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pdfDHS Sensitive Systems Policy
Directive 4300A
Version 8.0
March 14, 2011
This is the implementation of
DHS Management Directive 140-01 Information
Technology System Security, July 31, 2007
DEPARTMENT OF HOMELAND SECURITY
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
FOREWORD
The Department of Homeland Security (DHS) 4300 series of information security policy is the
official series of publications relating to Departmental standards and guidelines adopted and
promulgated under the provisions of DHS Management Directive 140-01 Information
Technology System Security.
Comments concerning DHS Information Security publications are welcomed and should be
submitted to the DHS Director for Information Systems Security Policy at INFOSEC@dhs.gov
or addressed to:
DHS Director of Information Security Policy
OCIO CISO Stop 0182
Department of Homeland Security
245 Murray Lane SW
Washington, DC 20528-0182
Robert C. West
DHS Chief Information Security Officer
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
TABLE OF CONTENTS
1.0
INTRODUCTION ........................................................................................................ 1
1.1
Information Security Program ............................................................................. 1
1.2
Authorities .......................................................................................................... 1
1.3
Policy Overview .................................................................................................. 2
1.4
Definitions .......................................................................................................... 2
1.4.1 Classified National Security Information ................................................. 2
1.4.2 National Intelligence Information ............................................................ 2
1.4.3 National Security Information .................................................................. 2
1.4.4 Foreign Intelligence Information .............................................................. 2
1.4.5 Sensitive Information............................................................................... 3
1.4.6 Public Information ................................................................................... 3
1.4.7 Information Technology .......................................................................... 3
1.4.8 DHS System ............................................................................................ 3
1.4.8.1 General Support System............................................................. 3
1.4.8.2 Major Application ...................................................................... 4
1.4.9 Component .............................................................................................. 4
1.4.10 Trust Zone ............................................................................................... 4
1.4.11 Continuity of Operations .......................................................................... 4
1.4.12 Continuity of Operations Plan .................................................................. 5
1.4.13 Essential Functions .................................................................................. 5
1.4.14 Vital Records ........................................................................................... 5
1.4.15 Operational Data ...................................................................................... 5
1.4.16 Federal Information Security Management Act ........................................ 5
1.4.17 Personally Identifiable Information .......................................................... 7
1.4.18 Sensitive Personally Identifiable Information ........................................... 7
1.4.19 Privacy Sensitive System ......................................................................... 7
1.4.20 Strong Authentication .............................................................................. 7
1.4.21 Two-Factor Authentication ...................................................................... 7
1.5
Waivers and Exceptions ...................................................................................... 8
1.5.1 Waivers ................................................................................................... 8
1.5.2 Exceptions ............................................................................................... 8
1.5.3 Waiver or Exception Requests ................................................................. 8
1.5.4 U.S. Citizen Exception Requests .............................................................10
1.6
Information Sharing and Electronic Signature ....................................................10
1.7
Changes to Policy...............................................................................................11
2.0
ROLES AND RESPONSIBILITIES ...........................................................................12
2.1
Information Security Program Roles...................................................................12
2.1.1 DHS Senior Agency Information Security Officer ..................................12
2.1.2 DHS Chief Information Security Officer .................................................12
2.1.3 Component Chief Information Security Officer ......................................14
2.1.4 Component Information Systems Security Manager................................16
2.1.5 Risk Executive ........................................................................................17
2.1.6 Authorizing Official................................................................................18
2.1.7 Security Control Assessor .......................................................................19
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2.2
2.1.8 Information Systems Security Officer .....................................................20
Other Roles ........................................................................................................20
2.2.1 Secretary of Homeland Security..............................................................20
2.2.2 Under Secretaries and Heads of DHS Components .................................21
2.2.3 DHS Chief Information Officer ..............................................................22
2.2.4 Component Chief Information Officer ....................................................23
2.2.5 DHS Chief Security Officer ....................................................................24
2.2.6 DHS Chief Privacy Officer .....................................................................24
2.2.7 DHS Chief Financial Officer...................................................................25
2.2.8 Program Managers ..................................................................................26
2.2.9 System Owners .......................................................................................26
2.2.10 Common Control Provider ......................................................................27
2.2.11 DHS Employees, Contractors, and Others Working on Behalf of DHS ...28
3.0
MANAGEMENT POLICIES ......................................................................................29
3.1
Basic Requirements ............................................................................................29
3.2
Capital Planning and Investment Control............................................................30
3.3
Contractors and Outsourced Operations ..............................................................31
3.4
Performance Measures and Metrics ....................................................................31
3.5
Continuity Planning for Critical DHS Assets ......................................................32
3.5.1 Continuity of Operations Planning ..........................................................32
3.5.2 Contingency Planning .............................................................................33
3.6
System Engineering Life Cycle ..........................................................................34
3.7
Configuration Management ................................................................................34
3.8
Risk Management...............................................................................................36
3.9
Security Authoziation and Security Assessments ................................................36
3.10 Information Security Review and Assistance ......................................................39
3.11 Security Working Groups and Forums ................................................................39
3.11.1 CISO Council .........................................................................................39
3.11.2 DHS Information Security Training Working Group ...............................40
3.12 Information Security Policy Violation and Disciplinary Action ..........................40
3.13 Required Reporting ............................................................................................41
3.14 Privacy and Data Security ..................................................................................41
3.14.1 Personally Identifiable Information .........................................................41
3.14.2 Privacy Threshold Analyses ....................................................................43
3.14.3 Privacy Impact Assessments ...................................................................43
3.14.4 System of Records Notices .....................................................................44
3.14.5 Protecting Privacy Sensitive Systems ......................................................45
3.14.6 Privacy Incident Reporting .....................................................................46
3.14.7 E-Authentication.....................................................................................47
3.15 DHS CFO Designated Systems ..........................................................................47
3.16 Social Media ......................................................................................................49
3.17 Health Insurance Portability and Accountability Act ..........................................50
4.0
OPERATIONAL POLICIES ......................................................................................52
4.1
Personnel ...........................................................................................................52
4.1.1 Citizenship, Personnel Screening, and Position Categorization ...............52
4.1.2 Rules of Behavior ...................................................................................53
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4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9
4.10
4.11
4.12
4.13
5.0
4.1.3 Access to Sensitive Information ..............................................................53
4.1.4 Separation of Duties ...............................................................................53
4.1.5 Information Security Awareness, Training, and Education ......................54
4.1.6 Separation From Duty.............................................................................54
Physical Security ................................................................................................55
4.2.1 General Physical Access .........................................................................55
4.2.2 Sensitive Facility ....................................................................................56
Media Controls ...................................................................................................56
4.3.1 Media Protection ....................................................................................56
4.3.2 Media Marking and Transport.................................................................57
4.3.3 Media Sanitization and Disposal .............................................................57
4.3.4 Production, Input/Output Controls ..........................................................57
Voice Communications Security ........................................................................58
4.4.1 Private Branch Exchange ........................................................................58
4.4.2 Telephone Communications ....................................................................58
4.4.3 Voice Mail ..............................................................................................58
Data Communications ........................................................................................58
4.5.1 Telecommunications Protection Techniques ...........................................58
4.5.2 Facsimiles ...............................................................................................59
4.5.3 Video Teleconferencing ..........................................................................59
4.5.4 Voice Over Data Networks .....................................................................59
Wireless Network Communications....................................................................60
4.6.1 Wireless Systems ....................................................................................60
4.6.2 Wireless Portable Electronic Devices ......................................................61
4.6.2.1 Cellular Phones .........................................................................63
4.6.2.2 Pagers .......................................................................................63
4.6.2.3 Multifunctional Wireless Devices .............................................63
4.6.3 Wireless Tactical Systems ......................................................................64
4.6.4 Radio Frequency Identification ...............................................................64
Overseas Communications .................................................................................65
Equipment ..........................................................................................................66
4.8.1 Workstations...........................................................................................66
4.8.2 Laptop Computers and Other Mobile Computing Devices ......................66
4.8.3 Personally Owned Equipment and Software............................................66
4.8.4 Hardware and Software...........................................................................67
4.8.5 Personal Use of Government Office Equipment and DHS
Systems/Computers ................................................................................68
4.8.6 Wireless Settings for Peripheral Equipment ............................................68
Department Information Security Operations......................................................69
Security Incidents and Incident Response and Reporting ....................................70
4.10.1 Law Enforcement Incident Response ......................................................72
Documentation ...................................................................................................73
Information and Data Backup .............................................................................73
Converging Technologies ...................................................................................74
TECHNICAL POLICIES............................................................................................75
5.1
Identification and Authentication........................................................................75
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5.2
5.3
5.4
5.5
5.6
5.7
5.1.1 Passwords ...............................................................................................75
Access Control ...................................................................................................76
5.2.1 Automatic Account Lockout ...................................................................77
5.2.2 Automatic Session Termination ..............................................................77
5.2.3 Warning Banner......................................................................................78
Auditing .............................................................................................................79
Network and Communications Security..............................................................79
5.4.1 Remote Access and Dial-In .....................................................................79
5.4.2 Network Security Monitoring .................................................................80
5.4.3 Network Connectivity .............................................................................81
5.4.4 Firewalls and Policy Enforcement Points ................................................83
5.4.5 Internet Security .....................................................................................84
5.4.6 Email Security ........................................................................................85
5.4.7 Personal Email Accounts ........................................................................86
5.4.8 Testing and Vulnerability Management...................................................86
5.4.9 Peer-to-Peer Technology.........................................................................87
Cryptography .....................................................................................................87
5.5.1 Encryption ..............................................................................................87
5.5.2 Public Key Infrastructure ........................................................................88
5.5.3 Public Key/Private Key...........................................................................90
Malware Protection ............................................................................................91
Product Assurance ..............................................................................................92
6.0
DOCUMENT CHANGE REQUESTS ........................................................................94
7.0
QUESTIONS AND COMMENTS ..............................................................................94
APPENDIX A
ACRONYMS ........................................................................................95
APPENDIX B
GLOSSARY ........................................................................................101
APPENDIX C
REFERENCES ...................................................................................106
APPENDIX D
DOCUMENT CHANGE HISTORY ..................................................109
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1.0
INTRODUCTION
This document articulates the Department of Homeland Security (DHS) Information Security
Program policies for sensitive systems. Procedures for implementing these policies are outlined
in a companion publication, DHS 4300A Sensitive Systems Handbook. The handbook serves as a
foundation for Components to develop and implement their information security programs. The
baseline security requirements (BLSRs) included in the handbook must be addressed when
developing and maintaining information security documents.
1.1
Information Security Program
The DHS Information Security Program provides a baseline of policies, standards, and
guidelines for DHS Components. This document provides direction to managers and senior
executives for managing and protecting sensitive systems. It also outlines policies relating to
management, operational, and technical controls necessary for ensuring confidentiality, integrity,
availability, authenticity, and nonrepudiation within the DHS information system infrastructure
and operations. Policy elements are designed to be broad in scope. Specific implementation
information can often be found in specific National Institute for Standards and Technology
(NIST) publications, such as NIST Special Publication (SP) 800-53, Recommended Security
Controls for Federal Systems and Organizations.
The policies and direction contained in this document apply to all DHS Components.
Information security policies and implementing procedures for National Security Systems are
covered in separate publications, DHS National Security Systems Policy Directive 4300B and
DHS 4300B National Security Systems Handbook. These publications are available on the DHS
Chief Information Security Officer (CISO) website.
Policy elements are effective when issued. Any policy elements that have not been implemented
within ninety (90) days shall be considered a weakness and either a system or program Plan of
Action and Milestones (POA&M) must be generated by the Component for the identified
weaknesses. Whenever the DHS Security Compliance tools, Risk Management System (RMS)
and TrustedAgent FISMA (TAF) require updating to reflect policy element changes, tool
changes shall be available to the Department within forty-five (45) days of the policy changes.
1.2
Authorities
The following list provides the authoritative references for the DHS sensitive information
security program. Additional references are located in Appendix C of this document.
•
Public Law 107-347, E-Government Act of 2002, including Title III, Federal Information
Security Management Act (FISMA)
•
Office of Management and Budget (OMB) Circular A-130, Management of Federal
Information Resources
•
DHS Management Directive (MD) 140-01, Information Technology Security Services
•
NIST Federal Information Processing Standards (FIPS) 200, Minimum Security
Requirements for Federal Information and Information Systems
•
NIST SP 800-53, Recommended Security Controls for Federal Information Systems and
Organizations
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1.3
Policy Overview
DHS information security policies delineate the security management structure and foundation to
measure progress and compliance. Policies in this document are organized under three areas:
•
Management Controls – Focus on managing both the system information security controls
and system risk. These controls consist of risk mitigation techniques and concerns normally
addressed by management.
•
Operational Controls – Focus on mechanisms primarily implemented and executed by
people. These controls are designed to improve the security of a particular system, or group
of systems and often rely on management and technical controls.
•
Technical Controls – Focus on security controls executed by information systems. These
controls provide automated protection from unauthorized access or misuse. They facilitate
detection of security violations, and support security requirements for applications and data.
1.4
Definitions
The following definitions apply to the policies and procedures outlined in this document. Other
definitions may be found in the National Information Assurance (IA) Glossary, as well as the
Privacy Incident Handling Guidance and the Privacy Compliance documentation.
1.4.1 Classified National Security Information
Information that has been determined, pursuant to Executive Order 13526, Classified National
Security Information, to require protection against unauthorized disclosure and is marked to
indicate its classified status.
1.4.2 National Intelligence Information
The following definition is provided in Public Law 108-458, Intelligence Reform and Terrorism
Prevention Act of 2004, December 17, 2004, “The terms ‘national intelligence’ and ‘intelligence
related to national security’ refer to all intelligence, regardless of the source from which derived
and including information gathered within or outside the United States, that – “(A) pertains, as
determined consistent with any guidance issued by the President, to more than one United States
Government agency; and “(B) that involves – (i) threats to the United States, its people, property,
or interests; (ii) the development, proliferation, or use of weapons of mass destruction; or (iii)
any other matter bearing on United States national or homeland security.”
1.4.3 National Security Information
Information that has been determined, pursuant to Executive Order 13526, Classified National
Security Information, or any predecessor order, to require protection against unauthorized
disclosure.
1.4.4 Foreign Intelligence Information
This type of information relates to the capabilities, intentions, and activities of foreign powers,
organizations, or persons, but does not include counterintelligence except for information on
international terrorist activities.
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1.4.5 Sensitive Information
Sensitive information is information not otherwise categorized by statute or regulation that if
disclosed could have an adverse impact on the welfare or privacy of individuals or on the welfare
or conduct of Federal programs or other programs or operations essential to the national interest.
Examples of sensitive information include personal data such as Social Security number; trade
secrets; system vulnerability information; pre-solicitation procurement documents, such as
statements of work; and law enforcement investigative methods; similarly, detailed reports related
to computer security deficiencies in internal controls are also sensitive information because of the
potential damage that could be caused by the misuse of this information. System vulnerability
information about a financial system shall be considered Sensitive Financial Information. All
sensitive information must be protected from loss, misuse, modification, and unauthorized access.
With the exception of certain types of information protected by statute (e.g., Sensitive Security
Information, Critical Infrastructure Information), there are no specific Federal criteria and no
standard terminology for designating types of sensitive information. Such designations are left to
the discretion of each individual Federal agency. “For Official Use Only” (FOUO) is the term
used within DHS to identify unclassified information of a sensitive nature that is not otherwise
categorized by statute or regulation. DHS will adopt the term “Controlled Unclassified
Information” (CUI) at a later date.
1.4.6 Public Information
This type of information can be disclosed to the public without restriction but requires protection
against erroneous manipulation or alteration (e.g., Public Web sites).
1.4.7 Information Technology
The Clinger-Cohen Act defines information technology (IT) as 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 an Executive agency.
