process
ASE_TSS.1
EAL1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
TOE Summary Specification
TOE Summary Specification
PL-2
System Security Plan
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
ASE_TSS.2
TOE Summary Specification
TOE Summary Specification with
Architectural Design Summary
PL-2
System Security Plan
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
SA-4(2)
Acquisition Process
Design / Implementation Information For
Security Controls
SA-17
Developer Security Architecture and
Design
AC-25
Reference Monitor
SA-17
Developer Security Architecture and
Design
SA-18
Tamper Resistance and Detection
SC-3
Security Function Isolation
SC-3(1)
Security Function Isolation
Hardware Separation
SC-3(2)
Security Function Isolation
Minimize Nonsecurity Functionality
SC-41
Process Isolation
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
ADV_ARC.1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
ADV_FSP.1
EAL1
ADV_FSP.2
EAL2
APPENDIX H
Security Architecture
Security Architecture Description
Functional Specification
Basic Functional Specification
Functional Specification
Security-Enforcing Functional
Specification
PAGE H-27
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
ADV_FSP.3
EAL3
ADV_FSP.4
EAL4
ADV_FSP.5
EAL5
EAL6
ADV_FSP.6
EAL7
Functional Specification
Functional Specification With
Complete Summary
Functional Specification
Complete Functional Specification
Functional Specification
Complete Semi-Formal Functional
Specification with Additional Error
Information
Functional Specification
Complete Semi-Formal Functional
Specification with Additional Formal
Specification
NIST SP 800-53 CONTROLS
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
SA-4(1)
Acquisition Process
Functional Properties of Security Controls
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17(3)
Developer Security Architecture and
Design
Formal Correspondence
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
ADV_IMP.1
EAL4
EAL5
Implementation Representation
Implementation Representation of the
TSF
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
ADV_IMP.2
EAL6
EAL7
Implementation Representation
Complete Mapping of the
Implementation Representation of the
TSF
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17(3)
Developer Security Architecture and
Design
Formal Correspondence
TSF Internals
Well-Structured Subset of TSF
Internals
SA-8
Security Engineering Principles
SC-3(3)
Security Function Isolation
Minimize Nonsecurity Functionality
SC-3(4)
Security Function Isolation
Module Coupling and Cohesiveness
SC-3(5)
Security Function Isolation
Layered Structures
ADV_INT.1
APPENDIX H
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
ADV_INT.2
EAL5
ADV_INT.3
EAL6
EAL7
ADV_SPM.1
EAL6
EAL7
ADV_TDS.1
EAL2
ADV_TDS.2
EAL3
ADV_TDS.3
EAL4
ADV_TDS.4
EAL5
APPENDIX H
TSF Internals
Well-Structured Internals
TSF Internals
Minimally Complex Internals
Security Policy Modeling
Formal TOE Security Policy Model
TOE Design
Basic Design
TOE Design
Architectural Design
TOE Design
Basic Modular Design
TOE Design
Semiformal Modular Design
NIST SP 800-53 CONTROLS
SA-8
Security Engineering Principles
SC-3(3)
Security Function Isolation
Minimize Nonsecurity Functionality
SC-3(4)
Security Function Isolation
Module Coupling and Cohesiveness
SC-3(5)
Security Function Isolation
Layered Structures
SA-8
Security Engineering Principles
SA-17(5)
Developer Security Architecture and
Design
Conceptually Simple Design
SC-3(3)
Security Function Isolation
Minimize Nonsecurity
Functionality
SC-3(4)
Security Function Isolation
Module Coupling and Cohesiveness
SC-3(5)
Security Function Isolation
Layered Structures
AC-25
Reference Monitor
SA-17(1)
Developer Security Architecture and
Design
Formal Policy Model
SA-17(3)
Developer Security Architecture and
Design
Formal Correspondence
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17
Developer Security Architecture and
Design
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17
Developer Security Architecture and
Design
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17
Developer Security Architecture and
Design
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17
Developer Security Architecture and
Design
SA-17(2)
Developer Security Architecture and
Design
Security Relevant Components
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
PAGE H-29
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and Organizations
________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
ADV_TDS.5
EAL6
ADV_TDS.6
EAL7
TOE Design
Complete Semiformal Modular Design
TOE Design
Complete Semiformal Modular Design
with Formal High-Level Design
Presentation
NIST SP 800-53 CONTROLS
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17
Developer Security Architecture and
Design
SA-17(2)
Developer Security Architecture and
Design
Security Relevant Components
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
SA-4(2)
Acquisition Process
Design / Implementation Information for
Security Controls
SA-17
Developer Security Architecture and
Design
SA-17(2)
Developer Security Architecture and
Design
Security Relevant Components
SA-17(3)
Developer Security Architecture and
Design
Formal Correspondence
SA-17(4)
Developer Security Architecture and
Design
Informal Correspondence
AGD_OPE.1
EAL1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Operational User Guidance
Operational User Guidance
SA-5
Information System Documentation
AGD_PRE.1
EAL1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Preparative Procedures
Preparative Procedures
SA-5
Information System Documentation
ALC_CMC.1
EAL1
CM Capabilities
Labeling of the TOE
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMC.2
EAL2
CM Capabilities
Use of a CM System
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMC.3
EAL3
CM Capabilities
Authorization Controls
CM-3
Configuration Change Control
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMC.4
EAL4
EAL5
CM Capabilities
Production Support, Acceptance
Procedures, and Automation
CM-3
Configuration Change Control
CM-3(1)
Configuration Change Control
Automated Document / Notification /
Prohibition of Changes
CM-3(3)
Configuration Change Control
Automated Change Implementation
CM-9
Configuration Management Plan
APPENDIX H
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
ALC_CMC.5
EAL6
EAL7
CM Capabilities
Advanced Support
NIST SP 800-53 CONTROLS
SA-10
Developer Configuration Management
CM-3
Configuration Change Control
CM-3(1)
Configuration Change Control
Automated Document / Notification /
Prohibition of Changes
CM-3(2)
Configuration Change Control
Test / Validate / Document Changes
CM-3(3)
Configuration Change Control
Automated mechanisms to field and deploy
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMS.1
EAL1
CM Scope
TOE CM Coverage
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMS.2
EAL2
CM Scope
Parts of the TOE CM Coverage
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMS.3
EAL3
CM Scope
Implementation Representation CM
Coverage
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMS.4
EAL4
CM Scope
Problem Tracking CM Coverage
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_CMS.5
EAL5
EAL6
EAL7
CM Scope
Development Tools CM Coverage
CM-9
Configuration Management Plan
SA-10
Developer Configuration Management
ALC_DEL.1
EAL2
EAL3
EAL4
EAL5
EAL6
EAL7
Delivery
Delivery Procedures
MP-5
Media Transport
SA-10(1)
Developer Configuration Management
Software / Firmware Integrity Verification
SA-10(6)
Developer Configuration Management
Trusted Distribution
SA-18
Tamper Resistance and Detection
SA-19
Component Authenticity
ALC_DVS.1
EAL3
EAL4
EAL5
Development Security
Identification of Security Measures
SA-1
System and Services Acquisition Policy
and Procedures
SA-3
System Development Lifecycle
SA-12
Supply Chain Protection
ALC_DVS.2
EAL6
EAL7
Development Security
Sufficiency of Security Measures
CM-5
Access Restrictions for Change
SA-3
System Development Lifecycle
SA-12
Supply Chain Protection
ALC_FLR.1
Flaw Remediation
Basic Flaw Remediation
SA-10
Developer Configuration Management
SA-11
Developer Security Testing / Evaluation
SI-2
Flaw Remediation
SA-10
Developer Configuration Management
SA-11
Developer Security Testing / Evaluation
SI-2
Flaw Remediation
SA-10
Developer Configuration Management
SA-11
Developer Security Testing / Evaluation
SI-2
Flaw Remediation
ALC_FLR.2
ALC_FLR.3
APPENDIX H
Flaw Remediation
Flaw Reporting Procedures
Flaw Remediation
Systematic Flaw Remediation
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
ALC_LCD.1
EAL3
EAL4
EAL5
EAL6
Life-Cycle Definition
Developer Defined Life-Cycle Model
SA-3
System Development Life Cycle
SA-15
Development Process, Standards, and
Tools
ALC_LCD.2
EAL7
Life-Cycle Definition
Measurable Life-Cycle Model
SA-3
System Development Life Cycle
SA-15
Development Process, Standards, and
Tools
ALC_TAT.1
EAL4
Tools and Techniques
Well-Defined Development Tools
SA-15
Development Process, Standards, and
Tools
ALC_TAT.2
EAL5
Tools and Techniques
Compliance with Implementation
Standards
SA-15
Development Process, Standards, and
Tools
ALC_TAT.3
EAL6
EAL7
Tools and Techniques
Compliance with Implementation
Standards – All Parts
SA-15
Development Process, Standards, and
Tools
ATE_COV.1
EAL2
Coverage
Evidence of Coverage
SA-11
Developer Security Testing and Evaluation
SA-11(7)
Developer Security Testing and Evaluation
Verify Scope of Testing / Evaluation
ATE_COV.2
EAL3
EAL4
EAL5
Coverage
Analysis of Coverage
SA-11
Developer Security Testing and Evaluation
SA-11(7)
Developer Security Testing and Evaluation
Verify Scope of Testing / Evaluation
ATE_COV.3
EAL6
EAL7
Coverage
Rigorous Analysis of Coverage
SA-11
Developer Security Testing and Evaluation
SA-11(7)
Developer Security Testing and Evaluation
Verify Scope of Testing / Evaluation
ATE_DPT.1
EAL3
Depth
Testing: Basic Design
SA-11
Developer Security Testing and Evaluation
SA-11(7)
Developer Security Testing and Evaluation
Verify Scope of Testing / Evaluation
ATE_DPT.2
EAL4
Depth
Testing: Security Enforcing Modules
SA-11
Developer Security Testing and Evaluation
SA-11(7)
Developer Security Testing and Evaluation
Verify Scope of Testing / Evaluation
ATE_DPT.3
EAL5
EAL6
Depth
Testing: Modular Design
SA-11
Developer Security Testing and Evaluation
SA-11(7)
Developer Security Testing and Evaluation
Verify Scope of Testing / Evaluation
ATE_DPT.4
EAL7
Depth
Testing: Implementation
Representation
SA-11
Developer Security Testing and Evaluation
SA-11(7)
Developer Security Testing and Evaluation
Verify Scope of Testing / Evaluation
ATE_FUN.1
EAL2
EAL3
EAL4
EAL5
Functional Tests
Functional Testing
SA-11
Developer Security Testing and Evaluation
ATE_FUN.2
EAL6
EAL7
Functional Tests
Ordered Functional Testing
SA-11
Developer Security Testing and Evaluation
ATE_IND.1
EAL1
Independent Testing
Independent Testing – Conformance
CA-2
Security Assessments
CA-2(1)
Security Assessments
Independent Assessors
SA-11(3)
Developer Security Testing and Evaluation
Independent Verification of Assessment Plans
/ Evidence
APPENDIX H
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
ATE_IND.2
EAL2
EAL3
EAL4
EAL5
EAL6
Independent Testing
Independent Testing – Sample
ATE_IND.3
EAL7
Independent Testing
Independent Testing – Complete
AVA_VAN.1
EAL1
AVA_VAN.2
EAL2
EAL3
AVA_VAN.3
EAL4
AVA_VAN.4
EAL5
AVA_VAN.5
EAL6
EAL7
APPENDIX H
Vulnerability Analysis
Vulnerability Survey
Vulnerability Analysis