For purposes of the preceding definition, “equipment” refers to that used by any DHS
Component or contractor, if the contractor requires the use of such equipment in the performance
of a service or the furnishing of a product in support of DHS.
The term “information technology” includes computers, ancillary equipment, software,
firmware, and similar procedures, services (including support services), and related resources.
The term “information system,” as used within this policy document, is equivalent to the term
“IT system.”
1.4.8 DHS System
A DHS system is any information system that transmits, stores, or processes data or information
and is (1) owned, leased, or operated by any DHS Component, (2) operated by a contractor on
behalf of DHS, or (3) operated by another Federal, state, or local Government agency on behalf
of DHS. DHS systems include general support systems and major applications.
1.4.8.1
General Support System
A general support system (GSS) is an interconnected set of information resources under the same
direct management control that share common functionality. A GSS normally includes hardware,
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software, information, applications, communications, data and users. Examples of a GSS include
a local area network (LAN), including smart terminals that support a branch office, a
Department-wide backbone, a communications network, or a Departmental data processing
center including its operating system and utilities.
Note: Security for GSS in use at DHS Headquarters shall be under the oversight of the DHS
Office of the Chief Information Officer (OCIO), with support from the DHS Enterprise
Operations Center (EOC). All other GSS shall be under the direct oversight of the respective
Component CISOs, with support from the appropriate Component Security Operations Center
(SOC). All GSS must have an Information Systems Security Officers (ISSO) assigned.
1.4.8.2
Major Application
A major application (MA) is an automated information system (AIS) that “requires special
attention to security due to the risk and magnitude of harm resulting from the loss, misuse, or
unauthorized access to or modification of the information in the application. 1” Note: All Federal
applications require some level of protection. Certain applications, because of the information in
them, however, require special management oversight and should be treated as major. An MA is
distinguishable from a GSS by the fact that it is a discrete application, whereas a GSS may
support multiple applications. Each MA must be under the direct oversight of a Component
CISO/Information System Security Manager (ISSM), and must have anISSO assigned.
1.4.9 Component
A DHS Component is any of the entities within DHS, including all DHS offices and independent
agencies.
1.4.10 Trust Zone
A Trust Zone consists of a group of people, information resources, data systems, and/or networks
subject to a shared security policy (set of rules governing access to data and services). For
example, a Trust Zone may be set up between different network segments that require specific
usage policies based on information processed, such as law enforcement information.
1.4.11 Continuity of Operations
Internal organizational efforts to ensure that a viable capability exists to continue essential
functions across a wide range of potential emergencies, through plans and procedures that:
•
Delineate essential functions and supporting information systems
•
Specify succession to office and the emergency delegation of authority
•
Provide for the safekeeping of vital records and databases
•
Identify alternate operating facilities
•
Provide for interoperable communications
•
Validate the capability through tests, training, and exercises
1 OMB Circular A-130
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1.4.12 Continuity of Operations Plan
A plan that provides for the continuity of essential functions of an organization in the event that
an emergency prevents occupancy of its primary facility. It provides the organization with an
operational framework for continuing its essential functions when normal operations are
disrupted or otherwise cannot be conducted from its primary facility.
1.4.13 Essential Functions
Functions that enable Federal Executive Branch agencies to provide vital services, exercise civil
authority, maintain the safety and well being of the general populace, and sustain the
industrial/economic base during an emergency.
1.4.14 Vital Records
Electronic and hardcopy documents, references, records, databases, and information systems
needed to support essential functions under the full spectrum of emergencies. Categories of these
types of records may include:
•
Emergency operating records – emergency plans and directive(s), orders of succession,
delegations of authority, staffing assignments, selected program records needed to continue
the most critical agency operations, as well as related policy or procedural records.
•
Legal and financial rights records – protect the legal and financial rights of the Government
and of the individuals directly affected by its activities. Examples include accounts
receivable records, social security records, payroll records, retirement records, and insurance
records. These records were formerly defined as “rights-and-interests” records.
•
Records used to perform national security preparedness functions and activities (Executive
Order [E.O.] 12656).
1.4.15 Operational Data
Operational data is information used in the execution of any DHS mission.
1.4.16 Federal Information Security Management Act
FISMA requires each agency to develop, document, and implement an agency-wide information
security program to provide a high-level of security for the information and information systems
that support the operations and assets of the agency, including those provided or managed by
another agency, contractor, or other source. Statutory requirements include:
(1) Periodic assessments of the risk and magnitude of the harm that could result from the
unauthorized access, use, disclosure, disruption, modification, or destruction of
information and information systems that support the operations and assets of the agency.
(2) Policies and procedures that:
a. Are based on the risk assessments required by paragraph (1) above
b. Cost-effectively reduce information security risks to an acceptable level
c. Ensure that information security is addressed throughout the life cycle of each
agency information system
d. Ensure compliance with
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i. Other Federal policies and procedures as may be prescribed by OMB and
NIST, or other agencies when appropriate
ii. Minimally acceptable system configuration requirements, as determined
by the agency
iii. Any other applicable requirements, including standards and guidelines for
national security systems issued in accordance with law and as directed by
the President
(3) Subordinate plans for providing adequate information security for networks, facilities,
and systems or groups of information systems, as appropriate;
(4) Security awareness to inform personnel, including contractors, others working on behalf
of DHS, and other users of information systems that support operations and assets of the
Department, of:
a. Information security risks associated with their activities
b. Their responsibilities in complying with agency policies and procedures designed
to reduce these risks
(5) Periodic testing and evaluation of the effectiveness of information security policies,
procedures, and practices, to be performed with a frequency depending on risk, but no
less than annually. This testing:
a. Shall include testing of management, operational, and technical controls of every
information system identified in the Department’s inventory
b. May include testing relied on by the Office of Inspector General;
(6) A process for planning, implementing, evaluating, and documenting remedial actions to
address any deficiencies in the information security policies, procedures, and practices of
the Department
(7) Procedures for detecting, reporting, and responding to security incidents, consistent with
standards and guidelines promulgated by the United States Computer Emergency
Readiness Team (US-CERT)
a. Mitigating risks associated with incidents before substantial damage is done
b. Notifying and consulting with the US-CERT
c. Notifying and consulting with:
i. Law enforcement agencies and relevant Offices of Inspector General
ii. An office designated by the President for any incident involving a national
security system
iii. Other agency or offices, as required
(8) Plans and procedures to ensure continuity of operations for information systems that
support the operations and assets of the Department
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FISMA requires the Chief Information Officer (CIO) to designate a senior agency information
security official who shall develop and maintain a Department-wide information security
program as required by the statute. Responsibilities include:
•
Developing and maintaining information security policies, procedures, and control
techniques to address all applicable requirements
•
Training and overseeing personnel with significant responsibilities for information security
with respect to such responsibilities
•
Assisting senior Department officials concerning their responsibilities under the statute
•
Ensuring that the Department has trained personnel sufficient to assist the Department in
complying with the requirements of this subchapter and related policies, procedures,
standards, and guidelines; and
•
Ensuring that the Department CIO, in coordination with other senior Department officials,
reports annually to the Department head on the effectiveness of the Department information
security program, including progress of remedial actions
1.4.17 Personally Identifiable Information
Personally Identifiable Information (PII) is any information that permits the identity of an
individual to be directly or indirectly inferred, including any information which is linked or
linkable to that individual regardless of whether the individual is a U.S. Citizen, lawful
permanent resident, a visitor to the U.S., or employee or contractor to the Department.
1.4.18 Sensitive Personally Identifiable Information
Sensitive PII is PII which if lost, compromised, or disclosed without authorization, could result
in substantial harm, embarrassment, inconvenience, or unfairness to an individual. Examples of
Sensitive PII include Social Security numbers, alien number (A-number), criminal history
information, and medical information. Sensitive PII requires stricter handling guidelines due to
the sensitivity of the information.
1.4.19 Privacy Sensitive System
A Privacy Sensitive System is any system that collects, uses, disseminates, or maintains PII or
Sensitive PII.
1.4.20 Strong Authentication
Strong authentication is a layered authentication approach relying on two or more authenticators
to establish the identity of an originator or receiver of information.
1.4.21 Two-Factor Authentication
Authentication can involve something the user knows (e.g., a password), something the user has
(e.g., a smart card), or something the user “is” (e.g., a fingerprint or voice pattern). Single-factor
authentication uses only one of the three forms of authentication, while two-factor authentication
uses any two of the three forms. Three-factor authentication uses all three forms.
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1.5
Waivers and Exceptions
1.5.1 Waivers
Components may request waivers to, or exceptions from, any portion of this policy, for up to six
(6) months, any time they are unable to fully comply with policy requirements. Requests are
made, through the Component’s ISSO for the system, to the Component’s CISO/ISSM, and then
to the DHS CISO. All submitters shall coordinate with the AO prior to submission. If a material
weakness is reported in an audit report, and the control weakness is not scheduled to be
remediated within twelve (12) months, the Component must submit a waiver request to the DHS
CISO. If the material weakness is against a financial system, the Component Chief Financial
Officer (CFO) must also approve the waiver request before sending to the DHS CISO.
In all cases waivers shall be requested for an appropriate period based on a reasonable
remediation strategy.
1.5.2 Exceptions
Components may request an exception whenever they are unable to bring a system control
weakness into compliance or when it requires a permanent exception to DHS policy. Exceptions
are generally limited to systems that are unable to comply due to detrimental impact to mission,
excessive costs, and/or clearly documented end of platform life for non-essential systems within
eighteen (18) months, commercial-off-the-shelf (COTS) products that cannot be configured to
support the control requirement. This request is made, through the Component CISO/ISSM, to
the DHS CISO. All submitters shall coordinate with the AO prior to submission.
The resulting risk also must be approved and accepted by the Authorizing Official (AO) and by
the Component CFO if the system is a financial or mixed financial system.
1.5.3 Waiver or Exception Requests
The Waivers and Exceptions Request Form, located in Attachment B of the DHS 4300A
Sensitive Systems Handbook, shall be used.
Component ISSOs, audit liaisons, and others may develop the waiver or exception request, but
the System Owner shall submit the request through the Component’s CISO/ISSM.
Waiver requests shall include the operational justification (document mission impact), risk
acceptance, risk mitigation measures, and a POA&M for bringing the system procedures or
control weakness into compliance.
Exception requests shall include the operational justification (document mission impact), as well
as efforts to mitigate the risk based to include descriptions of counter measures or compensating
controls currently in place.
Any waiver or exception requests for CFO Designated Systems must be submitted to and
approved by the Component’s CFO prior to the DHS CFO’s submission to the DHS CISO. Any
waiver or exception requests for Privacy Sensitive Systems must be submitted to and approved
by the Component’s Privacy Officer or Senior Privacy Point of Contact (PPOC) prior to being
submitted to the DHS CISO.
All approved waiver and exception requests must be directed through the Component’s
CISO/ISSM who will in turn direct it to the DHS CISO.
8
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
1.5.3.a
Systems without an Authorization to Operate (ATO) when this policy is
issued shall comply with all of its policy statements or obtain appropriate
waivers and/or exceptions.
PL-1
1.5.3.b
Systems with an ATO when this policy is issued shall comply with all of its
policy statements within ninety (90) days or obtain appropriate waivers and/or
exceptions. (A new ATO is only required for significant changes.)
PL-1
1.5.3.c
Each waiver or exception request shall include the system name, and system
TrustedAgent FISMA (TAF) Inventory ID, operational justification, and risk
mitigation.
CM-3
1.5.3.d
Components shall request a waiver whenever they are temporarily unable to
comply fully with any portion of this policy.
CA-2
1.5.3.e
All waiver requests shall identify the POA&M for bringing the system or
program into compliance.
CA-5,
PM-4
1.5.3.f
The Component CISO/ISSM shall approve all waiver requests prior to
submitting them to the DHS CISO.
CA-6
1.5.3.g
Requests submitted without sufficient information shall be returned for
clarification prior to making a decision.
CA-6
1.5.3.h
A waiver shall be issued for six (6) months or less. The DHS CISO reserves
the right to issue waivers for longer than six (6) months in exceptional
situations. Waivers may be renewed by following the same process as in the
initial request.
CA-2
1.5.3.i
The Head of the Component shall approve any waiver request that results in a
total waiver time exceeding twelve (12) months before sending it to the DHS
CISO. The waiver shall also be reported as a material weakness in the
Component’s FISMA report.
1.5.3.j
Components shall request an exception whenever they are permanently
unable to comply fully with any portion of this policy.
CA-2
1.5.3.k
All approved waivers shall be reported in the Component’s FISMA report.
CA-6
1.5.3.l
The DHS CFO shall approve all requests for waivers and exceptions for
financial systems prior to their submission to the DHS CISO.
CA-6
1.5.3.m
The Component’s Privacy Officer or Senior PPOC shall approve all requests
for waivers and exceptions for Privacy Sensitive Systems prior to their
submission to the DHS CISO.
9
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---
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
1.5.4 U.S. Citizen Exception Requests
Special procedures apply for exception to the requirement that persons accessing DHS systems
be U.S. Citizens. Under normal circumstances, only U.S. Citizens are allowed access to DHS
systems and networks; however at times there is a need to grant access to foreign nationals.
Access for foreign nationals is normally a long-term commitment, and exceptions to appropriate
policies are treated separately from standard exceptions and waivers. The approval chain for an
exception to the U.S. Citizenship requirement flows through the Component Head, the Office of
Security, and the CIO. An electronic form for requesting exceptions to the U.S. Citizenship
requirement is published in Attachment J of the DHS 4300A Sensitive Systems Handbook.
Policy
ID
DHS Policy Statements
Relevant
Controls
1.5.4.a
Persons of dual citizenship, where one of the citizenships includes U.S.
Citizenship, shall be treated as U.S. Citizens for the purposes of this directive.
---
1.5.4.b
The System Owner shall submit each request for exception to the U.S.
Citizenship policy to the Component Head. The Component Head shall obtain
concurrence from the DHS Chief Security Officer (CSO) and CIO prior to the
approval becoming effective.
PS-3
1.5.4.c
Additional compensating controls shall be maintained for foreign nationals,
based on nations lists maintained by the DHS CSO.
PS-3
1.6
Information Sharing and Electronic Signature
The DHS Enterprise Operations Center (EOC) exchanges information with Component SOCs,
Network Operations Centers (NOCs), the Homeland Secure Data Network (HSDN) SOC, the
Intelligence Community, and with external organizations in order to facilitate the security and
operation of the DHS network. This exchange enhances situational awareness and provides a
common operating picture to network managers. The operating picture is developed from
information obtained from “raw” fault, configuration management, accounting, performance, and
security data. This data is monitored, collected, analyzed, processed, and reported by the NOCs
and SOCs.
The DHS EOC is responsible for communicating other information such as incident reports,
notifications, vulnerability alerts and operational statuses to the Component SOCs, Component
CISOs/ISSMs or other identified Component points of contact.
The DHS EOC portal implements role-based user profiles that allow Components to use the
website’s incident database capabilities. Users assigned to Component groups shall be able to
perform actions such as:
•
Entering incident information into the DHS EOC incident database
•
Generating preformatted incident reports
•
Initiating queries of the incident database
•
Viewing FISMA incident reporting numbers
10
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Automating portions of the Information Security Vulnerability Management (ISVM)
program
•
Automating portions of the vulnerability assessment program
Policy
ID
1.7
DHS Policy Statements
Relevant
Controls
1.6.a
For DHS purposes, electronic signatures are preferred to pen and ink or
facsimile signatures in all cases, except where pen and ink signatures are
required by public law, Executive Order, or other agency requirements.
---
1.6.b
Components are encouraged to use electronic signatures whenever possible.
---
1.6.c
Components shall accept electronic signatures whenever the signature’s digital
certificate is current, electronically verifiable, and issued by a medium or high
assurance DHS Certification Authority (CA) or other medium or high CA
under the Federal Bridge Certification Authority (FBCA) or Common
Authority.
---
1.6.d
DHS and Component systems shall be able to verify PIV credentials
issued by other Federal agencies.
Changes to Policy
Procedures and guidance for implementing this policy are outlined in a companion publication,
DHS 4300A Sensitive Systems Handbook with attachments. The handbook serves as a foundation
for Components to use in developing and implementing their information security programs.
For interpretation or clarification of DHS information security policies found in this policy
document and of the procedures and guidance found in the DHS 4300A Sensitive Systems
Handbook, contact the DHS CISO at infosec@dhs.gov.
Changes to this policy and to the handbook may be requested by submitting the form included in
DHS 4300A Sensitive Systems Handbook Attachment P – Document Change Requests to the
respective ISSM/CISO.
Policy
ID
DHS Policy Statements
Relevant
Controls
1.7.a
The DHS CISO shall be the authority for interpretation, clarification, and
modification of the DHS Sensitive Systems Policy Directive 4300A and the
DHS 4300A Sensitive Systems Handbook (inclusive of all appendices and
attachments).
PL-1
1.7.b
The DHS CISO shall update the DHS Sensitive Systems Policy Directive
4300A and the DHS 4300A Sensitive Systems Handbook at least annually.
PL-1
11
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
2.0
ROLES AND RESPONSIBILITIES
Security is an inherently Governmental responsibility; contractors, others working on behalf of
DHS, and other sources may assist in the performance of security functions, but a DHS
employee must always be designated as the responsible agent for all security requirements and
functions. This section outlines the roles and responsibilities for implementing these
requirements.
2.1
Information Security Program Roles
Designated personnel play a major role in the planning and implementation of information
security requirements. Roles directly responsible for information system security are described in
the following subsections.
2.1.1 DHS Senior Agency Information Security Officer
Policy
ID
2.1.1.a
DHS Policy Statements
Relevant
Controls
The DHS CISO shall perform the duties and responsibilities of the DHS Senior
Agency Information Security Officer (SAISO).
PL-1,
PM-2
2.1.2 DHS Chief Information Security Officer
The DHS CISO shall implement and manage the DHS Information Security Program to ensure
compliance with applicable Federal laws, Executive Orders, directives, policies, and regulations.
The DHS CISO reports directly to the DHS CIO and is the principal advisor for information
security matters.
Policy
ID
DHS Policy Statements
2.1.2.a
The DHS CISO shall implement and manage the DHS-wide Information
Security Program.
2.1.2.b
The DHS CISO will serve as the CIO’s primary liaison with the organization’s
authorizing officials, information system owners and ISSOs.
Relevant
Controls
PL-1,
PM-2
---
The DHS CISO:
Implements and manages the Department-wide Information Security Program and ensures
compliance with FISMA, OMB, and other Federal requirements
•
Issues Department-wide information security policy, guidance, and architecture requirements
for all DHS systems and networks. These policies shall incorporate NIST guidance, as well
as all applicable OMB memoranda and circulars
•
Facilitates development of subordinate plans for providing adequate information security for
networks, facilities, and systems or groups of information systems
12
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Serves as the principal Departmental liaison with organizations outside the DHS for matters
relating to information security
•
Reviews and approves the tools, techniques, and methodologies planned for use in certifying
and accrediting DHS systems, and for reporting and managing systems-level FISMA data.
This includes Security Assessment plans, Contingency Plans, and security risk assessments.
•
Consults with the DHS CSO on matters pertaining to physical security, personnel security,
information security, investigations, and Sensitive Compartmented Information (SCI)
systems, as they relate to information security and infrastructure
•
Develops and implements procedures for detecting, reporting, and responding to information
security incidents
•
Ensures preparation and maintenance of plans and procedures to provide continuity of
operations for information systems
•
Ensures that Department personnel, contractors, and others working on behalf of DHS
receive appropriate information security awareness
•
Chairs the CISO Council. This Council is comprised of all Component CISOs, and is the
Department’s sole coordination body for any issues associated with information security
policy, management, and operations. Component ISSMs will be invited to CISO Council
meetings as required
•
Maintains a comprehensive inventory of all GSS and MA in use within the Department
o Security management for every GSS shall be under the direct oversight of either the DHS
CISO (for enterprise systems) or a Component CISO/ISSM (for Component-specific
general support systems)
o MAs must be under the direct control of either a Component CISO or Component ISSM
•
Maintains a repository for all Information Assurance (IA) Security Authorization process
documentation and modifications
•
Performs security reviews for all planned information systems acquisitions over $2.5 million
and additional selected cases
•
Provides oversight of all security operations functions within the Department
•
Maintains classified threat assessment capability in support of security operations
•
Performs annual program assessments for each of the Components
•
Performs periodic compliance reviews for selected systems and applications
•
Publishes monthly compliance scorecards
•
Delegates specific authorities and responsibilities for maintaining a high degree of
compliance to Component CISOs and ISSMs, as appropriate
•
Reports annually to the Secretary on the effectiveness of the Department information security
program, including progress of remedial actions. This report provides the primary basis for
the Secretary’s annual FISMA report to both OMB and to the United States Congress.
13
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Assists senior Department officials concerning their responsibilities under FISMA
•
Heads an office with the mission and resources to assist in ensuring Department compliance
with information security requirements
•
Appoints a DHS employee to serve as the Headquarters CISO
•
Appoints a DHS employee to serve as the Office of Intelligence and Analysis (I&A) CISO
•
Provide operational direction to the DHS SOC
2.1.3 Component Chief Information Security Officer
The Component CISO implements and manages all aspects of the Component Information
Security Program to ensure compliance with DHS policy and guidance that implement FISMA,
other laws, and Executive Orders.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.1.3.a
Component CISOs shall develop and maintain a Component-wide information
security program in accordance with the DHS security program.
PL-1,
PM-2
2.1.3.b
All Components shall be accountable to the appropriate CISO. Components
without a fulltime CISO shall be responsible to the HQ CISO.
The following Components shall have a fulltime CISO:
•
Customs and Border Protection
•
Immigration and Customs Enforcement
•
Transportation Security Administration
•
United States Secret Service
•
United States Coast Guard
•
Federal Emergency Management Agency
•
United States Citizenship and Immigration Services
•
Federal Law Enforcement Training Center
•
Headquarters, Department of Homeland Security
•
Intelligence and Analysis
Component CISOs:
•
Oversee the Component information security program
•
Ensure that the Component CIO is kept apprised of all pertinent matters involving the
security of information systems
14
v8.0, March 14, 2011
---
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Ensure that information security-related decisions and information, including updates to the
4300 series of information security publications, are distributed to the ISSOs and other
appropriate persons within their Component
•
Approve and/or validate all Component information system security reporting
•
Consult with the Component Privacy Officer or PPOC for reporting and handling of privacy
incidents
•
Manage information security resources including oversight and review of security
requirements in funding documents
•
Review and approve the security of hardware and software prior to implementation into the
Component SOC
•
Provide operational direction to the Component SOC
•
Periodically test the security of implemented systems
•
Implement and manage a POA&M process for remediation by creating a POA&M for each
known vulnerability
•
Ensure that ISSOs are appointed for each information system managed at the Component
level. Review and approve ISSO appointments
•
Ensure that weekly incident reports are submitted to the DHS EOC
•
Acknowledge receipt of ISVM messages, report compliance with requirements or notify the
granting of waivers
•
Manage Component firewall rule sets
•
Ensure that Interconnection Security Agreements (ISAs) are maintained for all connections
between systems that do not have the same security policy
•
Ensure execution of the DHS Logging Strategy detailed in the DHS 4300A Sensitive Systems
Handbook
•
Ensure adherence to the DHS Secure Baseline Configuration Guides (DHS 4300A Sensitive
Systems Handbook, Enclosure 1)
•
Ensure reporting of vulnerability scanning activities to the DHS EOC as detailed in
Attachment O, Vulnerability Management Program, of DHS 4300A Sensitive Systems Handbook
•
Develop and maintain a Component-wide information security program in accordance with
Department policies and guidance
•
Implement Department information security policies, procedures, and control techniques to
address all applicable requirements
•
Ensure training and oversight for personnel with significant responsibilities for information
security
•
Oversee the Security Authorization process for GSSs and MAs in use within the Component
o Maintain an independent Component-wide Assessment program to ensure a
consistent approach to testing of effectiveness of controls
15
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
o Ensure that an appropriate SOC performs an independent network assessment as part
of the assessment process for each application that is accredited
o Ensure that enterprise security tools are utilized
•
Exercise oversight over all Component security operations functions, including the
Component SOCs
Ensure that eternal providers who operate information systems on behalf of the Component
meet the same security requirements as the Component with an acceptable level of trust in
the external service, or else use compensating controls to constrain the nature of information
or the process flow, accept a greater degree of risk, or decline the service and reduce
functionality
Component CISO qualifications include:
•
Possess professional qualifications, including training and experience, required to administer
the functions described, including maintaining a Top Secret/Sensitive Compartmented
Information (TS/SCI) clearance
•
Have information security duties as that official’s primary duty
•
Participate in the DHS CISO Council, chaired by the DHS CISO
•
Head an office with the mission and resources to assist in ensuring Component compliance
with this directive and to coordinate, develop, implement, and maintain an organization-wide
information security program
•
Serve as the Component Risk Executive
2.1.4 Component Information Systems Security Manager
Components that are not required to have a fulltime CISO shall have a fulltime Information
Systems Security Manager (ISSM). The ISSM is designated in writing by the Component CIO,
with the concurrence of the HQ CISO.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.1.4.a
Component ISSMs shall serve as the principal interface between the HQ
CISO, Component ISSOs and other security practitioners.
---
2.1.4.b
The Component ISSM shall work directly with the HQ CISO.
---
The ISSM plays a critical role in ensuring that the DHS Information Security Program is
implemented and maintained throughout the Component.
Component ISSMs:
•
Oversee the Component information security program
•
Ensure that the Component CIO and HQ CISO are kept apprised of all pertinent matters
involving the security of information systems
16
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Ensure that information security-related decisions and information, including updates to the
4300 series of information security publications, are distributed to the ISSOs and other
appropriate persons within their Component
•
Validate all Component information system security reporting
•
Consult with the Component Privacy Officer or PPOC for reporting and handling of privacy
incidents
•
Manage information security resources including oversight and review of security
requirements in funding documents
•
Periodically test the security of implemented systems
•
Implement and manage a POA&M process for remediation by creating a POA&M for each
known vulnerability
•
Ensure that ISSOs are appointed for each information system managed at the Component
level
•
Ensure that weekly incident reports are forwarded to the HQ CISO
•
Acknowledge receipt of Information Security Vulnerability Management (ISVM) messages,
report compliance with requirements or notify the granting of waivers
•
Ensure adherence to the DHS Secure Baseline Configuration Guides (DHS 4300A Sensitive
Systems Handbook, Enclosure 1)
•
Develop and publish procedures necessary to implement the requirements of DHS
information security policy within the appropriate Component
•
Implement Department information security policies, procedures, and control techniques to
address all applicable requirements
•
Ensure training and oversight for personnel with significant responsibilities for information
security
•
Oversee the Security Authorization process for MAs in use within the Component
o Maintain an independent Component-wide ST&E Program to ensure a consistent
approach to testing of effectiveness of controls
o Ensure that an appropriate SOC performs an independent network assessment as part
of the ST&E process for each application that is accredited
o Ensure that enterprise security tools are utilized
2.1.5 Risk Executive
A Risk Executive ensures that risks are managed consistently across the organization. In keeping
with its organizational structure, DHS has two levels of Risk Executives – Departmental and
Component. The risk executive provides a holistic view of risk beyond that associated with the
operation and use of individual information systems. Risk Executive inputs are documented and
become part of the security authorization decision. All DHS Risk Executives:
17
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Ensure that managing information system-related security risks is consistent across the
organization, reflects organizational risk tolerance, and is performed as part of an
organization-wide process that considers other organizational risks affecting
mission/business success
•
Ensure that information security considerations for individual information systems, including
the specific authorization decisions for those systems, are viewed from an organization-wide
perspective with regard to the overall strategic goals and objectives of the organization
•
Provide visibility into the decisions of authorizing officials and a holistic view of risk to the
organization beyond the risk associated with the operation and use of individual information
systems
•
Facilitate the sharing of security-related and risk-related information among authorizing
officials and other senior leaders within the organization in order to help these officials
consider all types of risks that may affect mission and business success and the overall
interests of the organization at large
The DHS Risk Executive develops information security policy, establishes the standards for
system security risk, oversees risk management and monitoring, and approves all waivers and
exceptions to DHS policy.
The Component Risk Executives may establish standards for system security risk more stringent
than the DHS standard. They implement the system security risk management and monitoring
program and submit requests for higher-risk deviations from the enterprise standard.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.1.5.a
The DHS CIO shall be the DHS Risk Executive. (The DHS CISO has been
designated by the DHS CIO as the Risk Executive.)
PL-1,
PM-9
2.1.5.b
Each Component CISO shall be the Risk Executive within his or her
Component.
PL-1,
PM-9
2.1.5.c
The Risk Executive shall perform their duty in accordance with NIST SP 80037.
2.1.6 Authorizing Official
The Authorizing Official (AO) formally assumes responsibility for operating an information
system at an acceptable level of risk. He or she shall be a senior management official and a
Federal employee or military member. The Authorizing Official will also assign the Security
Control Assessor for the system.
Policy
ID
2.1.6.a
DHS Policy Statements
The DHS CIO shall act as the AO for enterprise information systems or shall
designate one in writing.
18
v8.0, March 14, 2011
Relevant
Controls
CA-6
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
2.1.6.b
The Component CIO shall act as the AO for Component information systems
or shall designate one in writing.
CA-6
2.1.6.c
Every system shall have a designated AO. (An AO may be responsible for
more than one system.)
CA-6
2.1.6.d
The AO shall review and approve any individual requiring administrator
privileges. The AO may delegate this duty to the appropriate system owner or
Program Manager.
AC-2
2.1.6.e
The AO shall be responsible for acceptance of resulting risk to organizational
operations and assets, individuals, other organizations, and the Nation.
CA-6
2.1.6.f
The AO shall periodically review security status to determine if risk remains
acceptable
CA-6
2.1.6.g
The AO shall perform additional duties in accordance with NIST SP 800-37
CA-6
2.1.7 Security Control Assessor
The Security Control Assessor is a senior management official who certifies the results of the
security assessment. A Certifying Official is assigned in writing to each information system by
an appropriate Component official, typically the Component Head or Component CIO. He or she
shall be a Federal employee.
The Security Control Assessor and the team conducting a certification must be impartial, that is,
free from any perceived or actual conflicts of interest with respect to the developmental,
operational, and/or management chain of command associated with the information system or to
the determination of security control effectiveness.
For systems with low impact, a Security Control Assessor and/or certifying team do not need to
be independent so long as assessment results are carefully reviewed and analyzed by an
independent team of experts to validate their completeness, consistency, and veracity.
The AO decides the required level of certifier independence based on the criticality and
sensitivity of the information system and the ultimate risk to organizational operations,
organizational assets, and individuals. The AO determines if the level of certifier independence
is sufficient to provide confidence that the assessment results produced are sound and can be
used to make credible, risk-based decisions.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.1.7.a
The Component CISO shall serve as Security Control Assessor when no
other person has been officially designated.
CA-2
2.1.7.b
A Security Control Assessor may be responsible for more than one system.
CA-2
19
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
2.1.7.c
The Security Control Assessor may take the lead for any or all remedial
actions.
CA-7
2.1.7d
The Security Control Assessor provides an assessment of the severity of
weaknesses or deficiencies in the information systems, and clarifies they
prepare the final security assessment report containing the results and findings
from the assessment but not making a risk determination.
CA-7
2.1.8 Information Systems Security Officer
An ISSO performs security actions for an information system. There is only one ISSO
designated to a system, but multiple Alternate ISSOs may be designated to assist the ISSO.