Vulnerability Analysis
Vulnerability Analysis
Focused Vulnerability Analysis
Vulnerability Analysis
Methodical Vulnerability Analysis
Vulnerability Analysis
Advanced Methodical Vulnerability
Analysis
NIST SP 800-53 CONTROLS
CA-2
Security Assessments
CA-2(1)
Security Assessments
Independent Assessors
SA-11(3)
Developer Security Testing and Evaluation
Independent Verification of Assessment Plans
/ Evidence
CA-2
Security Assessments
CA-2(1)
Security Assessments
Independent Assessors
SA-11(3)
Developer Security Testing and Evaluation
Independent Verification of Assessment Plans
/ Evidence
CA-2(2)
Security Assessments
Specialized Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
SA-11(2)
Developer Security Testing and Evaluation
Threat And Vulnerability Analyses / Flaw
Remediation
SA-11(5)
Developer Security Testing and Evaluation
Penetration Testing
CA-2(2)
Security Assessments
Specialized Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
SA-11(2)
Developer Security Testing and Evaluation
Threat And Vulnerability Analyses / Flaw
Remediation
SA-11(5)
Developer Security Testing and Evaluation
Penetration Testing
CA-2(2)
Security Assessments
Specialized Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
SA-11( 2)
Developer Security Testing and Evaluation
Threat And Vulnerability Analyses / Flaw
Remediation
SA-11(5)
Developer Security Testing and Evaluation
Penetration Testing
CA-2(2)
Security Assessments
Types of Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
SA-11(2)
Developer Security Testing and Evaluation
Threat And Vulnerability Analyses / Flaw
Remediation
SA-11(5)
Developer Security Testing and Evaluation
Penetration Testing
CA-2(2)
Security Assessments
Types of Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
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________________________________________________________________________________________________
ISO/IEC 15408 REQUIREMENTS
NIST SP 800-53 CONTROLS
SA-11(2)
Developer Security Testing and Evaluation
Threat And Vulnerability Analyses / Flaw
Remediation
SA-11(5)
Developer Security Testing and Evaluation
Penetration Testing
ACO_COR.1
Composition Rationale
Composition Rationale
SA-17
Developer Security Architecture and
Design
ACO_DEV.1
Development Evidence
Functional Description
SA-17
Developer Security Architecture and
Design
ACO_DEV.2
Development Evidence
Basic Evidence of Design
SA-17
Developer Security Architecture and
Design
ACO_DEV.3
Development Evidence
Detailed Evidence of Design
SA-17
Developer Security Architecture and
Design
ACO_REL.1
Reliance on Dependent Component
Basic Reliance Information
SA-17
Developer Security Architecture and
Design
ACO_REL.2
Reliance on Dependent Component
Reliance Information
SA-17
Developer Security Architecture and
Design
ACO_CTT.1
Composed TOE Testing
Interface Testing
SA-11
Developer Security Testing and Evaluation
ACO_CTT.2
Composed TOE Testing
Rigorous Interface Testing
SA-11
Developer Security Testing and Evaluation
ACO_VUL.1
Composition Vulnerability Analysis
Composition Vulnerability Review
CA-2
Security Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
SA-11
Developer Security Testing and Evaluation
CA-2
Security Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
SA-11
Developer Security Testing and Evaluation
CA-2
Security Assessments
CA-8
Penetration Testing
RA-3
Risk Assessment
SA-11
Developer Security Testing and Evaluation
ACO_VUL.2
ACO_VUL.3
APPENDIX H
Composition Vulnerability Analysis
Composition Vulnerability Analysis
Composition Vulnerability Analysis
Enhanced-Basic Composition
Vulnerability Review
PAGE H-34
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APPENDIX I
OVERLAY TEMPLATE
APPLYING TAILORING GUIDANCE FOR SPECIAL CONDITIONS OR COMMUNITY-WIDE USE
116
O
rganizations may use the following template when developing tailored baselines using the
concept of overlays. 117 The template is provided as an example only—organizations may
choose to use other formats or modify the format in this appendix based on organizational
needs and the type of overlay being developed. The level of detail included in the overlay is at the
discretion of the organization initiating the overlay but should be of sufficient breadth and depth
to provide an appropriate rationale and justification for the resulting tailored baseline developed,
including any risk-based decisions made during the overlay development process. Security
control baseline tailoring using the concept of overlays results in security plans that are subject to
approval by authorizing officials. The example template consists of eight sections:
•
Identification;
•
Overlay Characteristics;
•
Applicability;
•
Overlay Summary;
•
Detailed Overlay Control Specifications;
•
Tailoring Considerations;
•
Definitions; and
•
Additional Information or Instructions.
How Overlays Can Be Used
Within the Risk Management Framework (RMF), overlays are implemented as part of the
tailoring process after the completion of an initial security categorization process described in
Section 3.1 and any organization-specific guidance. The security categorization process results in
the determination of an impact level of the information system, and is subsequently used to select
an initial set of security controls from one of the security control baselines in Appendix D. 118
After the initial set of security controls is identified, organizations initiate the tailoring process to
modify and align the controls more closely with the specific conditions within the organizations.
Overlays provide tailoring guidance from a community-wide perspective to address specialized
requirements, missions/business functions, technologies, or environments of operation. Overlays
provide uniformity and efficiency of security control selection by presenting tailoring options
116
Tailored baselines produced using the concept of overlays can be published independently in a variety of venues and
publications including, for example, OMB policies, CNSS Instructions, NIST Special Publications, industry standards,
and sector-specific guidance. As part of the overlay initiative, the previous guidance in Appendix I regarding industrial
and process control system security will be transferred to NIST Special Publication 800-82.
117
While organizations are encouraged to use the overlay concept to tailor security control baselines, generating widely
divergent overlays on the same topic may prove to be counterproductive. The overlay concept is most effective when
communities of interest work together to create consensus-based overlays that are not duplicative.
118
CNSS Instruction 1253 provides security categorization guidance and security control baselines for national security
systems.
APPENDIX I
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________________________________________________________________________________________________
developed by security experts and other subject matter experts to information system owners
responsible for implementing and maintaining such systems.
There is a considerable range of options that can be used to construct overlays, depending on the
specificity desired by the overlay developers. Some overlays may be very specific with respect to
the hardware, firmware, and software that form the key components the information system and
the environment in which the system operates. Other overlays may be more abstract in order to be
applicable to a large class of information systems that may be deployed in different environments.
The example template described below can be used for any level of specificity on this continuum
of potential options for overlays.
Overlays that provide greater specificity are typically developed by organizations with authority
over the information system owners and environments of operation. Organizations decide on the
appropriate tailoring actions for the selected baseline security controls as described in Section 3.2.
Many of the variables and conditions that qualify the overlay for use on a specific information
system are made explicit to ensure consistency when applying the overlay. Overlays that provide
less specificity can also be developed by security and subject matter experts for application to
large classes of information systems or in situations where there is less than full knowledge about
the specific implementation details related to the system. Less specific overlays may require
additional tailoring to customize the set of security controls for the specific information system.
These overlays leave many of the assignment and selection statements in the security controls
(i.e., the variable portion of the controls) to be completed by the organization that owns and
operates the information system. The eight sections comprising the overlay are described below.
Identification
Organizations identify the overlay by providing: (i) a unique name for the overlay; (ii) a version
number and date; (iii) the version of NIST Special Publication 800-53 used to create the overlay;
(iv) other documentation used to create the overlay; (v) author or authoring group and point of
contact; and (vi) type of organizational approval received. Organizations define how long the
overlay is to be in effect and any events that may trigger an update to the overlay other than
changes to NIST Special Publication 800-53 or organization-specific security guidance. If there
are no unique events that can trigger an update for the overlay, this section provides that notation.
Overlay Characteristics
Organizations describe the characteristics that define the intended use of the overlay in order to
help potential users select the most appropriate overlay for their missions/business functions. This
may include, for example, a description of: (i) the environment in which the information system
will be used (e.g., inside a guarded building within the continental United States, in an unmanned
space vehicle, while traveling for business to a foreign country that is known for attempting to
gain access to sensitive or classified information, or in a mobile vehicle that is in close proximity
to hostile entities); (ii) the type of information that will be processed, stored, or transmitted (e.g.,
personal identity and authentication information, financial management information, facilities,
fleet, and equipment management information, defense and national security information, system
development information); (iii) the functionality within the information system or the type of
system (e.g., standalone system, industrial/process control system, or cross-domain system); and
(iv) other characteristics related to the overlay that help protect organizational missions/business
functions, information systems, information, or individuals from a specific set of threats that may
not be addressed by the assumptions described in Chapter Three.
APPENDIX I
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Applicability
Organizations provide criteria to assist potential users of the overlay in determining whether or
not the overlay applies to a particular information system or environment of operation. Typical
formats include, for example, a list of questions or a decision tree based on the description of the
characteristics of the information system (including associated applications) and its environment
of operation at the level of specificity appropriate to the overlay.