While the ISSO performs security functions, the System Owner is always responsible for
information system security.
See DHS 4300A Sensitive Systems Handbook, Attachment C – Information Systems Security
Officer (ISSO) Designation Letter.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.1.8.a
An ISSO shall be designated for every information system and serve as the
point of contact (POC) for all security matters related to that system.
PL-1
2.1.8.b
An ISSO shall ensure the implementation and maintenance of security controls
in accordance with the Security Plan (SP) and DHS policies.
PL-1
2.1.8.c
An ISSO may be a DHS employee or a contractor.
PL-1
2.1.8.d
An ISSO may be assigned to more than one system.
PL-1
2.1.8.e
ISSO duties shall not be assigned as collateral duties unless approved by the
Component CISO.
PL-1
2.1.8.f
The ISSO shall have a clearance greater than or equal to the highest level of
information contained on the system. The minimum clearance for an ISSO
shall be Secret.
2.2
Other Roles
Roles related to, but not directly responsible for, information system security are described in the
following subsections.
2.2.1 Secretary of Homeland Security
The Secretary of Homeland Security is responsible for fulfilling the Department’s mission,
which includes ensuring that DHS information systems and their data are protected in
20
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
accordance with Congressional and Presidential directives. The Secretary’s role with respect to
information system security is to allocate adequate resources.
To that end, the Secretary:
•
Ensures that DHS implements its Information Security Program throughout the life cycle of
each DHS system
•
Submits (1) the DHS CIO’s assessment of the adequacy and effectiveness of the
Department’s information security procedures, practices, and FISMA compliance, (2) the
results of an annual independent information security program evaluation performed by the
DHS Office of the Inspector General (OIG), and (3) the Senior Agency Official for Privacy’s
(SAOP) annual assessment of the Department’s privacy policies, procedures, and practices to
the Director of OMB
•
Provides information security protections commensurate with the risk and magnitude of the
harm resulting from unauthorized access, use, disclosure, disruption, modification, or
destruction of information collected or maintained by or on behalf of the Department, and on
information systems used or operated by the Department, or by a contractor or other
organization on behalf of the Department
•
Ensures that an information security program is developed, documented, and implemented to
provide security for all systems, networks, and data that support the Department’s operations
•
Ensures that information security processes are integrated with strategic and operational
planning processes to secure the Department’s mission
•
Ensures that senior agency officials within the Department are given the necessary authority
to secure the operations and assets under their control
•
Delegates authority to the CIO to ensure compliance with applicable information security
requirements
2.2.2 Under Secretaries and Heads of DHS Components
The Under Secretaries and the heads of DHS Components are responsible for oversight of the
Component information security program, including appointing CIOs. Persons filling this role
allocate adequate resources to information systems for information system security.
Policy
ID
2.2.2.a
DHS Policy Statements
The Under Secretaries of Homeland Security and Heads of Components shall
ensure that information systems and their data are sufficiently protected.
Relevant
Controls
PL-1
Under Secretaries and the Heads of DHS Components:
•
Appoint CIOs
•
Ensure that an Information Security Program is established and managed in accordance with
DHS policy and implementation directives
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Ensure that the security of information systems is an integral part of the life cycle
management process for all information systems developed and maintained within their
Components
•
Ensure that adequate funding for information security is provided for Component
information systems and that adequate funding requirements are included for all information
systems budgets
•
Ensure that information system data are entered into the appropriate DHS Security
Management Tools to support DHS information security oversight and FISMA reporting
requirements
•
Ensure that the requirements for an information security performance metrics program are
implemented and the resulting data maintained and reported
2.2.3 DHS Chief Information Officer
The DHS CIO is the senior agency executive responsible for all DHS information systems and
their security as well as for ensuring FISMA compliance.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.2.3.a
The DHS CIO shall develop and maintain the DHS Information Security
Program.
PL-1
2.2.3.b
The DHS CIO designates the DHS CISO.
PL-1
The DHS CIO:
•
Oversees the development and maintenance of a Department-wide information security
program
•
Appoints a DHS employee in writing to serve as the DHS CISO
•
Serves as the AO for DHS enterprise information systems. This responsibility may be
delegated in writing as appropriate
•
Participates in developing DHS performance plans, including descriptions of the time periods
and budget, staffing, and training resources required to implement the Department-wide
security program
•
Ensures that all information systems acquisition documents, including existing contracts,
include appropriate information security requirements and comply with DHS information
security policies
•
Ensures that DHS security programs integrate fully into the DHS enterprise architecture and
capital planning and investment control processes
•
Ensures that System Owners understand and appropriately address risks, including
interconnectivity with other programs and systems outside their control
•
Reviews and evaluates the DHS Information Security Program annually
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Ensures that an information security performance metrics program is developed,
implemented, and funded
•
Reports to the DHS Under Secretary for Management on matters relating to the security of
DHS systems
•
Ensures compliance with applicable information security requirements
•
Heads an office with the mission and resources to assist in ensuring Component compliance
with the DHS Information Security Program
•
Coordinates and advocates resources for enterprise security solutions
•
Leads the DHS Contingency Planning program
2.2.4 Component Chief Information Officer
The Component CIO is responsible for Component information systems and their security as
well as for ensuring FISMA compliance within the Component.
Policy
ID
2.2.4.a
DHS Policy Statements
Relevant
Controls
The Component CIO shall develop and maintain the Component Information
Security Program.
PL-1,
PM-1
Component CIOs:
•
Establish and oversee their Component information security programs
•
Ensure that an AO has been appointed for all Component information systems and serve as
the AO for any information system where an AO has not been appointed or where a vacancy
exists
•
Ensure that information security concerns are addressed by Component Configuration
Control Boards, Enterprise Architecture Board (EAB), and Acquisition Review Board
(ARB)/Investment Review Board (IRB)
•
Ensure that an accurate information systems inventory is established and maintained
•
Ensure that all information systems acquisition documents, including existing contracts,
include appropriate information security requirements and comply with DHS information
security policies
•
Ensure that System Owners understand and appropriately address risks, including
interconnectivity with other programs and systems outside their control
•
Ensure that an information security performance metrics program is developed, implemented,
and funded
•
Advise the DHS CIO of any issues regarding infrastructure protection, vulnerabilities or
issues that may cause public concern or loss of credibility
•
Ensure that incidents are reported to the DHS EOC within reporting time requirements as
defined in Attachment F, Incident Response of the DHS Sensitive Systems Handbook
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
•
Work with the DHS CIO and Public Affairs Office in preparation for public release of
security incident information. The DHS CIO, or designated representative, has sole
responsibility for public release of security incident information.
•
Ensure compliance with DHS information systems security policy
•
Coordinate and advocate resources for information security enterprise solutions
The following Component CIOs shall appoint a CISO and ensure that the CISO has resources to
assist with Component compliance with policy. CISOs shall be DHS employees.
•
Customs and Border Protection
•
Immigration and Customs Enforcement
•
Transportation Security Administration
•
United States Secret Service
•
United States Coast Guard
•
Federal Emergency Management Agency
•
United States Citizenship and Immigration Services
•
Federal Law Enforcement Training Center
All other Component CIOs:
•
Ensure that Component ISSMs have been appointed and provide the resources and qualified
personnel to ensure Component compliance with DHS security policy
2.2.5 DHS Chief Security Officer
The DHS Chief Security Officer (CSO) implements and manages the DHS Security Program for
DHS facilities and personnel.
The CSO is a senior agency official who reports directly to the Deputy Secretary on all matters
pertaining to facility and personnel security within the DHS.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.2.5.a
DHS information systems that control physical access shall be approved to
operate in accordance with this policy document, whether they connect to
other DHS information systems or not.
CA-1
2.2.5.b
The DHS CSO shall be the AO for all systems automating or supporting
physical access controls or shall appoint an AO for each of those systems.
CA-6
2.2.6 DHS Chief Privacy Officer
The DHS Chief Privacy Officer is the head of the DHS Privacy Office and oversees privacy
activities throughout DHS.including creating and ensuring compliance with privacy policy. The
DHS Chief Privacy Officer assists the Component Privacy Officers and Privacy Points of
Contact (PPOC) with privacy policy compliance at the Component level.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
The DHS Chief Privacy Officer implements and manages the DHS Privacy Program, including
creating DHS privacy policy and ensuring compliance with privacy policy. The DHS Chief
Privacy Officer is responsible for DHS privacy policy and its compliance. The DHS Chief
Privacy Officer assists the Component Privacy Officers and PPOC with policy compliance at the
Component level.
Policy
ID
2.2.6.a
DHS Policy Statements
Relevant
Controls
The Chief Privacy Officer shall review program and system Privacy Threshold
Analyses (PTA), Privacy Impact Assessments (PIA), and System of Records
Notices (SORN), providing approval as appropriate.
PL-1,
PL-5
The Chief Privacy Officer, as the senior official:
•
Oversees privacy incident management
•
Responds to suspected or confirmed privacy incidents or incidents involving PII
•
Coordinates with the DHS CIO, DHS CISO, the DHS EOC, and senior management
regarding privacy incidents
•
Convenes and chairs incident response teams, such as the Privacy Incident Response Team
(PIRT) and the Core Management Group (CMG)
•
Approves program and system PTAs, PIAs, and SORNs
•
Designates Privacy Sensitive Systems based on validated PTAs. Privacy Sensitive Systems
are those that maintain PII
•
Provides Department-wide annual and refresher privacy training
2.2.7 DHS Chief Financial Officer
The DHS CFO implements and manages the DHS Financial Program, including oversight of
DHS financial systems. The DHS CFO designates financial systems and oversees security
control definitions for financial systems.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.2.7.a
The DHS CFO shall be the AO for all financial systems managed at the DHS
level.
CA-6
2.2.7.b
The Component CFO shall be the AO for all financial systems managed by the
Component.
CA-6
2.2.7.c
The DHS CFO shall designate the financial systems that fall under the DHS
CFO mandated policy statements.
CA-6
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
2.2.7.d
DHS Policy Statements
The DHS CFO shall publish a comprehensive list of designated financial
systems during the fourth quarter of every fiscal year. (This list shall be
referred to as the CFO Designated Systems List.)
Relevant
Controls
CA-6
All systems on the CFO Designated Systems List are required to conform with the policies
defined in Sections 3.5.1 and 3.15.
2.2.8 Program Managers
Program Managers ensure compliance with applicable Federal laws and DHS policy directives
governing the security, operation, maintenance, and privacy protection of information systems,
information, projects, and programs under their control.
Program Managers are responsible for program-level POA&Ms that may impact one or more
systems.
Policy
ID
DHS Policy Statements
Relevant
Controls
2.2.8.a
Program Managers shall ensure that program POA&Ms are prepared and
maintained.
CA-5,
PM-4
2.2.8.b
Program Managers shall prioritize security weaknesses for mitigation.
CA-5
2.2.8.c
Program Managers shall provide copies of program POA&Ms to affected
System Owners.
CA-5,
PM-4
2.2.8.d
Program Managers shall ensure that POA&Ms address the following:
known vulnerabilities in the information system
the security categorization of the information system
the specific weaknesses or deficiencies in the information
system security controls
the importance of the identified security control weakness or
deficiencies
the Component’s proposed risk mitigation approach to address
the identified weaknesses or deficiencies in the security controls
CA-5
the Component’s rationale for accepting certain weaknesses or
deficiencies in the security controls.
2.2.9 System Owners
System Owners use information technology to help achieve the mission needs within their
program area of responsibility. They are responsible for the successful operation of the
information systems and programs within their program area and are ultimately accountable for
their security. All systems require a System Owner designated in writing for proper
administration of security.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
2.2.9.a
System Owners shall ensure that each of their systems is deployed and
operated in accordance with this policy document.
PL-1
2.2.9.b
System Owners shall ensure that an ISSO is designated in writing for each
information system under their purview.
PL-1
2.2.9.c
There shall be only one System Owner designated for each DHS
system.
PL-1
2.2.9.d
The Information System Owner shall information security compliance,
development and maintenance of security plans, user security training,
notifying officials of the need for security authorization and need to resource.
CA-2
2.2.9.e
System Owners shall ensure development of a POA&M to address weaknesses
and deficiencies in the information system and its environment of operation
which remain after Security Authorization.
CA-2
2.2.10 Common Control Provider
The Common Control Provider is an organizational official responsible for the planning,
development, implementation, assessment, authorization, and maintenance of common controls.
2.2.10.a
The Common Control Provider shall document all common controls and PM-1
submit them to the AO and DHS CISO.
2.2.10.b
The Common Control Provider ensures that required assessments of
common controls are carried out by qualified assessors with the
appropriate level of independence.
PM-1
2.2.10.c
The Common Control Provider documents assessment findings in a
security assessment report.
PM-1
2.2.10.d
The Common Control Provider ensures that POA&Ms are developed for PM-4
all controls having weaknesses or deficiencies.
2.2.10.e
The Common Control Provider shall make available security plans,
Security Assessment Reports (SARs), and POA&Ms for common
controls to information system owners inheriting those controls after the
information is reviewed and approved by a senior official.
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PM-1,
PM-4
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
2.2.11 DHS Employees, Contractors, and Others Working on Behalf of DHS
DHS employees, contractors, and others working on behalf of the DHS or its agencies shall
follow the appropriate set(s) of rules of behavior.
Policy
ID
2.2.11.a
DHS Policy Statements
DHS users shall follow prescribed rules of behavior.
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Relevant
Controls
PL-4
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
3.0
MANAGEMENT POLICIES
3.1
Basic Requirements
Basic security management principles must be followed in order to ensure the security of DHS
information resources. These principles are applicable throughout the Department and form the
cornerstone of the DHS Information Security Program.
Component CISOs/ISSMs shall submit all security reports concerning DHS systems to the
Component senior official or designated representative. Component CISOs/ISSMs shall interpret
and manage DHS security policies and procedures to meet Federal, Departmental, and
Component requirements. They shall also answer data queries from the DHS CISO and develop
and manage information security guidance and procedures unique to Component requirements.
ISSOs are the primary points of contact for the information systems assigned to them. They
develop and maintain Security Plans (SP) and are responsible for overall system security.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.1.a
Every DHS computing resource (e.g., desktops, laptops, servers, portable
electronic devices) shall be individually accounted for as part of a recognized
information system.
CM-8
3.1.b
The Component CIO, in cooperation with each Component senior official,
shall be responsible for ensuring that every DHS computing resource is
identified as an information system or as a part of an information system
(major application or general support system).
CM-8
3.1.c
The System Owner or designee shall develop and maintain an SP for each
information system. Component AOs shall review and approve SPs.
PL-2
3.1.d
An ISSO shall be designated for every information system and serve as the
point of contact (POC) for all security matters related to that system.
PL-1
3.1.e
Component Information Security Programs shall be structured to support DHS
and applicable FISMA, OMB, and other Federal requirements.
PL-1
3.1.f
Information security reports regarding DHS systems shall be submitted to the
Component senior official or designated representative.
---
3.1.g
Component CISOs/ISSMs shall ensure that their information systems comply
with the DHS Enterprise Architecture (EA) Technical Reference model (TRM)
and Security Architecture (SA) or maintain a waiver, approved by the DHS
CIO/CISO.
3.1.h
The DHS CISO shall issue Department-wide information security policy,
guidance, and architecture requirements for all DHS systems.
CM-2,
CM-6
Component CISOs shall implement DHS information security policies,
procedures, and control techniques to address all applicable requirements.
PL-1
3.1.i
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PL-1
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
3.1.j
3.2
DHS Policy Statements
Component CISOs shall develop and manage information security guidance
and procedures unique to Component requirements.
Relevant
Controls
PL-1
Capital Planning and Investment Control
Information security is a business driver and any risks found through security testing are
ultimately business risks. Information security personnel should be involved, to the maximum
extent possible, in all aspects of the acquisition process, including drafting contracts, and
procurement documents. Directive 102-01, Acquisition Management Directive and MD 4200.1,
IT Capital Planning and Investment Control (CPIC), and Portfolio Management provide
additional information on these requirements.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.2.a
System Owners shall include information security requirements in their CPIC
business cases for the current budget year and for the Future Years Homeland
Security Program (FYHSP) for each DHS system.
PM-3,
PM-11,
SA-1
3.2.b
System Owners or AOs shall ensure that information security requirements
and POA&Ms are adequately funded, resourced and documented in
accordance with current OMB budgetary guidance.
PM-3,
PM-4,
SA-2
3.2.c
Component IRBs/ARBs shall not approve any capital investment in which the
information security requirements are not adequately defined and funded.
PM-3,
SA-2
3.2.d
The DHS CISO shall perform security reviews for planned information system
acquisitions over $2.5 million and additional selected cases.
SA-1
3.2.e
Components shall ensure that information security requirements as described
within this policy document are included in the acquisition of all DHS systems
and services used to input, process, store, display, or transmit sensitive
information.
SA-4
3.2.f
Procurement authorities throughout the Department shall ensure that
Homeland Security Acquisition Regulation (HSAR) provisions are fully
enforced.
SA-1,
SA-4
3.2.g
Procurements for services and products involving facility or system access
control shall be in accordance with the DHS guidance regarding HSPD-12
implementation.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
3.3
Contractors and Outsourced Operations
Policy
ID
3.4
DHS Policy Statements
Relevant
Controls
3.3.a
All statements of work and contract vehicles shall identify and document the
specific security requirements for information system services and operations
required of the contractor.
SA-4
3.3.b
Contractor information system services and operations shall adhere to all
applicable DHS information security policies.
SA-9
3.3.c
Requirements shall address how sensitive information is to be handled and
protected at contractor sites, including any information stored, processed, or
transmitted using contractor information systems. Requirements shall also
include requirements for personnel background investigations and clearances,
and facility security.
SA-9
3.3.d
Statements of work and contracts shall include a provision stating that, upon
the end of the contract, the contractor shall return all information and
information resources provided during the life of the contract and certify that
all DHS information has been purged from any contractor-owned system used
to process DHS information.
SA-4
3.3.e
Components shall conduct reviews to ensure that the information security
requirements are included within the contract language and are implemented
and enforced.
SA-1
3.3.f
Security deficiencies in any outsourced operation shall require creation of a
program-level POA&M.
SA-9,
PM-4
Performance Measures and Metrics
Policy
ID
DHS Policy Statements
Relevant
Controls
3.4.a
The DHS CISO shall define performance measures to evaluate the
effectiveness of the DHS information security program.
---
3.4.b
Components shall provide OMB FISMA data at least monthly to the DHS
Compliance Officer.
---
3.4.c
The DHS CISO shall report annually to the Secretary on the effectiveness of
the DHS information security program, including the progress of remedial
actions.
---
3.4.d
Components shall utilize the automated tool directed for use by the DHS CISO
for Performance Plan reporting.
---
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
3.4.e
3.5
DHS Policy Statements
The DHS CISO shall collect OMB FISMA data from Components at least
quarterly and provide FISMA reports to OMB.
Relevant
Controls
---
Continuity Planning for Critical DHS Assets
The Continuity Planning for Critical DHS Assets Program is vital to the success of the DHS
Information Security Program. The Business Impact Assessment (BIA), which is part of the
Contingency, is essential in the identification of critical DHS assets. Once critical systems are
identified, continuity planning shall address the following two complementary but different
elements:
•
Continuity of Operations Planning (COOP)
•
Contingency Planning (CP)
3.5.1 Continuity of Operations Planning
Policy
ID
DHS Policy Statements
Relevant
Controls
3.5.1.a
When available, a DHS-wide process for continuity planning shall be used in
order to ensure continuity of operations under all circumstances.
CP-2
3.5.1.b
Components shall develop, test, implement, and maintain comprehensive
Continuity of Operations Plans (COOP) to ensure the continuity and recovery
of essential DHS functionality.
CP-2,
CP-4
3.5.1.c
All CISOs/ISSMs shall ensure that all COOPs under their purview are tested
and exercised annually.
CP-4
3.5.1.d
All CFO Designated Systems requiring high availability shall be identified in
COOP plans and exercises.
CP-1
3.5.1.e
All personnel involved in COOP efforts shall be identified and trained in the
procedures and logistics of COOP development and implementation.
AT-3,
CP-3
3.5.1.f
To ensure that accounts can be created in the absence of the usual account
approval authority, systems that are part of the Critical DHS Assets Program
shall have provisions to allow a Component CISO/ISSM or Component CIO to
approve new user accounts as part of a COOP scenario.
AC-2
3.5.1.g
Each Component shall compile and maintain a list of mission-critical
information systems in support of COOP.
CM-8,
CP-1
3.5.1.h
The DHS and Component CISOs/ISSMs shall ensure preparation and
maintenance of plans and procedures to provide continuity of operations for
information systems.
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CP-1
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
3.5.1.i
DHS Policy Statements
DHS information systems that are part of the DHS Continuity Planning for
Critical DHS Assets Program shall be provided requirements for system-level
contingency planning by a Component Contingency Planning Program Office
or by a DHS Contingency Planning Program Office.
Relevant
Controls
---
3.5.2 Contingency Planning
Policy
ID
DHS Policy Statements
Relevant
Controls
3.5.2.a
The DHS CIO shall provide guidance, direction, and authority for a standard
DHS-wide process for contingency planning for all DHS Components.
CP-1
3.5.2.b
System Owners shall develop and document information system Contingency
Plans (CPs) for their programs, manage plan changes, and distribute copies of
the plan to key contingency personnel. Component CIOs shall review and
approve Component-level information system CPs.
CP-1,
CP-2
3.5.2.c
Components shall ensure implementation of backup policy and procedures for
every Component information system.
CP-9
3.5.2.d
The DHS CIO shall ensure that each system has contingency capabilities
commensurate with the availability security objective. The minimum
contingency capabilities for each impact level follow:
High – System functions and information have a high priority for recovery
after a short period of loss.
Moderate – System functions and information have a moderate priority for
recovery after a moderate period of loss.
Low – System functions and information have a low priority for recovery after
prolonged loss.
CP-1
3.5.2.e
CPs shall be developed and maintained by all DHS Components in accordance
with the requirements for the FIPS 199 potential impact level for the
availability security objective. These plans shall be based on three essential
phases: Activation/Notification, Recovery, and Reconstitution. Components
shall review the CP for the information system at least annually and revise the
plan to address system/organizational changes or problems encountered during
plan implementation, execution, or testing.
CP-1,
CP-2
3.5.2.f
The DHS CIO shall ensure that CP testing is performed in accordance with the
availability security objective. The minimum contingency testing for each
impact level follows:
High – System recovery roles, responsibilities, procedures, and logistics in the
CP shall be used to recover from a simulated contingency event at the alternate
processing site within a year prior to accreditation. The system recovery
procedures in the CP shall be used to simulate system recovery in a test facility
at least annually.
CP-4,
CP-7
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Policy
ID
DHS Policy Statements
Relevant
Controls
Moderate – The CP shall be tested at least annually by reviewing and
coordinating with organizational elements responsible for plans within the CP.
This is achieved by performing a walk-through/tabletop exercise.
Low – CP contact information shall be verified at least annually.
3.5.2.g
The DHS CIO shall ensure that contingency training is performed in
accordance with the availability security objective. The minimum contingency
planning for each impact level follows:
High – All personnel involved in contingency planning efforts shall be
identified and trained in their contingency planning and implementation roles,
responsibilities, procedures, and logistics. This training shall incorporate
simulated events. Refresher training shall be provided at least annually.
Moderate – All system personnel involved in contingency planning efforts
shall be trained. Refresher training shall be provided at least annually.
Low – There is no training requirement.
CP-3
3.5.2.h
Components shall coordinate as appropriate CP testing and/or exercises with
COOP related plans for systems with moderate and high availability FIPS-199
categorization.
CP-4
3.6
System Engineering Life Cycle
Directive 102-01, Acquisition Management Directive, Appendix B, contains the DHS Systems
Engineering Life Cycle (SELC).
Policy
ID
3.7
DHS Policy Statements
Relevant
Controls
3.6.a
Components shall ensure that system security is integrated into all phases of
the Systems Engineering Life Cycle (SELC).
SA-3
3.6.b
Components shall ensure that security requirements for sensitive information
systems are incorporated into life-cycle documentation.
SA-3
3.6.c
The Program Manager shall review, approve, and sign all custom-developed
code prior to deployment into production environments. The Program Manager
may delegate this authority to another DHS employee in writing. This
authority shall not be delegated to contractor personnel.
RA-5
Configuration Management
Configuration management (CM) relates to managing the configuration of all hardware and
software elements within information systems and networks. CM within DHS consists of a multilayered structure – policy, procedures, processes, and compliance monitoring. Each Component
shall utilize appropriate levels of configuration management.
CM applies to all systems, subsystems, and components of the DHS infrastructure, thereby
ensuing implementation, and continuing life-cycle maintenance. CM begins with baselining of
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
requirements documentation and ends with decommissioning of items no longer used for
production or support.
The CM discipline applies to hardware, including power systems, software, firmware,
documentation, test and support equipment, and spares. A Change Management Process ensures
that documentation associated with an approved change to a DHS system is updated to reflect the
appropriate baseline, including an analysis of any potential security implications. The initial
configuration must be documented in detail and all subsequent changes must be controlled
through a complete and robust CM process. Configuration management has security implications
in three areas:
•
Ensuring that the configuration of subordinate information system elements are consistent
with the Security Authorization Process requirements of the parent system
•
Ensuring that any subsequent changes, including an analysis of any potential security
implications, are approved
•
Ensuring that all recommended and approved security patches are properly installed
DHS Sensitive Systems Handbook, Enclosure 1, includes the DHS Secure Baseline
Configuration Guides.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.7.a
Components shall develop and maintain a configuration management plan
(CMP) for each information system as part of its SP. All DHS systems shall be
under the oversight of a Configuration Management responsible officer.
CM-1,
CM-9
3.7.b
Components shall establish, implement, and enforce configuration
management controls on all information systems and networks and address
significant deficiencies as part of a POA&M.
CA-5,
CM-3,
PM-4
3.7.c
Information security patches shall be installed in accordance with
configuration management plans and within the timeframe or direction stated
within the Information Security Vulnerability Management (ISVM) message
published by the DHS EOC.
SI-2
3.7.d
System Owners shall document the initial system configuration in detail and
control all subsequent changes in accordance with the configuration
management process.
CM-2,
CM-3,
CM-9
3.7.e
Workstations shall be configured in accordance with DHS guidance on the U.S
Government Configuration Baseline (USGCB) (formerly known as the Federal
Desktop Core Configuration [FDCC]). Configuration shall include installation
of the DHS Common Policy Object identifier (OID), Common Policy
Framework Root CA certificate, and the DHS Principal CA certificate.
CM-2,
CM-6,
CM-9
3.7.f
Components shall monitor USGCB (or DHS-approved USGCB variant)
compliance using a NIST-validated Security Content Automation Protocol
(SCAP) tool.
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Policy
ID
3.8
DHS Policy Statements
Relevant
Controls
3.7.g
The System Owner shall request an exception for information systems that use
operating systems or applications that are not hardened or do not follow
configuration guidance identified in DHS Sensitive Systems Handbook,
Enclosure 1, DHS Secure Baseline Configuration Guides. Requests shall
include a proposed alternative secure configuration.
CM-2,
CM-6
3.7.h
Components shall ensure that CM processes under their purview include and
consider the results of a security impact analysis when considering proposed
changes.
CM-4
Risk Management
Risk management is a process that allows System Owners to balance the operational and
economic costs of protective measures to achieve gains in mission capability by protecting the
information systems and data that support their organization’s missions.
Policy
ID
3.9
DHS Policy Statements
Relevant
Controls
3.8.a
Components shall establish a risk management program in accordance with
NIST SP 800-30, Risk Management Guide for Information Technology
Systems and other applicable Federal guidelines.
RA-1
3.8.b
Component CISOs/ISSMs shall ensure that a risk assessment is conducted
whenever high impact weaknesses are identified, or every three (3) years or
whenever modifications are made to sensitive information systems, or to their
physical environments, interfaces, or user community. The risk assessment
shall consider the effects of the modifications on the operational risk profile of
the information system. SPs shall be updated and re-certification conducted if
warranted by the results of the risk assessment.
RA-3
3.8.c
Component CISOs/ISSMs shall establish an independent Component-wide
Security Authorization program to ensure a consistent approach to testing the
effectiveness of controls.
RA-1
3.8.d
Risk Executives shall review recommendations for risk determinations and risk
acceptability and may recommend changes to the AO and appropriate CIO.
RA-3
3.8.e
Component SOCs shall deploy a Component-wide network scanning program.
RA-5
3.8.f
Special rules apply to CFO Designated Systems. See Section 3.15 for
additional information.
Security Authoziation and Security Assessments
DHS periodically assesses the selection of security controls to determine their continued
effectiveness in providing an appropriate level of protection.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
The DHS Security Authorization Process Guide describes detailed processes governing Security
Authorization Process and system risk assessment.
Detailed information for creating and managing POA&Ms is published in DHS 4300A Sensitive
Systems Handbook, Attachment H – Plan of Action and Milestones (POA&M) Process Guide.
Policy
ID
DHS Policy Statements
Relevant
Controls
PM-10,
RA-2
3.9.a
Components shall assign an impact level (high, moderate, low) to each security
objective (confidentiality, integrity, and availability) for each DHS information
system. Components shall apply NIST SP 800-53 controls as tailored in the
DHS 4300A, Sensitive Systems Handbook, Attachment M specific to the
security objective at the determined impact level.
3.9.b
Components shall implement NIST SP 800-53 security controls, using the
FIPS Pub 200, Minimum Security Requirements for Federal Information and
Information Systems methodology, based on the FIPS 199 impact level
established for each separate security objective (confidentiality, integrity,
availability).
---
3.9.c
Recommend that Components pursue type Security Authorization Process for
information resources that are under the same direct management control; have
the same function or mission objective, operating characteristics, security
needs, and that reside in the same general operating environment, or in the case
of a distributed system, reside in various locations with similar operating
environments. Type Security Authorization Process shall consist of a master
Security Authorization Process package describing the common controls
implemented across sites and site-specific controls and unique requirements
that have been implemented at the individual sites.
---
3.9.d
The AO for a system shall be identified in TrustedAgent FISMA. The
Component CIO shall serve as the AO whenever the System Owner or an
appropriate program official has not been named as the AO.
---
3.9.e
Component CISOs shall ensure that all information systems are formally
assessed through a comprehensive evaluation of their management,
operational, and technical security controls.
CA-2,
PM-10
3.9.f
The assessment, made as part of and in support of the accreditation process,
shall determine the extent to which a particular design and implementation
plan meets the DHS required set of security controls.
PM-10
3.9.g
Component CISOs/ISSMs shall ensure that a risk assessment is conducted
whenever any modifications are made to sensitive information systems,
networks, or to their physical environments, interfaces, or user community.
SPs shall be updated and re-authorized conducted if warranted.
PM-9,
RA-3
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
3.9.h
Components shall accredit systems at initial operating capability and every
three (3) years thereafter, or whenever a major change occurs, whichever
occurs first. An ATO of six (6) months or less shall receive an ATO
accreditation period waiver from the DHS CISO before submission to the AO
for a final accreditation decision.
CA-6,
PM-10
3.9.i
AOs may grant an Interim Authorization to Operate (IATO) for systems that
are undergoing development testing or are in a prototype phase of
development. A system shall be assessed and authorized in an ATO letter prior
to passing the Key Decision Point 3 milestone in the SELC. IATOs shall not
be used for operational systems. The AO may grant an IATO for a maximum
period of 6 (six) months and may grant 1 (one) 6 (six) month extension.