Overlay Summary
Organizations provide a brief summary of the salient characteristics of the overlay. This summary
may include, for example: (i) the security controls and control enhancements that are affected by
the overlay; (ii) an indication of which controls/enhancements are selected or not selected based
on the characteristics and assumptions in the overlay, the tailoring guidance provided in Section
3.2, or any organization-specific guidance; (iii) the selected controls/enhancements including an
overview of new supplemental guidance and parameter values; and (iv) references to applicable
laws, Executive Orders, directives, instructions, regulations, policies, or standards.
Detailed Overlay Control Specifications
Organizations provide a comprehensive expression of the security controls/control enhancements
in the overlay as part of the tailoring process. This may include, for example: (i) justification for
selecting or not selecting a specific security control/control enhancement; (ii) modifications to the
supplemental guidance or the addition of new supplemental guidance for the security controls and
control enhancements to address the characteristics of the overlay and the environments in which
the overlay is intended to operate; (iii) unique parameter values for security control selection or
assignment statements; (iv) specific statutory and/or regulatory requirements (above and beyond
FISMA) that are met by a security control or control enhancement; (v) recommendations for
compensating controls, as appropriate; and (vi) guidance that extends the basic capability of the
control/enhancement by specifying additional functionality, altering the strength of mechanism,
or adding or limiting implementation options.
Tailoring Considerations
Organizations provide information to information system owners and authorizing officials to
consider during the tailoring process when determining the set of security controls applicable to
their specific information systems. This is especially important for overlays that are used in an
environment of operation different from the one assumed by the security control baselines (as
defined in Section 3.1). In addition, organizations can provide guidance on the use of multiple
overlays applied to a security control baseline and address any potential conflicts that may arise
between overlay specifications and baseline controls.
Definitions
Organizations provide any terms and associated definitions that are unique and relevant to the
overlay. The terms and definitions are listed in alphabetical order. If there are no unique terms or
definitions for the overlay, this is stated in this section.
Additional Information or Instructions
Organizations provide any additional information or instructions relevant to the overlay not
covered in the previous sections.
APPENDIX I
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________________________________________________________________________________________________
APPENDIX J
PRIVACY CONTROL CATALOG
PRIVACY CONTROLS, ENHANCEMENTS, AND SUPPLEMENTAL GUIDANCE
T
he need to protect an individual's privacy is as important today as it was in 1974 when the
Privacy Act first sought to balance the government's need to collect information from an
individual with a citizen's right to be notified as to how that information was being used,
collected, maintained, and disposed of after the requisite period of use. These concerns are also
shared in the private sector, where healthcare, financial, and other services continue to be
delivered via the web with increasingly higher levels of personalization. The proliferation of
social media, Smart Grid, mobile, and cloud computing, as well as the transition from structured
to unstructured data and metadata environments, have added significant complexities and
challenges for federal organizations in safeguarding privacy. These challenges extend well
beyond the traditional information technology security view of protecting privacy which focused
primarily on ensuring confidentiality. Now there are greater implications with respect to
controlling the integrity of an individual's information, and with ensuring that an individual's
information is available on demand. The challenging landscape requires federal organizations to
expand their view of privacy, in order to meet citizen expectations of privacy that go beyond
information security.
Privacy, with respect to personally identifiable information (PII), 119 is a core value that can be
obtained only with appropriate legislation, policies, procedures, and associated controls to ensure
compliance with requirements. Protecting the privacy of individuals and their PII that is collected,
used, maintained, shared, and disposed of by programs and information systems, is a fundamental
responsibility of federal organizations. Privacy also involves each individual’s right to decide
when and whether to share personal information, how much information to share, and the
particular circumstances under which that information can be shared. In today’s digital world,
effective privacy for individuals depends on the safeguards employed within the information
systems that are processing, storing, and transmitting PII and the environments in which those
systems operate. Organizations cannot have effective privacy without a basic foundation of
information security. Privacy is more than security, however, and includes, for example, the
principles of transparency, notice, and choice.
This appendix provides a structured set of controls for protecting privacy and serves as a roadmap
for organizations to use in identifying and implementing privacy controls concerning the entire
life cycle of PII, whether in paper or electronic form. The controls focus on information privacy
as a value distinct from, but highly interrelated with, information security. Privacy controls are
119
OMB Memorandum 07-16 defines PII as information which can be used to distinguish or trace an individual’s
identity such as their name, social security number, biometric records, etc., alone, or when combined with other
personal or identifying information which is linked or linkable to a specific individual, such as date and place of birth,
mother’s maiden name, etc. OMB Memorandum 10-22 further states that “the definition of PII is not anchored to any
single category of information or technology. Rather, it requires a case-by-case assessment of the specific risk that an
individual can be identified by examining the context of use and combination of data elements. In performing this
assessment, it is important for agencies to recognize that non-PII can become PII, whenever additional information is
made publicly available, in any medium and from any source that, when combined with other available information,
could be used to identify an individual.” NIST Special Publication 800-122 also includes a definition of PII that differs
from this appendix because it was focused on the security objective of confidentiality and not privacy in the broad
sense. Organizational definitions of PII may vary based on the consideration of additional regulatory requirements. The
privacy controls in this appendix apply regardless of the definition of PII by organizations.
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the administrative, technical, and physical safeguards employed within organizations to protect
and ensure the proper handling of PII. 120 Organizations may also engage in activities that do not
involve the collection and use of PII, but may nevertheless raise privacy concerns and associated
risk. The privacy controls are equally applicable to those activities and can be used to analyze the
privacy risk and mitigate such risk when necessary.
The privacy controls in this appendix are based on the Fair Information Practice Principles
(FIPPs) 121 embodied in the Privacy Act of 1974, Section 208 of the E-Government Act of 2002,
and Office of Management and Budget (OMB) policies. The FIPPs are designed to build public
trust in the privacy practices of organizations and to help organizations avoid tangible costs and
intangible damages from privacy incidents. There are eight privacy control families, each aligning
with one of the FIPPs. The privacy families can be implemented at the organization, department,
agency, component, office, program, or information system level, under the leadership and
oversight of the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) 122 and
in coordination with the Chief Information Security Officer, Chief Information Officer, program
officials, legal counsel, and others as appropriate. Table J-1 provides a summary of the privacy
controls by family in the privacy control catalog.
TABLE J-1: SUMMARY OF PRIVACY CONTROLS BY FAMILY
ID
AP
PRIVACY CONTROLS
Authority and Purpose
AP-1
Authority to Collect
AP-2
Purpose Specification
AR
Accountability, Audit, and Risk Management
AR-1
Governance and Privacy Program
AR-2
Privacy Impact and Risk Assessment
AR-3
Privacy Requirements for Contractors and Service Providers
AR-4
Privacy Monitoring and Auditing
AR-5
Privacy Awareness and Training
AR-6
Privacy Reporting
AR-7
Privacy-Enhanced System Design and Development
AR-8
Accounting of Disclosures
DI
Data Quality and Integrity
DI-1
Data Quality
DI-2
Data Integrity and Data Integrity Board
DM
Data Minimization and Retention
DM-1
Minimization of Personally Identifiable Information
DM-2
Data Retention and Disposal
120
In 2010, the Federal CIO Council Privacy Committee issued a framework for designing and implementing a privacy
program entitled Best Practices: Elements of a Federal Privacy Program (Elements White Paper). The privacy controls
in this appendix mirror a number of the elements included in the paper. Organizations can use the privacy controls and
the guidance in the paper to develop an organization-wide privacy program or enhance an already existing program.
121
The FIPPs are widely accepted in the United States and internationally as a general framework for privacy and are
reflected in other federal and international laws and policies. In a number of organizations, FIPPs serve as the basis for
analyzing privacy risks and determining appropriate mitigation strategies. The Federal Enterprise Architecture Security
and Privacy Profile (FEA-SPP) also provided information and materials in development of the privacy controls.
122
All federal agencies and departments designate an SAOP/CPO as the senior organizational official with the overall
organization-wide responsibility for information privacy issues. OMB Memorandum 05-08 provides guidance for the
designation of SAOPs/CPOs. The term SAOP/CPO as used in this appendix means an organization’s senior privacy
leader, whose job title may vary from organization to organization.
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ID
DM-3
IP
PRIVACY CONTROLS
Minimization of PII Used in Testing, Training, and Research
Individual Participation and Redress
IP-1
Consent
IP-2
Individual Access
IP-3
Redress
IP-4
Complaint Management
SE
Security
SE-1
Inventory of Personally Identifiable Information
SE-2
Privacy Incident Response
TR
Transparency
TR-1
Privacy Notice
TR-2
System of Records Notices and Privacy Act Statements
TR-3
Dissemination of Privacy Program Information
UL
Use Limitation
UL-1
Internal Use
UL-2
Information Sharing with Third Parties
There is a strong similarity between the structure of the privacy controls in this appendix and the
structure of the security controls in Appendices F and G. For example, the control AR-1
(Governance and Privacy Program) requires organizations to develop privacy plans that can be
implemented at the organizational or program level. These plans can also be used in conjunction
with security plans to provide an opportunity for organizations to select the appropriate set of
security and privacy controls in accordance with organizational mission/business requirements
and the environments in which the organizations operate. Incorporating the fundamental concepts
associated with managing information security risk helps to ensure that the employment of
privacy controls is carried out in a cost-effective and risk-based manner while simultaneously
meeting compliance requirements. Standardized privacy controls and assessment procedures
(developed to evaluate the effectiveness of the controls) will provide a more disciplined and
structured approach for satisfying federal privacy requirements and demonstrating compliance
with those requirements.
In summary, the Privacy Appendix achieves several important objectives. The appendix:
•
Provides a structured set of privacy controls, based on best practices, that helps organizations
comply with applicable federal laws, Executive Orders, directives, instructions, regulations,
policies, standards, guidance, and organization-specific issuances;
•
Establishes a linkage and relationship between privacy and security controls for purposes of
enforcing respective privacy and security requirements that may overlap in concept and in
implementation within federal information systems, programs, and organizations;
•
Demonstrates the applicability of the NIST Risk Management Framework in the selection,
implementation, assessment, and ongoing monitoring of privacy controls deployed in federal
information systems, programs, and organizations; and
•
Promotes closer cooperation between privacy and security officials within the federal
government to help achieve the objectives of senior leaders/executives in enforcing the
requirements in federal privacy legislation, policies, regulations, directives, standards, and
guidance.