Systems under an IATO shall not process sensitive information but may attach
to system networks for testing.
PL-1,
PM-10
3.9.j
If the system is not fully accredited and has not received a full ATO by the end
of the second and final IATO, the system shall not be deployed as an
operational system.
PL-1,
PM-10
3.9.k
As a result of Office of Inspector General (OIG) auditing experience,
Components shall request concurrence from the DHS CISO for all
accreditations for 6 (six) months or less.
3.9.l
The DHS CISO shall specify tools, techniques, and methodologies used to
certify and accredit DHS information systems, report and manage FISMA
data, and document and maintain POA&Ms.
CA-1,
PM-4
3.9.m
Currently, all DHS systems shall be accredited using the automated tools, TAF
and RMS, which have been approved by the DHS CISO.
CA-1,
CA-2,
PM-10
3.9.n
The DHS CISO shall maintain a repository for all Security Authorization
Process documentation and modifications.
CA-1
3.9.o
Component CISOs shall establish processes to ensure consistent Security
Authorization Process processing across all Component systems.
CA-1,
PM-10
3.9.p
System Owners shall use the POA&M process to manage vulnerabilities,
correct deficiencies in security controls, and remediate weaknesses in SPs.
CA-5,
PM-4
3.9.q
The AO shall formally assume responsibility for operating an information
system at an acceptable level of risk. System operation with sensitive
information is prohibited without an ATO.
CA-6,
PM-10
3.9.r
ATOs shall only be provided for systems that fully comply with policy or have
been granted appropriate exceptions or waivers.
CA-6,
PM-10
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
3.9.s
Artifacts in support of new ATOs shall not be older than 13 months. Older
artifacts remain valid during the life of a current ATO.
3.9.t
The DHS CIO may revoke any ATO of any DHS information system.
CA-6
3.9.u
The Component CIO may revoke the ATO of any Component-level
information system.
CA-6
3.9.v
Components shall assign a common control provider to share controls between
systems (e.g., at hosting centers). The authorization package of those common
controls must be shared with those operating under them.
3.10
---
Information Security Review and Assistance
Policy
ID
DHS Policy Statements
Relevant
Controls
3.10.a
Components shall submit their information security policies to the DHS CISO
for review.
PL-1
3.10.b
Components shall establish an information system security review and
assistance program within their respective security organization in order to
provide System Owners with expert review of programs, assist in identifying
deficiencies, and provide recommendations for bringing systems into
compliance.
CA-7,
PL-1,
PM-10
3.10.c
Components shall conduct their reviews in accordance with FIPS 200/NIST SP
800-53, for specification of security controls. NIST SP 800-53A shall be used
for assessing the effectiveness of security controls and for quarterly and annual
FISMA reporting.
CA-7,
PL-1
3.10.d
The DHS CISO shall conduct information security review and assistance visits
across the Department in order to monitor the effectiveness of Component
security programs.
CA-2
3.11
Security Working Groups and Forums
Working groups and other forums representing various functional areas convene on a regular
basis.
3.11.1 CISO Council
The CISO Council is the management team responsible for developing and implementing the
DHS Information Security Program. The Council is responsible for implementing a security
program that meets DHS mission requirements, and reviewing specific topic areas assigned by
the DHS CIO or the DHS CISO.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
The CISO Council is also responsible for establishing and implementing significant security
responsibilities, promoting communications between security programs, implementing
information systems security acquisition requirements, and developing security best practices
within all enterprise and Component information security programs.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.11.1.a
Component CISOs shall actively participate in the CISO Council.
PL-1,
PM-11
3.11.1.b
Members shall ensure that the DHS CISO is kept apprised of all pertinent
matters involving the security of information systems.
PL-1,
PM-11
3.11.1.c
Members shall ensure that security-related decisions and information,
including updates to the 4300 series of security publications, are distributed to
the ISSOs and other appropriate persons.
PL-1,
PM-11
Note: Periodically, the CISO Council shall be convened to include Component ISSMs.
3.11.2 DHS Information Security Training Working Group
The DHS Information Security Training Working Group is established to promote collaboration
on information security training efforts throughout the Department and to share information on
Component-developed training activities, methods, and tools, thereby reducing costs and
avoiding duplication of effort. The Information Security Training Working Group is chaired by
the DHS Program Director for Information Security Training.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.11.2.a
Components shall appoint a representative to the DHS Information Security
Training Working Group.
---
3.11.2.b
Members shall actively participate in the DHS Information Security Training
Working Group.
---
3.11.2.c
Components shall abide by the security training requirements listed in the
Information Security Awareness, Training, and Education section of this
policy.
---
3.12
Information Security Policy Violation and Disciplinary Action
Individual accountability is a cornerstone of an effective security policy. Component Heads are
responsible for taking corrective actions whenever security incidents and violations occur and for
holding personnel accountable for intentional transgressions. Each Component must determine
how to best address each individual case.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
3.12.a
Information security-related violations are addressed in the Standards of
Ethical Conduct for Employees of the Executive Branch and DHS employees
may be subject to disciplinary action for failure to comply with DHS security
policy, whether or not the failure results in criminal prosecution.
PS-8
3.12.b
Non-DHS Federal employees, contractors, or others working on behalf of DHS
who fail to comply with Department security policies are subject to having
their access to DHS systems and facilities terminated, whether or not the
failure results in criminal prosecution.
PS-8
3.12.c
Any person who improperly discloses sensitive information is subject to
criminal and civil penalties and sanctions.
PS-8
3.13
Required Reporting
FISMA requires that the status of the DHS Information Security Program be reported to the
OMB on a recurring basis.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.13.a
Components shall collect and submit quarterly and annual information security
program status data as required by FISMA.
CA-2
3.13.b
Components shall utilize the automated tool approved for use by the DHS
CISO.
CA-2
3.14
Privacy and Data Security
The DHS Privacy Office is responsible for privacy compliance across the Department, including
assuring that technologies used by the Department sustain and do not erode privacy protections
relating to the use of personal and Department information. The DHS Chief Privacy Officer has
exclusive jurisdiction over the development of policy relating to personally identifiable
information (PII). Questions concerning privacy-related policy should be directed to the
Component Privacy Office or PPOC. If the Component does not have a Privacy Office or PPOC,
then please contact the DHS Privacy Office (privacy@dhs.gov; 703-235-0780) or refer to the
DHS Chief Privacy Officer web page for additional information.
3.14.1 Personally Identifiable Information
Various regulations place restrictions on the Government’s collection, use, maintenance, and
release of information about individuals. Regulations require agencies to protect PII, which is
any information that permits the identity of an individual to be directly or indirectly inferred,
including any information which is linked or linkable to that individual regardless of whether or
not the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or
contractor to the Department.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Sensitive PII is PII, which if lost, compromised, or disclosed without authorization, could result
in substantial harm, embarrassment, inconvenience, or unfairness to an individual. Examples of
Sensitive PII include Social Security numbers, alien numbers (A-number), medical information,
and criminal history. The sensitivity of this data requires that stricter handling guidelines be
applied. For more information on handling Sensitive PII see: Handbook for Safeguarding
Sensitive Personally Identifiable Information at the Department of Homeland Security.
Additional PII and Sensitive PII-related policies are included in the following sections of the
DHS 4300A Sensitive Systems Handbook.
•
Section 3.9, Security Authorization Process, and Security Assessments – For Privacy
Sensitive Systems, the confidentiality security objective shall be assigned an impact level of
at least moderate.
•
Section 4.8.2, Laptop Computers and Other Mobile Computing Devices – All information
stored on any laptop computer or other mobile computing device is to be encrypted using
mechanisms that comply with Section 5.5, Encryption, of this policy.
•
Section 5.2.2, Automatic Session Termination – Sessions on workstations and on laptop
computers and other mobile computing devices are to be terminated after twenty (20)
minutes of inactivity.
•
Section 5.3, Auditing – DHS defines computer-readable data extracts as data removed from
any accredited system where the process is not covered by the SP and computer-readable
data extracts are stored on hard drives, including desk top and laptop computers, floppy
disks, compact discs (CDs), digital video disks (DVDs), USB drives, memory cards, and any
other media that may be read or copied electronically.
•
Section 5.4.1, Remote Access and Dial-in – Remote access of PII must be approved by the
AO. Strong authentication via virtual private network (VPN) or equivalent encryption (e.g.,
https) and two-factor authentication is required. DHS has an immediate goal that remote
access should only be allowed with two-factor authentication where one of the factors is
provided by a device separate from the computer gaining access. Restrictions are placed on
the downloading and remote storage of PII accessed remotely, as noted below in the DHS
Policy.
The DHS Privacy Office works with Component Privacy Officers, PPOCs, Program Managers,
System Owners, and information systems security personnel to ensure that sound privacy
practices and controls are integrated into the Department’s operations. The DHS Privacy Office
implements three types of documents for managing privacy practices and controls for
information systems:
•
A PTA provides a high level description of an information system including the information
it contains and how it is used. The PTA is used to determine and document whether or not a
PIA and/or SORN are required.
•
A PIA is a publicly released assessment of the privacy impact of an information system and
includes an analysis of the PII that is collected, stored, and shared.
•
A SORN describes the categories of records within a system of records and describes the
routine uses of the data and how individuals can gain access to records and correct errors.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
To promote privacy compliance within the Department, the Office has published official
Department guidance regarding the requirements and content for PTAs, PIAs, and SORNs.
Privacy Compliance Guidance can be found on the DHS Privacy Office website at
www.dhs.gov/privacy.
3.14.2 Privacy Threshold Analyses
The PTA provides a high-level description of the system, including the information it contains
and how it is used. PTAs are required whenever a new information system is being developed or
an existing system is significantly modified. System Owners and Program Managers are
responsible for writing the PTA as part of the system development lifecycle process. The
Component Privacy Officer or PPOC reviews the PTA and forwards it to the DHS Privacy
Office, who determines whether a PIA and/or SORN are required. PTA artifacts expire after
three (3) years. DHS MD 0470.2 defines the PTA requirements.
Policy
ID
DHS Policy Statements
Relevant
Controls
PL-5
3.14.2.a
A PTA shall be conducted as part of new information system development or
whenever an existing system is significantly modified. PTA artifacts expire
after three (3) years and a new PTA must be submitted.
3.14.2.b
A PTA shall be conducted whenever an information system undergoes security
authorization.
---
3.14.2.c
The DHS Chief Privacy Officer shall evaluate the PTA and determine if it is a
Privacy Sensitive System and if the system requires a PIA and SORN.
PL-5
3.14.2.d
Information systems shall not be designated operational until the DHS Privacy
Office approves the PTA.
PL-5
3.14.2.e
For Privacy Sensitive Systems, the confidentiality security objective shall be
assigned an impact level of moderate or higher.
RA-2
3.14.3 Privacy Impact Assessments
A PIA is a publicly released assessment of the privacy impact of an information system and
includes an analysis of the PII that is collected, stored, and shared. PIAs are required (as
determined by the PTA) whenever a new information system is being developed or an existing
system is significantly modified. PIAs are the responsibility of the System Owner and the
Program Manager as part of the SELC process. OMB Memorandum M-03-22, DHS MD 0470.1,
and the Official DHS Privacy Impact Assessment Guidance discuss the requirements for
conducting PIAs at DHS.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
3.14.3.a
PIAs are required (as determined by the PTA) as part of new information
system development or whenever an existing system is significantly modified.
PL-5
3.14.3.b
Information systems that the DHS Privacy Office has determined require a PIA
(as determined by the PTA) shall not be designated operational until the DHS
Privacy Office approves the PIA for that system.
PL-5
3.14.4 System of Records Notices
The Privacy Act of 1974 requires a SORN when PII is maintained by a Federal agency in a
system of records and the PII is retrieved by a personal identifier. A system of records is “a
group of any records under the control of any agency from which information is retrieved by the
name of the individual or by some identifying number, symbol, or other identifying particular
assigned to the individual” 5 U.S.C.§552a (a)(5). The SORN describes the categories of records
and individuals in the system of record; the routine uses of the data; how individuals can gain
access to records pertaining to them and correct errors. The term “system of records” is not
synonymous with an information system and can include paper as well as electronic records.
SORNs can be written to cover the records in a single group of records or a single information
system or they can be written to cover multiple groups of records or multiple information
systems.
Information systems that are considered a system of record may not be designated operational
until a SORN has been published in the Federal Register for thirty days. The Office of
Management and Budget, specifically Privacy Act Implementation, Guidelines and
Responsibilities, July 9, 1975, and Circular A-130 including Appendix I, DHS MD 0470.2, and
Official DHS Guidance on System of Records and System of Records Notices are the benchmark
references when developing SORNs.
OMB requires each SORN to be reviewed every two (2) years to ensure that it accurately
describes the system of records. This process is called the Biennial SORN Review Process. The
DHS Privacy Office works with Components to ensure that SORN reviews are conducted every
two (2) years following publication in the Federal Register.
Policy
ID
DHS Policy Statements
3.14.4.a
A SORN is required when PII is maintained by a Federal agency in a system of
records where information about an individual is retrieved by a unique
personal identifier.
3.14.4.b
Information systems containing PII shall not be designated operational until a
SORN has been published in the Federal Register for thirty (30) days.
3.14.4.c
Components shall review and republish SORNs every two (2) years as
required by OMB A-130.
44
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Relevant
Controls
---
CA-6
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
3.14.5 Protecting Privacy Sensitive Systems
OMB M-06-16, Protection of Sensitive Agency Information requires that agencies protect PII
that is physically removed from Department locations or is accessed remotely. Physical removal
includes both removable media as well as media within mobile devices (i.e., laptop hard drive).
Please refer to the following documents for additional information and policies on protecting PII
and Sensitive PII at DHS:
•
Handbook for Safeguarding Sensitive Personally Identifiable Information at the Department
of Homeland Security:
•
DHS 4300 A, Sensitive System Handbook, Attachment S, Compliance Framework for
Privacy Sensitive Systems; and
•
DHS Policy and Procedures for Managing Computer-Readable Extracts Containing
Sensitive PII.
In addition, see Section 5.3 for PII auditing requirements and Section 5.4.1 for remote access
requirements.
Policy
ID
3.14.5.a
DHS Policy Statements
PII and Sensitive PII removed from a DHS facility on removable media, such
as CDs, DVDs, laptops, PDAs, shall be encrypted, unless the information is
being sent to the individual as part of a Privacy Act or Freedom of Information
Act (FOIA) request.
Relevant
Controls
MP-5
SC-13
3.14.5.b
If PII and Sensitive PII can be physically removed from an information system
(e.g., printouts, CDs), the Security Plan (SP) shall document the specific
procedures, training, and accountability measures in place to ensure remote
use of the data does not bypass the protections provided by the encryption.
MP-5
3.14.5.c
Systems that, as part of routine business, remove Sensitive PII in the form of a
Computer-Readable Extract (CRE), e.g., routine system-to-system
transmissions of data (routine CREs) shall address associated risks in the SP.
MP-5
3.14.5.d
Sensitive PII contained within a non-routine or ad hoc CRE (e.g., CREs not
included within the boundaries of a source system’s security plan) shall not be
removed, physically or otherwise, from a DHS facility without written
authorization from the Data Owner responsible for ensuring that the disclosure
of the CRE data is lawful and in compliance with this and applicable DHS
privacy and security policies.
---
3.14.5.e
All ad hoc CREs must be documented, tracked, and validated every ninety
(90) days after their creation to ensure that their continued authorized use is
still required or that they have been appropriately destroyed or erased.
---
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
3.14.5.f
DHS Policy Statements
Ad hoc CREs shall be destroyed or erased within ninety (90) days unless the
information included in the extracts is required beyond that period. Permanent
erasure of the extracts or the need for continued use of the data shall be
documented by the Data Owner and audited periodically by the Component
Privacy Officer or PPOC.
Relevant
Controls
---
3.14.6 Privacy Incident Reporting
The DHS Privacy Office is responsible for implementing the Department’s privacy incident
response program based on requirements outlined in OMB Memorandum 07-16, Safeguarding
Against and Responding to the Breach of Personally Identifiable Information, May 22, 2007 (M07-16). Through close collaboration, the DHS Chief Privacy Officer, the DHS CIO, the DHS
CISO, the DHS EOC, and Components must ensure that all DHS privacy and computer security
incidents are identified, reported, and appropriately responded to, in order to mitigate harm to
DHS-maintained assets, information, and personnel. Incidents involving (or that may involve)
PII are subject to strict reporting standards and timelines.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.14.6.a
Any Component discovering a suspected or confirmed privacy incident shall
coordinate with the Component Privacy Officer or PPOC and Component
CISO/ISSM to evaluate and subsequently report the incident to the DHS EOC
immediately upon discovery. The DHS EOC will then transmit the report to
the US-CERT within one (1) hour.
IR-4
3.14.6.b
The Component Privacy Officer or PPOC, in cooperation with the Component
CISO/ISSM, shall jointly evaluate the incident, but the Component
CISO/ISSM is responsible for reporting the incident to the Component SOC/
Computer Security Incident Response Capability (CSIRC) (or directly to the
DHS EOC/CSIRC if the Component does not have its own SOC/CSIRC).
IR-4
3.14.6.c
For Components without Privacy Officers or PPOCs, the Component
CISO/ISSM shall report all types of privacy incidents, whether or not they
involve information resources. This unitary reporting process shall remain in
effect until each Component has a Privacy Officer or PPOC who can fulfill the
reporting duties.
IR-6
3.14.6.d
DHS personnel shall also report suspected or confirmed privacy incidents or
incidents involving PII to their Program Manager immediately upon
discovery/detection, regardless of the manner in which it might have occurred.
IR-6
3.14.6.e
Components shall follow the DHS Privacy Incident Handling Guide.
46
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---
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
3.14.7 E-Authentication
Identity verification or authentication (e-authentication) is needed to ensure that online
Government services are secure and that individual privacy is protected. Each DHS system must
be evaluated to determine whether e-authentication requirements apply. Only federated identity
providers approved through the Federal CIO Council’s Identity, Credentialing, and Access
Management’s (ICAM) Trust Framework Provider Adoption Process (TFPAP) should be used.
Components should see www.IDmanagement.gov for details regarding the Federal Identity,
Credentialing, and Access Management (FICAM) initiative.
E-authentication guidance is provided in the following:
•
OMB M-0404, E-Authentication Guidance for Federal Agencies
•
NIST SP 800-63, Electronic Authentication Guideline
Policy
ID
DHS Policy Statements
Relevant
Controls
3.14.7.a
For systems that allow online transactions, Components shall determine
whether e-authentication requirements apply.
IA-2
3.14.7.b
Components shall determine the appropriate assurance level for eauthentication by following the steps described in OMB M-04-04, EAuthentication Guidance for Federal Agencies.
IA-2
3.14.7.c
Components shall implement the technical requirements described in NIST SP
800-63, Electronic Authentication Guideline, at the appropriate assurance level
for those systems with e-authentication requirements.
IA-2
3.14.7.d
Components shall ensure that each SP reflects the e-authentication status of the
respective system.
IA-2,
PL-2
3.14.7.e
Programs considering the use of e-authentication are required to conduct a
PTA to initiate the review of privacy risks and how they will be mitigated.
PL-5
3.14.7.f
Existing physical and logical access control systems shall be upgraded to use
PIV credentials, in accordance with NIST and DHS guidelines.
3.14.7.g
All new systems under development shall be enabled to use PIV credentials, in
accordance with NIST and DHS guidelines, prior to being made operational.
3.15
DHS CFO Designated Systems
DHS CFO Designated Systems are systems that require additional management accountability to
ensure effective internal control exists over financial reporting. The DHS CFO publishes the
approved list of CFO Designated Systems annually. This section provides additional
requirements for these systems based on OMB Circular A-123, Management’s Responsibility for
Internal Control (A-123), Appendix A. The requirements contained in OMB Circular A-123
have been mapped to the NIST SP 800-53 controls and documented in DHS 4300A Attachment
R. These requirements are in addition to the other security requirements established in this
document and other CFO developed financial system Line of Business requirements. Wherever
47
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
there is a conflict between this and other sections of this policy regarding requirements for CFO
Designated Systems, this section takes precedence.
These additional requirements provide a strengthened assessment process and form the basis for
management’s assurance on the internal control over financial reporting. The strengthened
process requires management to document the design and test the operating effectiveness of
controls for CFO Designated Systems. The system owner is responsible for ensuring that all
requirements, including security requirements, are implemented on DHS systems. Component
CISOs/ISSMs must coordinate with their CFO organization to ensure that these requirements are
implemented.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.15.a
System owners are responsible for ensuring that security assessments of key
security controls (i.e., Security Assessment and Security Assessment Report
[SAR]) for CFO Designated Systems are completed annually in TAF. This
includes updating the ST&E & SAR annually.
CA-2,
CA-7
3.15.b
The DHS CFO shall designate the systems that must comply with additional
internal controls and the Office of the CFO shall review and publish this list
annually.
CA-2
3.15.c
Component CISOs/ISSMs shall ensure that vulnerability assessments and
verification of critical patch installations are conducted on all CFO Designated
Systems. Vulnerability assessment shall be performed at least annually.
RA-5
3.15.d
All CFO Designated Systems shall be assigned a minimum impact level of
“moderate” for confidentiality, integrity, and availability. If warranted by a
risk based assessment, the integrity objective shall be elevated to “high.”
RA-2
3.15.e
All Component security accreditations for CFO Designated Systems shall be
approved and signed by the Component CFO.
CA-6
3.15.f
System Owners shall ensure that Contingency plans are created for all CFO
Designated Systems requiring moderate availability and Disaster Recovery
plans are created for all CFO Designated Systems requiring high availability
and that each plan is tested annually.
CP-2,
CP-4
3.15.g
Component CISOs/ISSMs shall ensure that weekly incident response tracking
is performed for all of their respective CFO Designated Systems.
IR-5
3.15.h
Component CISOs/ISSMs shall ensure that incidents related to their respective
CFO Designated Systems are reported to the Component CFO.
IR-4,
IR-6
3.15.i
The SP shall be updated for CFO Designated Systems at least annually. Key
controls prescribed in Attachment R, Compliance Framework for CFO
Designated Systems shall be identified in the SP.
PL-2
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Policy
ID
DHS Policy Statements
Relevant
Controls
CA-5,
CA-7
3.15.j
Component CISOs/ISSMs must request a waiver or exception from the DHS
CISO if a key control weakness is identified for a CFO Designated System and
not remediated within twelve (12) months.
3.15.k
Component CFOs shall ensure that a fulltime dedicated ISSO is assigned to
each CFO Designated System. CFO Designated System ISSOs may be
assigned to more than one CFO Designated System.
3.15.l
CFO Designated System ATOs shall be rescinded if Components fail to
comply with testing and reporting requirements established within this policy.
CA-1,
CA-6
3.15.m
Component CFOs shall work with their Component CISOs/ISSMs to approve
any major system changes to CFO Designated Systems identified in the DHS
inventory.
CA-1,
CM-8
3.16
---
Social Media
Social Media hosts are public, content sharing Web sites that allow individual users to upload,
view and share content such as video clips, press releases, opinions and other information. The
DHS Office of Public Affairs (OPA) will publish Terms of Service (TOS) and guidelines for
posting to these sites. In some cases the Department will develop its own and in other cases will
endorse those of other Federal agencies, such as the General Services Administration (GSA) or
Office of Personnel Management (OPM). Due to the high threat of malware, Social Media host
sites have been blocked at the TIC.
Policy
ID
DHS Policy Statements
Relevant
Controls
3.16.a
Only OPA designated content managers (Department level and Component
level) may post content, and only those individuals designated by OPA for this
purpose shall be granted access on a continuing basis.
SA-6
3.16.b
Posted content shall be in keeping with the Department’s Terms of Service
(TOS) and guidelines for a given social media host (e.g., YouTube, Twitter).
This condition is also met if the Department endorses another appropriate
Federal agency’s guidance or TOS (e.g., GSA, OPM). Under no circumstances
shall sensitive information be posted to social media sites.
---
3.16.c
Content shall not be posted to any social media site for which the Department
has not approved and published final posting guidelines and TOS.
SA-6
3.16.d
Content managers shall review and understand the appropriate Departmentlevel TOS for the appropriate social media host.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
3.16.e
DHS Policy Statements
Relevant
Controls
---
Content managers shall make a risk decision prior to posting any information
and shall recognize that social medial hosts are not DHS information systems
and therefore subject only to the DHS TOS and not to DHS policy. Once
released, information is no longer under DHS control.
There are a number of security technologies that are especially important to consider when
dealing with social media issues. These include:
•
Trusted Internet Connections (TIC) – Section 5.4.4
•
Host Configuration and Hardening – Section 4.8.4
•
Enterprise Operations Center (EOC) and Network Operations Center (NOC) – Section 4.9
•
Two-Factor Authentication – Section 5.4.1
•
Domain Name System Security Extensions (DNSSEC) Capabilities – Section 5.4.3
•
Trust Zones – Section 5.4.3
•
Signed Code – Section 5.4.5
•
Patching and Anti-Virus – Section 5.6
3.17
Health Insurance Portability and Accountability Act
The Health Insurance Portability and Accountability Act of 1996 (HIPAA) addresses the privacy
of individuals’ health information by establishing a Federal privacy standard for health
information and how it can be used and disclosed.
HIPAA prohibits the use or disclosure of Protected Health Information (PHI), electronic and
otherwise, for any purpose other than treatment, payment, or health care operations without the
authorization of the individual or as part of an exception within HIPAA.
Because of the diverse mission of DHS, it may be necessary for some Components to collect PHI
as part of a larger mission requirement. (e.g. detainee processing, disaster relief). This section
applies to all Components and personnel who collect, process, or store PHI (refer to NIST SP
800-66 for further information).
Policy
ID
DHS Policy Statements
Relevant
Controls
3.17.a
For those Components whose systems collect, process, or store Protected
Health Information (PHI), they shall ensure that the stored information is
appropriately protected in compliance with HIPAA and that access or
disclosure is limited to the minimum required.
---
3.17.b
Covered Components shall work with the DHS Privacy Office, Component
Privacy Office, or PPOC to ensure that privacy and disclosure policies comply
with HIPAA requirements.
---
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Policy
ID
DHS Policy Statements
Relevant
Controls
3.17.c
Covered Components shall ensure that employees with access to DHS systems
that collect, process, or store PHI are trained on HIPAA requirements.
---
3.17.d
Covered Components shall establish administrative processes that can
---
respond to complaints, requests for corrections of health information, and track
disclosures of PHI.
3.17.e
When collecting PHI, Components shall issue a privacy notice to individuals
concerning the use and disclosure of their PHI.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.0
OPERATIONAL POLICIES
4.1
Personnel
DHS systems face threats from a myriad of sources. The intentional and unintentional actions of
system users can potentially harm or disrupt DHS systems and facilities and could result in the
destruction or modification of the data being processed, denial of service, and unauthorized
disclosure of data. It is thus highly important that stringent safeguards be taken to reduce the risk
associated with these types of threats.
4.1.1 Citizenship, Personnel Screening, and Position Categorization
Policy
ID
DHS Policy Statements
Relevant
Controls
4.1.1.a
Components shall designate the position sensitivity level for all Government
and contractor positions that use, develop, operate, or maintain information
systems and shall determine risk levels for each contractor position. Position
sensitivity levels shall be reviewed annually and revised as appropriate.
PS-2,
PS-3,
PS-7
4.1.1.b
Components shall ensure the incumbents of these positions have favorably
adjudicated background investigations commensurate with the defined position
sensitivity levels.
PS-2,
PS-3,
PS-7
4.1.1.c
Components shall ensure that no Federal employee is granted access to DHS
systems without having a favorably adjudicated Minimum Background
Investigation (MBI) as defined in DHS Instruction 121-01-007, Personnel
Suitability and Security Program. Active duty United States Coast Guard and
other personnel subject to the Uniform Code of Military Justice shall be
exempted from this requirement.
PS-3
4.1.1.d
Components shall ensure that no contractor personnel shall be granted access
to DHS systems without having a favorably adjudicated Background
Investigation (BI) as defined in DHS Instruction 121-01-007, Suitability
Screening Requirements for Contractor Employees and the Department of
Homeland Security Acquisition Regulation (HSAR).
PS-3
4.1.1.e
Components shall ensure that only U.S. Citizens are granted access to DHS
systems and networks. Exceptions to the U.S. Citizenship requirement may be
granted by the Component Head or designee with the concurrence of the
Office of Security and the DHS CIO, in accordance with Section 1.5.4, U.S.
Citizen Exception Requests, of this policy.
PS-3
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4.1.2 Rules of Behavior
Policy
ID
DHS Policy Statements
Relevant
Controls
4.1.2.a
Components shall ensure that rules of behavior contain acknowledgement that
the user has no expectation of privacy (a “Consent to Monitor” provision) and
that disciplinary actions may result from violations.
PL-4
4.1.2.b
Components shall ensure that DHS users are trained regarding rules of
behavior and that each user signs a copy prior to being granted user accounts
or access to information systems or data.
AT-1,
AT-2,
PL-4
4.1.3 Access to Sensitive Information
Policy
ID
4.1.3.a
DHS Policy Statements
System Owners shall ensure that users of the information systems supporting
their programs have a valid requirement to access these systems.
Relevant
Controls
AC-2
4.1.4 Separation of Duties
Separation of duties is intended to prevent a single individual from being able to disrupt or
corrupt a critical security process.
Policy
ID
DHS Policy Statements
Relevant
Controls
4.1.4.a
Components shall divide and separate duties and responsibilities of critical
information system functions among different individuals to minimize the
possibility that any one individual would have the necessary authority or
system access to be able to engage in fraudulent or criminal activity.
AC-2
4.1.4.b
All individuals requiring administrator privileges shall be reviewed and
approved by the appropriate AO. The AO may delegate this duty to the
appropriate system owner or Program Manager.
AC-2
4.1.4.c
Individuals requiring administrator privileges shall be assigned administrator
accounts separate from their normal user accounts.
AC-6
4.1.4.d
Administrator accounts shall be used only for performing required
administrator duties. Individuals shall use their regular user accounts to
perform all other functions not directly tied to administrator duties (checking
email, accessing the Internet).
AC-6
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.1.5 Information Security Awareness, Training, and Education
Policy
ID
DHS Policy Statements
Relevant
Controls
4.1.5.a
Components shall establish an information security training program for users
of DHS information systems.
AT-1
4.1.5.b
DHS personnel, contractors, or others working on behalf of DHS accessing
DHS systems shall receive initial training and annual refresher training, in
security awareness and accepted security practices. Personnel shall complete
security awareness within twenty-four (24) hours of being granted a user
account. If the user fails to comply, user access shall be suspended.
AT-1,
AT-4
4.1.5.c
DHS personnel, contractors, or others working on behalf of DHS with
significant security responsibilities (e.g., ISSOs, system administrators) shall
receive initial specialized training, and annual refresher training thereafter,
specific to their security responsibilities.
AT-3
4.1.5.d
Components shall maintain training records, to include name and position,
type of training received, and costs of training.
AT-4
4.1.5.e
User accounts and access privileges, including access to email, shall be
disabled for those DHS employees who have not received annual refresher
training unless a waiver is granted by the Component CISO/ISSM.
AT-1
4.1.5.f
Components shall prepare and submit an annual security awareness training
plan, as specified by the DHS Information Security Training Program Office.
AT-1
4.1.5.g
Components shall prepare and submit information security awareness reports
with content, frequency, format, and distribution as specified by the DHS
CISO.