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HOW TO USE THIS APPENDIX
The privacy controls outlined in this publication are primarily for use by an organization’s Senior
Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) when working with program managers,
mission/business owners, information owners/stewards, Chief Information Officers, Chief Information
Security Officers, information system developers/integrators, and risk executives to determine how
best to incorporate effective privacy protections and practices (i.e., privacy controls) within
organizational programs and information systems and the environments in which they operate. The
privacy controls facilitate the organization’s efforts to comply with privacy requirements affecting those
organizational programs and/or systems that collect, use, maintain, share, or dispose of personally
identifiable information (PII) or other activities that raise privacy risks. While the security controls in
Appendix F are allocated to the low, moderate, and high baselines in Appendix D, the privacy controls
are selected and implemented based on the privacy requirements of organizations and the need to
protect the PII of individuals collected and maintained by organizational information systems and
programs, in accordance with federal privacy legislation, policies, directives, regulations, guidelines, and
best practices.
Organizations analyze and apply each privacy control with respect to their distinct mission/business and
operational needs based on their legal authorities and obligations. Implementation of the privacy
controls may vary based upon this analysis (e.g., organizations that are defined as covered entities
pursuant to the Health Insurance Portability and Accountability Act [HIPAA] may have additional
requirements that are not specifically enumerated in this publication). This enables organizations to
determine the information practices that are compliant with law and policy and those that may need
review. It also enables organizations to tailor the privacy controls to meet their defined and specific
needs at the organization level, mission/business process level, and information system level.
Organizations with national security or law enforcement authorities take those authorities as well as
privacy interests into account in determining how to apply the privacy controls in their operational
environments. Similarly, organizations subject to the Confidential Information Protection and Statistical
Efficiency Act (CIPSEA), implement the privacy controls consistent with that Act. All organizations
implement the privacy controls consistent with the Privacy Act of 1974, 5 U.S.C. § 552a, subject to any
exceptions and/or exemptions.
Privacy control enhancements described in Appendix J reflect best practices which organizations should
strive to achieve, but are not mandatory. Organizations should decide when to apply control
enhancements to support their particular missions/business functions. Specific overlays for privacy,
developed in accordance with the guidance in Section 3.2 and Appendix I, can also be considered to
facilitate the tailoring of the security control baselines in Appendix D with the requisite privacy controls
to ensure that both security and privacy requirements can be satisfied by organizations. Many of the
security controls in Appendix F provide the fundamental information protection for confidentiality,
integrity, and availability within organizational information systems and the environments in which
those systems operate—protection that is essential for strong and effective privacy.
Organizations document the agreed upon privacy controls to be implemented in organizational
programs and information systems and the environments in which they operate. At the discretion of
the implementing organization, privacy controls may be documented in a distinct privacy plan or
incorporated into other risk management documents (e.g., system security plans). Organizations also
establish appropriate assessment methodologies to determine the extent to which the privacy controls
are implemented correctly, operating as intended, and producing the desired outcome with respect to
meeting designated privacy requirements. Organizational assessments of privacy controls can be
conducted either by the SAOP/CPO alone or jointly with the other organizational risk management
offices including the information security office.
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Implementation Tip
•
Select and implement privacy controls based on the privacy requirements of organizations and
the need to protect the personally identifiable information (PII) of individuals collected and
maintained by systems and programs.
•
Coordinate privacy control selection and implementation with the organizational Risk Executive
Function, mission/business owners, enterprise architects, Chief Information Officer, SAOP/CPO,
and Chief Information Security Officer.
•
View the privacy controls in Appendix J from the same perspective as the Program
Management controls in Appendix G—that is, the controls are implemented for each
organizational information system irrespective of the FIPS 199 categorization for that system.
•
Select and implement the optional privacy control enhancements when there is a demonstrated
need for additional privacy protection for individuals and PII.
•
Apply the privacy controls consistent with any specific exceptions and exemptions included in
legislation, Executive Orders, directives, policies, and regulations (e.g., law enforcement or
national security considerations).
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FAMILY: AUTHORITY AND PURPOSE
This family ensures that organizations: (i) identify the legal bases that authorize a particular
personally identifiable information (PII) collection or activity that impacts privacy; and (ii) specify in
their notices the purpose(s) for which PII is collected.
AP-1
AUTHORITY TO COLLECT
The organization determines and documents the legal authority that permits the collection,
use, maintenance, and sharing of personally identifiable information (PII), either generally or in
support of a specific program or information system need.
Control:
Before collecting PII, the organization determines whether the
contemplated collection of PII is legally authorized. Program officials consult with the Senior
Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) and legal counsel regarding the
authority of any program or activity to collect PII. The authority to collect PII is documented in
the System of Records Notice (SORN) and/or Privacy Impact Assessment (PIA) or other
applicable documentation such as Privacy Act Statements or Computer Matching Agreements.
Related controls: AR-2, DM-1, TR-1, TR-2.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (e); Section 208(c), E-Government Act of
2002 (P.L. 107-347); OMB Circular A-130, Appendix I.
References:
AP-2
PURPOSE SPECIFICATION
The organization describes the purpose(s) for which personally identifiable information
(PII) is collected, used, maintained, and shared in its privacy notices.
Control:
Often, statutory language expressly authorizes specific collections and uses
of PII. When statutory language is written broadly and thus subject to interpretation, organizations
ensure, in consultation with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer
(CPO) and legal counsel, that there is a close nexus between the general authorization and any
specific collection of PII. Once the specific purposes have been identified, the purposes are clearly
described in the related privacy compliance documentation, including but not limited to Privacy
Impact Assessments (PIAs), System of Records Notices (SORNs), and Privacy Act Statements
provided at the time of collection (e.g., on forms organizations use to collect PII). Further, in order
to avoid unauthorized collections or uses of PII, personnel who handle PII receive training on the
organizational authorities for collecting PII, authorized uses of PII, and on the contents of the
notice. Related controls: AR-2, AR-4, AR-5, DM-1, DM-2, TR-1, TR-2, UL-1, UL-2.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (e)(3)(A)-(B); Sections 208(b), (c), EGovernment Act of 2002 (P.L. 107-347).
References:
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FAMILY: ACCOUNTABILITY, AUDIT, AND RISK MANAGEMENT
This family enhances public confidence through effective controls for governance, monitoring, risk
management, and assessment to demonstrate that organizations are complying with applicable
privacy protection requirements and minimizing overall privacy risk.
AR-1
GOVERNANCE AND PRIVACY PROGRAM
Control:
The organization:
a.
Appoints a Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO)
accountable for developing, implementing, and maintaining an organization-wide governance
and privacy program to ensure compliance with all applicable laws and regulations regarding
the collection, use, maintenance, sharing, and disposal of personally identifiable information
(PII) by programs and information systems;
b.
Monitors federal privacy laws and policy for changes that affect the privacy program;
c.
Allocates [Assignment: organization-defined allocation of budget and staffing] sufficient
resources to implement and operate the organization-wide privacy program;
d.
Develops a strategic organizational privacy plan for implementing applicable privacy
controls, policies, and procedures;
e.
Develops, disseminates, and implements operational privacy policies and procedures that
govern the appropriate privacy and security controls for programs, information systems, or
technologies involving PII; and
f.
Updates privacy plan, policies, and procedures [Assignment: organization-defined frequency,
at least biennially].
The development and implementation of a comprehensive governance and
privacy program demonstrates organizational accountability for and commitment to the protection
of individual privacy. Accountability begins with the appointment of an SAOP/CPO with the
authority, mission, resources, and responsibility to develop and implement a multifaceted privacy
program. The SAOP/CPO, in consultation with legal counsel, information security officials, and
others as appropriate: (i) ensures the development, implementation, and enforcement of privacy
policies and procedures; (ii) defines roles and responsibilities for protecting PII; (iii) determines
the level of information sensitivity with regard to PII holdings; (iv) identifies the laws, regulations,
and internal policies that apply to the PII; (v) monitors privacy best practices; and (vi)
monitors/audits compliance with identified privacy controls.
Supplemental Guidance:
To further accountability, the SAOP/CPO develops privacy plans to document the privacy
requirements of organizations and the privacy and security controls in place or planned for
meeting those requirements. The plan serves as evidence of organizational privacy operations and
supports resource requests by the SAOP/CPO. A single plan or multiple plans may be necessary
depending upon the organizational structures, requirements, and resources, and the plan(s) may
vary in comprehensiveness. For example, a one-page privacy plan may cover privacy policies,
documentation, and controls already in place, such as Privacy Impact Assessments (PIA) and
System of Records Notices (SORN). A comprehensive plan may include a baseline of privacy
controls selected from this appendix and include: (i) processes for conducting privacy risk
assessments; (ii) templates and guidance for completing PIAs and SORNs; (iii) privacy training
and awareness requirements; (iv) requirements for contractors processing PII; (v) plans for
eliminating unnecessary PII holdings; and (vi) a framework for measuring annual performance
goals and objectives for implementing identified privacy controls.
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Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a; E-Government Act of 2002 (P.L. 107347); Federal Information Security Management Act (FISMA) of 2002, 44 U.S.C. § 3541; OMB
Memoranda 03-22, 05-08, 07-16; OMB Circular A-130; Federal Enterprise Architecture Security
and Privacy Profile.
References:
AR-2
PRIVACY IMPACT AND RISK ASSESSMENT
Control:
The organization:
a.
Documents and implements a privacy risk management process that assesses privacy risk to
individuals resulting from the collection, sharing, storing, transmitting, use, and disposal of
personally identifiable information (PII); and
b.
Conducts Privacy Impact Assessments (PIAs) for information systems, programs, or other
activities that pose a privacy risk in accordance with applicable law, OMB policy, or any
existing organizational policies and procedures.
Organizational privacy risk management processes operate across the life
cycles of all mission/business processes that collect, use, maintain, share, or dispose of PII. The
tools and processes for managing risk are specific to organizational missions and resources. They
include, but are not limited to, the conduct of PIAs. The PIA is both a process and the document
that is the outcome of that process. OMB Memorandum 03-22 provides guidance to organizations
for implementing the privacy provisions of the E-Government Act of 2002, including guidance on
when PIAs are required for information systems. Some organizations may be required by law or
policy to extend the PIA requirement to other activities involving PII or otherwise impacting
privacy (e.g., programs, projects, or regulations). PIAs are conducted to identify privacy risks and
identify methods to mitigate those risks. PIAs are also conducted to ensure that programs or
information systems comply with legal, regulatory, and policy requirements. PIAs also serve as
notice to the public of privacy practices. PIAs are performed before developing or procuring
information systems, or initiating programs or projects, that collect, use, maintain, or share PII and
are updated when changes create new privacy risks.
Supplemental Guidance:
Control Enhancements:
None.
Section 208, E-Government Act of 2002 (P.L. 107-347); Federal Information Security
Management Act (FISMA) of 2002, 44 U.S.C. § 3541; OMB Memoranda 03-22, 05-08, 10-23.
References:
AR-3
PRIVACY REQUIREMENTS FOR CONTRACTORS AND SERVICE PROVIDERS
Control:
The organization:
a.
Establishes privacy roles, responsibilities, and access requirements for contractors and service
providers; and
b.
Includes privacy requirements in contracts and other acquisition-related documents.
Contractors and service providers include, but are not limited to,
information providers, information processors, and other organizations providing information
system development, information technology services, and other outsourced
applications. Organizations consult with legal counsel, the Senior Agency Official for Privacy
(SAOP)/Chief Privacy Officer (CPO), and contracting officers about applicable laws, directives,
policies, or regulations that may impact implementation of this control. Related control: AR-1,
AR-5, SA-4.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a(m); Federal Acquisition Regulation, 48
C.F.R. Part 24; OMB Circular A-130.
References:
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AR-4
PRIVACY MONITORING AND AUDITING
The organization monitors and audits privacy controls and internal privacy policy
[Assignment: organization-defined frequency] to ensure effective implementation.
Control:
To promote accountability, organizations identify and address gaps in
privacy compliance, management, operational, and technical controls by conducting regular
assessments (e.g., internal risk assessments). These assessments can be self-assessments or thirdparty audits that result in reports on compliance gaps identified in programs, projects, and
information systems. In addition to auditing for effective implementation of all privacy controls
identified in this appendix, organizations assess whether they: (i) implement a process to embed
privacy considerations into the life cycle of personally identifiable information (PII), programs,
information systems, mission/business processes, and technology; (ii) monitor for changes to
applicable privacy laws, regulations, and policies; (iii) track programs, information systems, and
applications that collect and maintain PII to ensure compliance; (iv) ensure that access to PII is
only on a need-to-know basis; and (v) ensure that PII is being maintained and used only for the
legally authorized purposes identified in the public notice(s).
Supplemental Guidance:
Organizations also: (i) implement technology to audit for the security, appropriate use, and loss of
PII; (ii) perform reviews to ensure physical security of documents containing PII; (iii) assess
contractor compliance with privacy requirements; and (iv) ensure that corrective actions identified
as part of the assessment process are tracked and monitored until audit findings are corrected. The
organization Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) coordinates
monitoring and auditing efforts with information security officials and ensures that the results are
provided to senior managers and oversight officials. Related controls: AR-6, AR-7, AU-1, AU-2,
AU-3, AU-6, AU-12, CA-7, TR-1, UL-2.
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a; Federal Information Security Management
Act (FISMA) of 2002, 44 U.S.C. § 3541; Section 208, E-Government Act of 2002 (P.L. 107-347);
OMB Memoranda 03-22, 05-08, 06-16, 07-16; OMB Circular A-130.
References:
AR-5
PRIVACY AWARENESS AND TRAINING
Control:
The organization:
a.
Develops, implements, and updates a comprehensive training and awareness strategy aimed at
ensuring that personnel understand privacy responsibilities and procedures;
b.
Administers basic privacy training [Assignment: organization-defined frequency, at least
annually] and targeted, role-based privacy training for personnel having responsibility for
personally identifiable information (PII) or for activities that involve PII [Assignment:
organization-defined frequency, at least annually]; and
c.
Ensures that personnel certify (manually or electronically) acceptance of responsibilities for
privacy requirements [Assignment: organization-defined frequency, at least annually].
Through implementation of a privacy training and awareness strategy, the
organization promotes a culture of privacy. Privacy training and awareness programs typically
focus on broad topics, such as responsibilities under the Privacy Act of 1974 and E-Government
Act of 2002 and the consequences of failing to carry out those responsibilities, how to identify
new privacy risks, how to mitigate privacy risks, and how and when to report privacy incidents.
Privacy training may also target data collection and use requirements identified in public notices,
such as Privacy Impact Assessments (PIAs) or System of Records Notices (SORNs) for a program
or information system. Specific training methods may include: (i) mandatory annual privacy
awareness training; (ii) targeted, role-based training; (iii) internal privacy program websites; (iv)
manuals, guides, and handbooks; (v) slide presentations; (vi) events (e.g., privacy awareness week,
privacy clean-up day); (vii) posters and brochures; and (viii) email messages to all employees and
contractors. Organizations update training based on changing statutory, regulatory, mission,
Supplemental Guidance:
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program, business process, and information system requirements, or on the results of compliance
monitoring and auditing. Where appropriate, organizations may provide privacy training as part of
existing information security training. Related controls: AR-3, AT-2, AT-3, TR-1.
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a(e); Section 208, E-Government Act of 2002
(P.L. 107-347); OMB Memoranda 03-22, 07-16.
References:
AR-6
PRIVACY REPORTING
The organization develops, disseminates, and updates reports to the Office of
Management and Budget (OMB), Congress, and other oversight bodies, as appropriate, to
demonstrate accountability with specific statutory and regulatory privacy program mandates, and
to senior management and other personnel with responsibility for monitoring privacy program
progress and compliance.
Control:
Through internal and external privacy reporting, organizations promote
accountability and transparency in organizational privacy operations. Reporting also helps
organizations to determine progress in meeting privacy compliance requirements and privacy
controls, compare performance across the federal government, identify vulnerabilities and gaps in
policy and implementation, and identify success models. Types of privacy reports include: (i)
annual Senior Agency Official for Privacy (SAOP) reports to OMB; (ii) reports to Congress
required by the Implementing Regulations of the 9/11 Commission Act; and (iii) other public
reports required by specific statutory mandates or internal policies of organizations. The
organization Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) consults
with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy
reporting requirements.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a; Section 208, E-Government Act of 2002
(P.L. 107-347); Federal Information Security Management Act (FISMA) of 2002, 44 U.S.C. §
3541; Section 803, 9/11 Commission Act, 42 U.S.C. § 2000ee-1; Section 804, 9/11 Commission
Act, 42 U.S.C. § 2000ee-3; Section 522, Consolidated Appropriations Act of 2005 (P.L. 108-447);
OMB Memoranda 03-22; OMB Circular A-130.
References:
AR-7
PRIVACY-ENHANCED SYSTEM DESIGN AND DEVELOPMENT
The organization designs information systems to support privacy by automating privacy
controls.
Control:
To the extent feasible, when designing organizational information systems,
organizations employ technologies and system capabilities that automate privacy controls on the
collection, use, retention, and disclosure of personally identifiable information (PII). By building
privacy controls into system design and development, organizations mitigate privacy risks to PII,
thereby reducing the likelihood of information system breaches and other privacy-related
incidents. Organizations also conduct periodic reviews of systems to determine the need for
updates to maintain compliance with the Privacy Act and the organization’s privacy policy.
Regardless of whether automated privacy controls are employed, organizations regularly monitor
information system use and sharing of PII to ensure that the use/sharing is consistent with the
authorized purposes identified in the Privacy Act and/or in the public notice of organizations, or in
a manner compatible with those purposes. Related controls: AC-6, AR-4, AR-5, DM-2, TR-1.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a(e)(10); Sections 208(b) and(c), EGovernment Act of 2002 (P.L. 107-347); OMB Memorandum 03-22.
References:
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AR-8
ACCOUNTING OF DISCLOSURES
Control:
a.
The organization:
Keeps an accurate accounting of disclosures of information held in each system of records
under its control, including:
(1) Date, nature, and purpose of each disclosure of a record; and
(2) Name and address of the person or agency to which the disclosure was made;
b.
Retains the accounting of disclosures for the life of the record or five years after the
disclosure is made, whichever is longer; and
c.
Makes the accounting of disclosures available to the person named in the record upon request.
The Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer
(CPO) periodically consults with managers of organization systems of record to ensure that the
required accountings of disclosures of records are being properly maintained and provided to
persons named in those records consistent with the dictates of the Privacy Act. Organizations are
not required to keep an accounting of disclosures when the disclosures are made to individuals
with a need to know, are made pursuant to the Freedom of Information Act, or are made to a law
enforcement agency pursuant to 5 U.S.C. § 552a(c)(3). Heads of agencies can promulgate rules to
exempt certain systems of records from the requirement to provide the accounting of disclosures to
individuals. Related control: IP-2.
Supplemental Guidance:
Control Enhancements:
References:
APPENDIX J
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (c)(1), (c)(3), (j), (k).
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FAMILY: DATA QUALITY AND INTEGRITY
This family enhances public confidence that any personally identifiable information (PII) collected
and maintained by organizations is accurate, relevant, timely, and complete for the purpose for which
it is to be used, as specified in public notices.
DI-1
DATA QUALITY
Control:
The organization:
a.
Confirms to the greatest extent practicable upon collection or creation of personally
identifiable information (PII), the accuracy, relevance, timeliness, and completeness of that
information;
b.
Collects PII directly from the individual to the greatest extent practicable;
c.
Checks for, and corrects as necessary, any inaccurate or outdated PII used by its programs or
systems [Assignment: organization-defined frequency]; and
d.
Issues guidelines ensuring and maximizing the quality, utility, objectivity, and integrity of
disseminated information.
Organizations take reasonable steps to confirm the accuracy and relevance
of PII. Such steps may include, for example, editing and validating addresses as they are collected
or entered into information systems using automated address verification look-up application
programming interfaces (API). The types of measures taken to protect data quality are based on
the nature and context of the PII, how it is to be used, and how it was obtained. Measures taken to
validate the accuracy of PII that is used to make determinations about the rights, benefits, or
privileges of individuals under federal programs may be more comprehensive than those used to
validate less sensitive PII. Additional steps may be necessary to validate PII that is obtained from
sources other than individuals or the authorized representatives of individuals.
Supplemental Guidance:
When PII is of a sufficiently sensitive nature (e.g., when it is used for annual reconfirmation of a
taxpayer’s income for a recurring benefit), organizations incorporate mechanisms into information
systems and develop corresponding procedures for how frequently, and by what method, the
information is to be updated. Related controls: AP-2, DI-2, DM-1, IP-3, SI-10.
Control Enhancements:
(1)
DATA QUALITY | VALIDATE PII
The organization requests that the individual or individual’s authorized representative validate PII
during the collection process.
(2)
DATA QUALITY | RE-VALIDATE PII
The organization requests that the individual or individual’s authorized representative revalidate
that PII collected is still accurate [Assignment: organization-defined frequency].
The Privacy Act of 1974, 5 U.S.C. § 552a (c) and (e); Treasury and General
Government Appropriations Act for Fiscal Year 2001 (P.L. 106-554), app C § 515, 114 Stat.
2763A-153-4; Paperwork Reduction Act, 44 U.S.C. § 3501; OMB Guidelines for Ensuring and
Maximizing the Quality, Objectivity, Utility, and Integrity of Information Disseminated by
Federal Agencies (October 2001); OMB Memorandum 07-16.
References:
DI-2
DATA INTEGRITY AND DATA INTEGRITY BOARD
Control:
a.
APPENDIX J
The organization:
Documents processes to ensure the integrity of personally identifiable information (PII)
through existing security controls; and
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b.
Establishes a Data Integrity Board when appropriate to oversee organizational Computer
Matching Agreements 123 and to ensure that those agreements comply with the computer
matching provisions of the Privacy Act.
Organizations conducting or participating in Computer Matching
Agreements with other organizations regarding applicants for and recipients of financial assistance
or payments under federal benefit programs or regarding certain computerized comparisons
involving federal personnel or payroll records establish a Data Integrity Board to oversee and
coordinate their implementation of such matching agreements. In many organizations, the Data
Integrity Board is led by the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer
(CPO). The Data Integrity Board ensures that controls are in place to maintain both the quality and
the integrity of data shared under Computer Matching Agreements. Related controls: AC-1, AC-3,
AC-4, AC-6, AC-17, AC-22, AU-2, AU-3, AU-6, AU-10, AU-11, DI-1, SC-8, SC-28, UL-2.
Supplemental Guidance:
Control Enhancements:
(1)
DATA INTEGRITY AND DATA INTEGRITY BOARD | PUBLISH AGREEMENTS ON WEBSITE
The organization publishes Computer Matching Agreements on its public website.
The Privacy Act of 1974, 5 U.S.C. §§ 552a (a)(8)(A), (o), (p), (u); OMB Circular A130, Appendix I.
References:
123
Organizations enter into Computer Matching Agreements in connection with computer matching programs to which
they are a party. With certain exceptions, a computer matching program is any computerized comparison of two or
more automated systems of records or a system of records with nonfederal records for the purpose of establishing or
verifying the eligibility of, or continuing compliance with, statutory and regulatory requirements by, applicants for,
recipients or beneficiaries of, participants in, or providers of services with respect to cash or in-kind assistance or
payments under federal benefit programs or computerized comparisons of two or more automated federal personnel or
payroll systems of records or a system of federal personnel or payroll records with nonfederal records. See Computer
Matching and Privacy Protection Act of 1988, 5 U.S.C. § 552a (a)(8)(A).
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FAMILY: DATA MINIMIZATION AND RETENTION
This family helps organizations implement the data minimization and retention requirements to
collect, use, and retain only personally identifiable information (PII) that is relevant and necessary
for the purpose for which it was originally collected. Organizations retain PII for only as long as
necessary to fulfill the purpose(s) specified in public notices and in accordance with a National
Archives and Records Administration (NARA)-approved record retention schedule.
DM-1
MINIMIZATION OF PERSONALLY IDENTIFIABLE INFORMATION
Control:
The organization:
a.
Identifies the minimum personally identifiable information (PII) elements that are relevant
and necessary to accomplish the legally authorized purpose of collection;
b.
Limits the collection and retention of PII to the minimum elements identified for the purposes
described in the notice and for which the individual has provided consent; and
c.
Conducts an initial evaluation of PII holdings and establishes and follows a schedule for
regularly reviewing those holdings [Assignment: organization-defined frequency, at least
annually] to ensure that only PII identified in the notice is collected and retained, and that the
PII continues to be necessary to accomplish the legally authorized purpose.
Organizations take appropriate steps to ensure that the collection of PII is
consistent with a purpose authorized by law or regulation. The minimum set of PII elements
required to support a specific organization business process may be a subset of the PII the
organization is authorized to collect. Program officials consult with the Senior Agency Official for
Privacy (SAOP)/Chief Privacy Officer (CPO) and legal counsel to identify the minimum PII
elements required by the information system or activity to accomplish the legally authorized
purpose.
Supplemental Guidance:
Organizations can further reduce their privacy and security risks by also reducing their inventory
of PII, where appropriate. OMB Memorandum 07-16 requires organizations to conduct both an
initial review and subsequent reviews of their holdings of all PII and ensure, to the maximum
extent practicable, that such holdings are accurate, relevant, timely, and complete. Organizations
are also directed by OMB to reduce their holdings to the minimum necessary for the proper
performance of a documented organizational business purpose. OMB Memorandum 07-16
requires organizations to develop and publicize, either through a notice in the Federal Register or
on their websites, a schedule for periodic reviews of their holdings to supplement the initial
review. Organizations coordinate with their federal records officers to ensure that reductions in
organizational holdings of PII are consistent with NARA retention schedules.
By performing periodic evaluations, organizations reduce risk, ensure that they are collecting only
the data specified in the notice, and ensure that the data collected is still relevant and necessary for
the purpose(s) specified in the notice. Related controls: AP-1, AP-2, AR-4, IP-1, SE-1, SI-12, TR1.
Control Enhancements:
(1)
MINIMIZATION OF PERSONALLY IDENTIFIABLE INFORMATION | LOCATE / REMOVE / REDACT / ANONYMIZE PII
The organization, where feasible and within the limits of technology, locates and removes/redacts
specified PII and/or uses anonymization and de-identification techniques to permit use of the
retained information while reducing its sensitivity and reducing the risk resulting from disclosure.
Supplemental Guidance:
NIST Special Publication 800-122 provides guidance on
anonymization.
The Privacy Act of 1974, 5 U.S.C. §552a (e); Section 208(b), E-Government Act of
2002 (P.L. 107-347); OMB Memoranda 03-22, 07-16.
References:
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DM-2
DATA RETENTION AND DISPOSAL
Control:
The organization:
a.
Retains each collection of personally identifiable information (PII) for [Assignment:
organization-defined time period] to fulfill the purpose(s) identified in the notice or as
required by law;
b.
Disposes of, destroys, erases, and/or anonymizes the PII, regardless of the method of storage,
in accordance with a NARA-approved record retention schedule and in a manner that prevents
loss, theft, misuse, or unauthorized access; and
c.
Uses [Assignment: organization-defined techniques or methods] to ensure secure deletion or
destruction of PII (including originals, copies, and archived records).
NARA provides retention schedules that govern the disposition of federal
records. Program officials coordinate with records officers and with NARA to identify appropriate
retention periods and disposal methods. NARA may require organizations to retain PII longer than
is operationally needed. In those situations, organizations describe such requirements in the notice.
Methods of storage include, for example, electronic, optical media, or paper.
Supplemental Guidance:
Examples of ways organizations may reduce holdings include reducing the types of PII held (e.g.,
delete Social Security numbers if their use is no longer needed) or shortening the retention period
for PII that is maintained if it is no longer necessary to keep PII for long periods of time (this
effort is undertaken in consultation with an organization’s records officer to receive NARA
approval). In both examples, organizations provide notice (e.g., an updated System of Records
Notice) to inform the public of any changes in holdings of PII.
Certain read-only archiving techniques, such as DVDs, CDs, microfilm, or microfiche, may not
permit the removal of individual records without the destruction of the entire database contained
on such media. Related controls: AR-4, AU-11, DM-1, MP-1, MP-2, MP-3, MP-4, MP-5, MP-6,
MP-7, MP-8, SI-12, TR-1.
Control Enhancements:
(1)
DATA RETENTION AND DISPOSAL | SYSTEM CONFIGURATION
The organization, where feasible, configures its information systems to record the date PII is
collected, created, or updated and when PII is to be deleted or archived under an approved record
retention schedule.
The Privacy Act of 1974, 5 U.S.C. § 552a (e)(1), (c)(2); Section 208 (e), EGovernment Act of 2002 (P.L. 107-347); 44 U.S.C. Chapters 29, 31, 33; OMB Memorandum 0716; OMB Circular A-130; NIST Special Publication 800-88.
References:
DM-3
MINIMIZATION OF PII USED IN TESTING, TRAINING, AND RESEARCH
Control:
The organization:
a.
Develops policies and procedures that minimize the use of personally identifiable information
(PII) for testing, training, and research; and
b.
Implements controls to protect PII used for testing, training, and research.
Organizations often use PII for testing new applications or information
systems prior to deployment. Organizations also use PII for research purposes and for training.
The use of PII in testing, research, and training increases risk of unauthorized disclosure or misuse
of the information. If PII must be used, organizations take measures to minimize any associated
risks and to authorize the use of and limit the amount of PII for these purposes. Organizations
consult with the SAOP/CPO and legal counsel to ensure that the use of PII in testing, training, and
research is compatible with the original purpose for which it was collected.
Supplemental Guidance:
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Control Enhancements:
(1)
MINIMIZATION OF PII USED IN TESTING, TRAINING, AND RESEARCH | RISK MINIMIZATION TECHNIQUES
The organization, where feasible, uses techniques to minimize the risk to privacy of using PII for
research, testing, or training.
Organizations can minimize risk to privacy of PII by using techniques
such as de-identification.
References: NIST Special Publication 800-122.
Supplemental Guidance:
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FAMILY: INDIVIDUAL PARTICIPATION AND REDRESS
This family addresses the need to make individuals active participants in the decision-making process
regarding the collection and use of their personally identifiable information (PII). By providing
individuals with access to PII and the ability to have their PII corrected or amended, as appropriate,
the controls in this family enhance public confidence in organizational decisions made based on the
PII.
IP-1
CONSENT
Control:
The organization:
a.
Provides means, where feasible and appropriate, for individuals to authorize the collection,
use, maintaining, and sharing of personally identifiable information (PII) prior to its
collection;
b.
Provides appropriate means for individuals to understand the consequences of decisions to
approve or decline the authorization of the collection, use, dissemination, and retention of PII;
c.
Obtains consent, where feasible and appropriate, from individuals prior to any new uses or
disclosure of previously collected PII; and
d.
Ensures that individuals are aware of and, where feasible, consent to all uses of PII not
initially described in the public notice that was in effect at the time the organization collected
the PII.
Consent is fundamental to the participation of individuals in the decisionmaking process regarding the collection and use of their PII and the use of technologies that may
increase risk to personal privacy. To obtain consent, organizations provide individuals appropriate
notice of the purposes of the PII collection or technology use and a means for individuals to
consent to the activity. Organizations tailor the public notice and consent mechanisms to meet
operational needs. Organizations achieve awareness and consent, for example, through updated
public notices.
Organizations may obtain consent through opt-in, opt-out, or implied consent. Opt-in consent is
the preferred method, but it is not always feasible. Opt-in requires that individuals take affirmative
action to allow organizations to collect or use PII. For example, opt-in consent may require an
individual to click a radio button on a website, or sign a document providing consent. In contrast,
opt-out requires individuals to take action to prevent the new or continued collection or use of
such PII. For example, the Federal Trade Commission’s Do-Not-Call Registry allows individuals
to opt-out of receiving unsolicited telemarketing calls by requesting to be added to a list. Implied
consent is the least preferred method and should be used in limited circumstances. Implied consent
occurs where individuals’ behavior or failure to object indicates agreement with the collection or
use of PII (e.g., by entering and remaining in a building where notice has been posted that security
cameras are in use, the individual implies consent to the video recording). Depending upon the
nature of the program or information system, it may be appropriate to allow individuals to limit
the types of PII they provide and subsequent uses of that PII. Organizational consent mechanisms
include a discussion of the consequences to individuals of failure to provide PII. Consequences
can vary from organization to organization. Related controls: AC-2, AP-1, TR-1, TR-2.
Supplemental Guidance:
Control Enhancements:
(1)
CONSENT | MECHANISMS SUPPORTING ITEMIZED OR TIERED CONSENT
The organization implements mechanisms to support itemized or tiered consent for specific uses
of data.
Organizations can provide, for example, individuals’ itemized choices
as to whether they wish to be contacted for any of a variety of purposes. In this situation,
organizations construct consent mechanisms to ensure that organizational operations comply
with individual choices.
Supplemental Guidance:
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The Privacy Act of 1974, 5 U.S.C. § 552a (b), (e)(3); Section 208(c), E-Government
Act of 2002 (P.L. 107-347); OMB Memoranda 03-22, 10-22.
References:
IP-2
INDIVIDUAL ACCESS
Control:
The organization:
a.
Provides individuals the ability to have access to their personally identifiable information
(PII) maintained in its system(s) of records;
b.
Publishes rules and regulations governing how individuals may request access to records
maintained in a Privacy Act system of records;
c.
Publishes access procedures in System of Records Notices (SORNs); and
d.
Adheres to Privacy Act requirements and OMB policies and guidance for the proper
processing of Privacy Act requests.
Access affords individuals the ability to review PII about them held within
organizational systems of records. Access includes timely, simplified, and inexpensive access to
data. Organizational processes for allowing access to records may differ based on resources, legal
requirements, or other factors. The organization Senior Agency Official for Privacy (SAOP)/Chief
Privacy Officer (CPO) is responsible for the content of Privacy Act regulations and record request
processing, in consultation with legal counsel. Access to certain types of records may not be
appropriate, however, and heads of agencies may promulgate rules exempting particular systems
from the access provision of the Privacy Act. In addition, individuals are not entitled to access to
information compiled in reasonable anticipation of a civil action or proceeding. Related controls:
AR-8, IP-3, TR-1, TR-2.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. §§ 552a (c)(3), (d)(5), (e) (4); (j), (k), (t); OMB
Circular A-130.
References:
IP-3
REDRESS
Control:
The organization:
a.
Provides a process for individuals to have inaccurate personally identifiable information (PII)
maintained by the organization corrected or amended, as appropriate; and
b.
Establishes a process for disseminating corrections or amendments of the PII to other
authorized users of the PII, such as external information-sharing partners and, where feasible
and appropriate, notifies affected individuals that their information has been corrected or
amended.
Redress supports the ability of individuals to ensure the accuracy of PII
held by organizations. Effective redress processes demonstrate organizational commitment to data
quality especially in those business functions where inaccurate data may result in inappropriate
decisions or denial of benefits and services to individuals. Organizations use discretion in
determining if records are to be corrected or amended, based on the scope of redress requests, the
changes sought, and the impact of the changes. Individuals may appeal an adverse decision and
have incorrect information amended, where appropriate.
Supplemental Guidance:
To provide effective redress, organizations: (i) provide effective notice of the existence of a PII
collection; (ii) provide plain language explanations of the processes and mechanisms for
requesting access to records; (iii) establish criteria for submitting requests for correction or
amendment; (iv) implement resources to analyze and adjudicate requests; (v) implement means of
correcting or amending data collections; and (vi) review any decisions that may have been the
result of inaccurate information.
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Organizational redress processes provide responses to individuals of decisions to deny requests for
correction or amendment, including the reasons for those decisions, a means to record individual
objections to the organizational decisions, and a means of requesting organizational reviews of the
initial determinations. Where PII is corrected or amended, organizations take steps to ensure that
all authorized recipients of that PII are informed of the corrected or amended information. In
instances where redress involves information obtained from other organizations, redress processes
include coordination with organizations that originally collected the information. Related controls:
IP-2, TR-1, TR-2, UL-2.
Control Enhancements:
References:
IP-4
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (d), (c)(4); OMB Circular A-130.
COMPLAINT MANAGEMENT
The organization implements a process for receiving and responding to complaints,
concerns, or questions from individuals about the organizational privacy practices.
Control:
Complaints, concerns, and questions from individuals can serve as a
valuable source of external input that ultimately improves operational models, uses of technology,
data collection practices, and privacy and security safeguards. Organizations provide complaint
mechanisms that are readily accessible by the public, include all information necessary for
successfully filing complaints (including contact information for the Senior Agency Official for
Privacy (SAOP)/Chief Privacy Officer (CPO) or other official designated to receive complaints),
and are easy to use. Organizational complaint management processes include tracking mechanisms
to ensure that all complaints received are reviewed and appropriately addressed in a timely
manner. Related controls: AR-6, IP-3.
Supplemental Guidance:
Control Enhancements:
(1)
COMPLAINT MANAGEMENT | RESPONSE TIMES
The organization responds to complaints, concerns, or questions from individuals within
[Assignment: organization-defined time period].
References:
APPENDIX J
OMB Circular A-130; OMB Memoranda 07-16, 08-09.
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FAMILY: SECURITY
This family supplements the security controls in Appendix F to ensure that technical, physical, and
administrative safeguards are in place to protect personally identifiable information (PII) collected or
maintained by organizations against loss, unauthorized access, or disclosure, and to ensure that
planning and responses to privacy incidents comply with OMB policies and guidance. The controls
in this family are implemented in coordination with information security personnel and in accordance
with the existing NIST Risk Management Framework.
SE-1
INVENTORY OF PERSONALLY IDENTIFIABLE INFORMATION
Control:
The organization:
a.
Establishes, maintains, and updates [Assignment: organization-defined frequency] an
inventory that contains a listing of all programs and information systems identified as
collecting, using, maintaining, or sharing personally identifiable information (PII); and
b.
Provides each update of the PII inventory to the CIO or information security official
[Assignment: organization-defined frequency] to support the establishment of information
security requirements for all new or modified information systems containing PII.
The PII inventory enables organizations to implement effective
administrative, technical, and physical security policies and procedures to protect PII consistent
with Appendix F, and to mitigate risks of PII exposure. As one method of gathering information
for their PII inventories, organizations may extract the following information elements from
Privacy Impact Assessments (PIA) for information systems containing PII: (i) the name and
acronym for each system identified; (ii) the types of PII contained in that system; (iii)
classification of level of sensitivity of all types of PII, as combined in that information system; and
(iv) classification of level of potential risk of substantial harm, embarrassment, inconvenience, or
unfairness to affected individuals, as well as the financial or reputational risks to organizations, if
PII is exposed. Organizations take due care in updating the inventories by identifying linkable data
that could create PII. Related controls: AR-1, AR-4, AR-5, AT-1, DM-1, PM-5.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (e) (10); Section 208(b)(2), E-Government
Act of 2002 (P.L. 107-347); OMB Memorandum 03-22; OMB Circular A-130, Appendix I; FIPS
Publication 199; NIST Special Publications 800-37, 800-122.
References:
SE-2
PRIVACY INCIDENT RESPONSE
Control:
The organization:
a.
Develops and implements a Privacy Incident Response Plan; and
b.
Provides an organized and effective response to privacy incidents in accordance with the
organizational Privacy Incident Response Plan.
In contrast to the Incident Response (IR) family in Appendix F, which
concerns a broader range of incidents affecting information security, this control uses the term
Privacy Incident to describe only those incidents that relate to personally identifiable information
(PII). The organization Privacy Incident Response Plan is developed under the leadership of the
SAOP/CPO. The plan includes: (i) the establishment of a cross-functional Privacy Incident
Response Team that reviews, approves, and participates in the execution of the Privacy Incident
Response Plan; (ii) a process to determine whether notice to oversight organizations or affected
individuals is appropriate and to provide that notice accordingly; (iii) a privacy risk assessment
process to determine the extent of harm, embarrassment, inconvenience, or unfairness to affected
individuals and, where appropriate, to take steps to mitigate any such risks; (iv) internal
Supplemental Guidance:
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procedures to ensure prompt reporting by employees and contractors of any privacy incident to
information security officials and the Senior Agency Official for Privacy (SAOP)/Chief Privacy
Officer (CPO), consistent with organizational incident management structures; and (v) internal
procedures for reporting noncompliance with organizational privacy policy by employees or
contractors to appropriate management or oversight officials. Some organizations may be required
by law or policy to provide notice to oversight organizations in the event of a breach.
Organizations may also choose to integrate Privacy Incident Response Plans with Security
Incident Response Plans, or keep the plans separate. Related controls: AR-1, AR-4, AR-5, AR-6,
AU-1 through 14, IR-1 through IR-8, RA-1.
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (e), (i)(1), and (m); Federal Information
Security Management Act (FISMA) of 2002, 44 U.S.C. § 3541; OMB Memoranda 06-19, 07-16;
NIST Special Publication 800-37.
References:
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FAMILY: TRANSPARENCY
This family ensures that organizations provide public notice of their information practices and the
privacy impact of their programs and activities.
TR-1
PRIVACY NOTICE
Control:
The organization:
a.
Provides effective notice to the public and to individuals regarding: (i) its activities that
impact privacy, including its collection, use, sharing, safeguarding, maintenance, and disposal
of personally identifiable information (PII); (ii) authority for collecting PII; (iii) the choices, if
any, individuals may have regarding how the organization uses PII and the consequences of
exercising or not exercising those choices; and (iv) the ability to access and have PII amended
or corrected if necessary;
b.
Describes: (i) the PII the organization collects and the purpose(s) for which it collects that
information; (ii) how the organization uses PII internally; (iii) whether the organization shares
PII with external entities, the categories of those entities, and the purposes for such sharing;
(iv) whether individuals have the ability to consent to specific uses or sharing of PII and how
to exercise any such consent; (v) how individuals may obtain access to PII; and (vi) how the
PII will be protected; and
c.
Revises its public notices to reflect changes in practice or policy that affect PII or changes in
its activities that impact privacy, before or as soon as practicable after the change.
Effective notice, by virtue of its clarity, readability, and comprehensiveness,
enables individuals to understand how an organization uses PII generally and, where appropriate,
to make an informed decision prior to providing PII to an organization. Effective notice also
demonstrates the privacy considerations that the organization has addressed in implementing its
information practices. The organization may provide general public notice through a variety of
means, as required by law or policy, including System of Records Notices (SORNs), Privacy
Impact Assessments (PIAs), or in a website privacy policy. As required by the Privacy Act, the
organization also provides direct notice to individuals via Privacy Act Statements on the paper and
electronic forms it uses to collect PII, or on separate forms that can be retained by the individuals.
Supplemental Guidance:
The organization Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) is
responsible for the content of the organization’s public notices, in consultation with legal counsel
and relevant program managers. The public notice requirement in this control is satisfied by an
organization’s compliance with the public notice provisions of the Privacy Act, the E-Government
Act’s PIA requirement, with OMB guidance related to federal agency privacy notices, and, where
applicable, with policy pertaining to participation in the Information Sharing Environment
(ISE). 124 Changing PII practice or policy without prior notice is disfavored and should only be
undertaken in consultation with the SAOP/CPO and counsel. Related controls: AP-1, AP-2, AR-1,
AR-2, IP-1, IP-2, IP-3, UL-1, UL-2.
Control Enhancements:
(1)
PRIVACY NOTICE | REAL-TIME OR LAYERED NOTICE
The organization provides real-time and/or layered notice when it collects PII.
Real-time notice is defined as notice at the point of collection. A
layered notice approach involves providing individuals with a summary of key points in the
organization’s privacy policy. A second notice provides more detailed/specific information.
Supplemental Guidance:
124
The Information Sharing Environment is an approach that facilitates the sharing of terrorism and homeland security
information. The ISE was established by the Intelligence Reform and Terrorism Prevention Act of 2004, Public Law
108-458, 118 Stat. 3638. See the ISE website at: http://www.ise.gov.
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The Privacy Act of 1974, 5 U.S.C. § 552a (e)(3), (e)(4); Section 208(b), EGovernment Act of 2002 (P.L. 107-347); OMB Memoranda 03-22, 07-16, 10-22, 10-23; ISE
Privacy Guidelines.
References:
TR-2
SYSTEM OF RECORDS NOTICES AND PRIVACY ACT STATEMENTS
Control:
The organization:
a.
Publishes System of Records Notices (SORNs) in the Federal Register, subject to required
oversight processes, for systems containing personally identifiable information (PII);
b.
Keeps SORNs current; and
c.
Includes Privacy Act Statements on its forms that collect PII, or on separate forms that can be
retained by individuals, to provide additional formal notice to individuals from whom the
information is being collected.
Organizations issue SORNs to provide the public notice regarding PII
collected in a system of records, which the Privacy Act defines as “a group of any records under
the control of any agency from which information is retrieved by the name of an individual or by
some identifying number, symbol, or other identifier.” SORNs explain how the information is
used, retained, and may be corrected, and whether certain portions of the system are subject to
Privacy Act exemptions for law enforcement or national security reasons. Privacy Act Statements
provide notice of: (i) the authority of organizations to collect PII; (ii) whether providing PII is
mandatory or optional; (iii) the principal purpose(s) for which the PII is to be used; (iv) the
intended disclosures (routine uses) of the information; and (v) the consequences of not providing
all or some portion of the information requested. When information is collected verbally,
organizations read a Privacy Act Statement prior to initiating the collection of PII (for example,
when conducting telephone interviews or surveys). Related control: DI-2.
Supplemental Guidance:
Control Enhancements:
(1)
SYSTEM OF RECORDS NOTICES AND PRIVACY ACT STATEMENTS | PUBLIC WEBSITE PUBLICATION
The organization publishes SORNs on its public website.
References:
TR-3
The Privacy Act of 1974, 5 U.S.C. § 552a (e)(3); OMB Circular A-130.
DISSEMINATION OF PRIVACY PROGRAM INFORMATION
Control:
The organization:
a.
Ensures that the public has access to information about its privacy activities and is able to
communicate with its Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer
(CPO); and
b.
Ensures that its privacy practices are publicly available through organizational websites or
otherwise.
Organizations employ different mechanisms for informing the public about
their privacy practices including, but not limited to, Privacy Impact Assessments (PIAs), System
of Records Notices (SORNs), privacy reports, publicly available web pages, email distributions,
blogs, and periodic publications (e.g., quarterly newsletters). Organizations also employ publicly
facing email addresses and/or phone lines that enable the public to provide feedback and/or direct
questions to privacy offices regarding privacy practices. Related control: AR-6.
Supplemental Guidance:
Control Enhancements:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a; Section 208, E-Government Act of 2002
(P.L. 107-347); OMB Memoranda 03-22, 10-23.
References:
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and Organizations
________________________________________________________________________________________________
FAMILY: USE LIMITATION
This family ensures that organizations only use personally identifiable information (PII) either as
specified in their public notices, in a manner compatible with those specified purposes, or as
otherwise permitted by law. Implementation of the controls in this family will ensure that the scope
of PII use is limited accordingly.
UL-1
INTERNAL USE
The organization uses personally identifiable information (PII) internally only for the
authorized purpose(s) identified in the Privacy Act and/or in public notices.
Control:
Organizations take steps to ensure that they use PII only for legally
authorized purposes and in a manner compatible with uses identified in the Privacy Act and/or in
public notices. These steps include monitoring and auditing organizational use of PII and training
organizational personnel on the authorized uses of PII. With guidance from the Senior Agency
Official for Privacy (SAOP)/Chief Privacy Officer (CPO) and where appropriate, legal counsel,
organizations document processes and procedures for evaluating any proposed new uses of PII to
assess whether they fall within the scope of the organizational authorities. Where appropriate,
organizations obtain consent from individuals for the new use(s) of PII. Related controls: AP-2,
AR-2, AR-3, AR-4, AR-5, IP-1, TR-1, TR-2.
Supplemental Guidance:
Control Enhancements:
References:
UL-2
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (b)(1).
INFORMATION SHARING WITH THIRD PARTIES
Control:
The organization:
a.
Shares personally identifiable information (PII) externally, only for the authorized purposes
identified in the Privacy Act and/or described in its notice(s) or for a purpose that is
compatible with those purposes;
b.
Where appropriate, enters into Memoranda of Understanding, Memoranda of Agreement,
Letters of Intent, Computer Matching Agreements, or similar agreements, with third parties
that specifically describe the PII covered and specifically enumerate the purposes for which
the PII may be used;
c.
Monitors, audits, and trains its staff on the authorized sharing of PII with third parties and on
the consequences of unauthorized use or sharing of PII; and
d.
Evaluates any proposed new instances of sharing PII with third parties to assess whether the
sharing is authorized and whether additional or new public notice is required.
The organization Senior Agency Official for Privacy (SAOP)/Chief
Privacy Officer (CPO) and, where appropriate, legal counsel review and approve any proposed
external sharing of PII, including with other public, international, or private sector entities, for
consistency with uses described in the existing organizational public notice(s). When a proposed
new instance of external sharing of PII is not currently authorized by the Privacy Act and/or
specified in a notice, organizations evaluate whether the proposed external sharing is compatible
with the purpose(s) specified in the notice. If the proposed sharing is compatible, organizations
review, update, and republish their Privacy Impact Assessments (PIAs), System of Records
Notices (SORNs), website privacy policies, and other public notices, if any, to include specific
descriptions of the new uses(s) and obtain consent where appropriate and feasible. Informationsharing agreements also include security protections consistent with the sensitivity of the
information being shared. Related controls: AR-3, AR-4, AR-5, AR-8, AP-2, DI-1, DI-2, IP-1,
TR-1.
Supplemental Guidance:
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Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Control Enhancements:
References:
None.
The Privacy Act of 1974, 5 U.S.C. § 552a (a)(7), (b), (c), (e)(3)(C), (o); ISE Privacy
Guidelines.
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Special Publication 800-53 Revision 4
Security and Privacy Controls for Federal Information Systems
and Organizations
________________________________________________________________________________________________
Acknowledgements
This appendix was developed by the National Institute of Standards and Technology and the
Privacy Committee of the Federal Chief Information Officer (CIO) Council. In particular, we
wish to thank the members of the Privacy Committee's Best Practices Subcommittee and its
Privacy Controls Appendix Working Group—Claire Barrett, Chris Brannigan, Pamela Carcirieri,
Debra Diener, Deborah Kendall, Martha Landesberg, Steven Lott, Lewis Oleinick, and Roanne
Shaddox—for their valuable insights, subject matter expertise, and overall contributions in
helping to develop the content for this appendix to Special Publication 800-53. We also wish to
recognize and thank Erika McCallister, Toby Levin, James McKenzie, Julie McEwen, and
Richard Graubart for their significant contributions to this project. A special note of thanks goes
to Peggy Himes and Elizabeth Lennon for their superb administrative support. The authors also
gratefully acknowledge and appreciate the significant contributions from individuals, groups, and
organizations in the public and private sectors, whose thoughtful and constructive comments
improved the overall quality, thoroughness, and usefulness of this publication.
APPENDIX J
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