AT-1
4.1.5.h
Components shall provide evidence of training by submitting copies of
training schedules, training rosters, and training reports, upon request of the
DHS Information Security Training Program Office.
AT-4
4.1.5.i
The DHS CISO shall review Component information security awareness
programs annually.
AT-1
4.1.6 Separation From Duty
Policy
ID
4.1.6.a
DHS Policy Statements
Components shall implement procedures to ensure that system accesses are
revoked for DHS employees, contractors, or others working on behalf of DHS
who leave the Component, are reassigned to other duties, or no longer require
access.
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Relevant
Controls
AC-2
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
4.1.6.b
Components shall establish procedures to ensure that all DHS information
system-related property and assets are recovered from the departing individual
and that sensitive information stored on any media is transferred to an
authorized individual.
PS-4
4.1.6.c
Accounts for personnel on extended absences shall be temporarily suspended.
AC-2
4.1.6.d
System Owners shall review information system accounts supporting their
programs at least annually.
AC-2
4.2
Physical Security
4.2.1 General Physical Access
Policy
ID
DHS Policy Statements
Relevant
Controls
4.2.1.a
Access to DHS buildings, rooms, work areas, spaces, and structures housing
information systems, equipment, and data shall be limited to authorized
personnel.
PE-2
4.2.1.b
Controls for deterring, detecting, restricting, and regulating access to sensitive
areas shall be in place and shall be sufficient to safeguard against possible loss,
theft, destruction, damage, hazardous conditions, fire, malicious actions, and
natural disasters.
PE-3
4.2.1.c
Controls shall be based on the level of classification and risk, determined in
accordance with Departmental security policy as reflected in this and other
relevant documents.
PE-1,
PM-9
4.2.1.d
Visitors shall sign in upon entering DHS facilities that house information
systems, equipment, and data, be escorted during their stay, and sign out upon
leaving. Non-DHS contractor or vendor access shall be limited to those work
areas requiring their presence. Visitor logs shall be maintained and available
for review for one (1) year.
PE-7
4.2.1.e
These requirements shall extend to DHS assets, located at non-DHS facilities
or non-DHS assets and equipment hosting DHS data.
---
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.2.2 Sensitive Facility
Policy
ID
4.2.2.a
4.3
DHS Policy Statements
Facilities processing, transmitting, or storing sensitive information shall
incorporate physical protection measures based on the level of risk. The risk
shall be determined in accordance with Departmental security policy as
reflected in this and other relevant documents.
Relevant
Controls
PE-1,
PM-9
Media Controls
4.3.1 Media Protection
Policy
ID
DHS Policy Statements
Relevant
Controls
4.3.1.a
Components shall ensure that all media containing sensitive information,
including hard copy media, backup media, and removable media such as USB
drives, are stored in a secure location (e.g., a locked office, room, desk,
bookcase, file cabinet, locked tape device, or other storage prohibiting access
by unauthorized persons) when not in use.
MP-2,
MP-4,
PE-1
4.3.1.b
Components shall ensure that all offsite backup media are protected as per
guidance in this section.
CP-6
4.3.1.c
DHS personnel, contractors, and others working on behalf of DHS are
prohibited from using any non-Government issued removable media (USB
drives, in particular) or connecting them to DHS equipment or networks or to
store DHS sensitive information.
MP-2
4.3.1.d
Systems requiring encryption shall comply with Section 5.5.1, Encryption, of
this policy. DHS-owned USB drives shall use encryption.
IA-7,
SC-13
4.3.1.e
DHS-owned removable media shall not be connected to any non-DHS
information system unless the AO has determined the acceptable level of risk
based on compensating controls, published acceptable use guidance and the
guidance has been approved by the respective CISO/ISSM. (The respective
CISO is the CISO with that system in his or her inventory.)
AC-20,
MP-2,
PM-9
4.3.1.f
DHS-owned USB removable media shall not be connected to any non-DHS
information system.
AC-20,
MP-2
4.3.1.g
Components shall follow established procedures to ensure that paper and
electronic outputs from systems containing sensitive information are protected.
MP-1
4.3.1.h
Users shall ensure proper protection of printed output. Printing of sensitive
documents shall occur only when a trusted person is attending the printer.
SI-12
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
4.3.1.i
DHS Policy Statements
Components shall follow the procedures established by DHS MD 11042.1,
Safeguarding Sensitive But Unclassified (For Official Use Only) Information,
for the transportation or mailing of sensitive media.
Relevant
Controls
MP-5
4.3.2 Media Marking and Transport
Policy
ID
DHS Policy Statements
Relevant
Controls
4.3.2.a
Media determined by the information owner to contain sensitive information
shall be appropriately marked in accordance with DHS MD 11042.1,
Safeguarding Sensitive But Unclassified (For Official Use Only) Information.
MP-3
4.3.2.b
Components shall control the transport of information system media
containing sensitive data, outside of controlled areas and restrict the pickup,
receipt, transfer, and delivery to authorized personnel.
MP-5
4.3.3 Media Sanitization and Disposal
Policy
ID
DHS Policy Statements
Relevant
Controls
4.3.3.a
Components shall ensure that any information systems storage medium
containing sensitive information is sanitized using approved sanitization
methods before it is disposed of, reused, recycled, or returned to the owner or
manufacturer.
MP-6
4.3.3.b
Components shall maintain records of the sanitization and disposition of
information systems storage media.
MP-6
4.3.3.c
Components shall periodically test degaussing equipment to verify that the
equipment is functioning properly.
MP-6
4.3.4 Production, Input/Output Controls
Policy
ID
DHS Policy Statements
Relevant
Controls
4.3.4.a
Components shall follow established procedures to ensure that sensitive
information cannot be accessed or stolen by unauthorized individuals.
SI-12
4.3.4.b
These procedures shall address not only the paper and electronic outputs from
systems but also the transportation or mailing of sensitive media.
SI-12
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.4
Voice Communications Security
4.4.1 Private Branch Exchange
Policy
ID
4.4.1.a
DHS Policy Statements
Components shall provide adequate physical and information security for all
DHS-owned Private Branch Exchanges (PBX). (Refer to NIST SP 800-24,
PBX Vulnerability Analysis, for guidance on detecting and fixing
vulnerabilities in PBX systems.)
Relevant
Controls
CM-2
4.4.2 Telephone Communications
Policy
ID
4.4.2.a
DHS Policy Statements
Components shall develop guidance for discussing sensitive information over
the telephone. Guidance shall be approved by a senior Component official and
is subject to review and approval by the DHS CISO. Under no circumstances
shall classified national security information be discussed over unsecured
telephones.
Relevant
Controls
PL-4
4.4.3 Voice Mail
Policy
ID
DHS Policy Statements
Relevant
Controls
4.4.3.a
Sensitive information shall not be communicated over nor stored in voice mail.
PL-4
4.5
Data Communications
4.5.1 Telecommunications Protection Techniques
Policy
ID
4.5.1.a
DHS Policy Statements
Components shall carefully select the telecommunications protection
techniques that meet their information security needs, in the most costeffective manner, consistent with Departmental and Component information
system security policies. Approved protected network services (PNS) may be
used as cost-effective alternatives to the use of encryption for sensitive
information requiring telecommunications protection.
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Relevant
Controls
CM-2
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.5.2 Facsimiles
Policy
ID
DHS Policy Statements
Relevant
Controls
4.5.2.a
Components shall implement and enforce technical controls for fax technology
and systems (including fax machines, servers, gateways, software, and
protocols) that transmit and receive sensitive information.
SC-1,
SC-7,
SC-8,
SC-9
4.5.2.b
Components shall configure fax servers to ensure that incoming lines cannot
be used to access the network or any data on the fax server.
AC-4
4.5.3 Video Teleconferencing
Policy
ID
DHS Policy Statements
Relevant
Controls
4.5.3.a
Components shall implement controls to ensure that only authorized
individuals are able to participate in each videoconference.
AC-3,
PE-3
4.5.3.b
Components shall ensure that appropriate transmission protections,
commensurate with the highest sensitivity of information to be discussed, are
in place throughout any video teleconference.
SC-8,
SC-9
4.5.3.c
Video teleconferencing equipment and software shall be disabled when not in
use.
AC-3,
PE-3
4.5.4 Voice Over Data Networks
Voice over Internet Protocol (VoIP) and similar technologies move voice over digital networks.
These technologies use protocols originally designed for data networking. Such technologies
include Voice over Frame Relay, Voice over Asynchronous Transfer Mode, and Voice over
Digital Subscriber Line (refer to NIST SP 800-58 for further information).
Policy
ID
DHS Policy Statements
Relevant
Controls
4.5.4.a
Prior to implementing voice over data network technology, Components shall
conduct rigorous risk assessments and security testing and provide a business
justification for their use. Any systems that employ this technology shall be
accredited for this purpose with residual risks clearly identified.
SC-19,
PM-9
4.5.4.b
Voice over data network implementations shall have sufficient redundancy to
ensure network outages do not result in the loss of both voice and data
communications.
SC-19
4.5.4.c
Components shall ensure appropriate identification and authentication
controls, audit logging, and integrity controls are implemented on every
element of their voice over data networks.
SC-19
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
4.5.4.d
4.6
DHS Policy Statements
Relevant
Controls
Components shall ensure that physical access to voice over data network
elements is restricted to authorized personnel.
SC-19
Wireless Network Communications
Wireless network communications technologies include the following:
•
Wireless systems (e.g., wireless local area networks [WLAN], wireless wide area networks
[WWAN], wireless personal area networks [WPAN], peer-to-peer wireless networks,
information systems that leverage commercial wireless services). Wireless systems include
the transmission medium, stationary integrated devices, firmware, supporting services, and
protocols
•
Wireless portable electronic devices (PED) capable of storing, processing, or transmitting
sensitive information (e.g., personal digital assistants [PDA], smart telephones, two-way
pagers, handheld radios, cellular telephones, personal communications services [PCS]
devices, multifunctional wireless devices, portable audio/video recording devices with
wireless capability, scanning devices, messaging devices)
•
Wireless tactical systems, including mission-critical communication systems and devices
(e.g., include Land Mobile Radio [LMR] subscriber devices and infrastructure equipment,
remote sensors, technical investigative communications systems)
•
Radio Frequency Identification (RFID)
Policy
ID
DHS Policy Statements
Relevant
Controls
4.6.a
Wireless network communications technologies are prohibited from use within
DHS unless the appropriate AO specifically approves a technology and
application.
AC-18
4.6.b
Components using Public Key Infrastructure (PKI)-based encryption on
wireless systems, wireless PEDs, and wireless tactical systems shall implement
and maintain a key management plan approved by the DHS PKI Policy
Authority.
IA-5,
SC-12
4.6.1 Wireless Systems
Wireless system policy and procedures are described more completely in Attachment Q1
(Wireless Systems) to the DHS 4300A Sensitive Systems Handbook.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
4.6.1.a
Annual information security assessments shall be conducted on all approved
wireless systems. Wireless information security assessments shall enumerate
vulnerabilities, risk statements, risk levels, and corrective actions.
CA-2,
PM-9
4.6.1.b
A POA&M shall be developed to address wireless information security
vulnerabilities. These plans shall prioritize corrective actions and
implementation milestones in accordance with defined risk levels.
CA-5,
PM-4,
PM-9
4.6.1.c
Components shall identify countermeasures to denial-of-service attacks and
complete a risk based evaluation prior to approving the use of a wireless PED
AC-19,
PM-9,
SC-5
4.6.1.d
SPs shall adopt a defense-in-depth strategy that integrates firewalls, screening
routers, wireless intrusion detection systems, antivirus software, encryption,
strong authentication, and cryptographic key management to ensure
information security solutions and secure connections to external interfaces are
consistently enforced.
SI-3
4.6.1.e
Legacy wireless systems that are not compliant with DHS information security
policy shall implement a migration plan to outline the provisions, procedures,
and restrictions for transitioning these systems to DHS-compliant security
architectures. Operation of these noncompliant systems requires an approved
waiver or exception to policy from the DHS CISO.
CA-5
4.6.1.f
Component CISOs shall review all system applications for wireless usage,
maintain an inventory of systems, and provide that inventory to the DHS CISO
annually.
AC-18,
PM-5
4.6.1.g
Component CISOs shall (i) establish usage restrictions and implementation
guidance for wireless technologies; and (ii) authorize, monitor, and control
wireless access to DHS information systems.
AC-18
4.6.2 Wireless Portable Electronic Devices
Wireless PEDs include PDAs, smart telephones, two-way pagers, handheld radios, cellular
telephones, PCS devices, multifunctional wireless devices, portable audio/video recording
devices with wireless capability, scanning devices, messaging devices, and any other wireless
clients capable of storing, processing, or transmitting sensitive information.
Wireless PED policy and procedures are described more completely in Attachment Q2 (Wireless
Portable Electronic Devices) to the DHS 4300A Sensitive Systems Handbook.
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Policy
ID
DHS Policy Statements
Relevant
Controls
4.6.2.a
The use of wireless PEDs and accessory devices in areas where sensitive or
classified information is discussed, maintained, or distributed is prohibited
unless specifically authorized by the AO in writing.
AC-19,
PL-4
4.6.2.b
Wireless PEDs shall not be tethered or otherwise physically or wirelessly
connected to the DHS-wired core network without written consent from the
AO.
AC-18,
AC-19
4.6.2.c
Wireless PEDs shall not be used to store, process, or transmit combinations,
personal identification numbers (PIN), or sensitive information in
unencrypted formats.
AC-19,
IA-5,
IA-7
4.6.2.d
Wireless PEDs such as BlackBerry devices and smart phones shall implement
strong authentication, data encryption, and transmission encryption
technologies. Portable electronic devices such as BlackBerry devices and
smart phones shall be password-protected, with a security timeout period
established. For BlackBerry devices, the security timeout shall be set to ten
(10) minutes.
AC-19,
IA-7,
SC-8,
SC-9,
SC-13
4.6.2.e
SPs shall promulgate the provisions, procedures, and restrictions for using
wireless PEDs to download mobile code in an approved manner.
SC-18
4.6.2.f
Wireless PEDs shall be operated only when current DHS TRM-approved
versions of antivirus software and software patches are installed.
SI-3
4.6.2.g
Cost-effective countermeasures to denial-of-service attacks shall be identified
and established prior to a wireless PED being approved for use.
SC-5
4.6.2.h
Components shall maintain a current inventory of all approved wireless PEDs
in operation.
PM-5
4.6.2.i
Wireless PEDs shall be cleared of all information before being reused by
another individual, office, or Component within DHS or before they are
surplused; wireless PEDs that are being disposed of, recycled, or returned to
the owner or manufacturer shall first be sanitized using approved procedures.
MP-6
4.6.2.j
Legacy wireless PEDs that are not compliant with DHS information security
policy shall implement a migration plan that outlines the provisions,
procedures, and restrictions for transitioning these wireless PEDs to DHScompliant security architectures. Operation of these noncompliant systems
requires an approved waiver or exception from the DHS CISO.
CA-5
4.6.2.k
Components shall ensure that personally owned PEDs and Government-owned
PEDs not authorized to process classified information are not permitted in
conference rooms or secure facilities where classified information is discussed.
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SC-7
CA-6
AC-19,
PE-18
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
4.6.2.l
The AO shall approve the use of Government-owned PEDs to process, store,
or transmit sensitive information.
CA-6
4.6.2.m
The use of add-on devices, such as cameras and recorders, is not authorized
unless approved by the AO. Functions that can record or transmit sensitive
information via video, Infrared (IR), or Radio Frequency (RF) shall be
disabled in areas where sensitive information is discussed.
AC-19,
CM-7,
PE-18,
SC-7
4.6.2.1
Cellular Phones
Policy
ID
4.6.2.1.a
4.6.2.2
DHS Policy Statements
Components shall develop guidance for discussing sensitive information on
cellular phones. Guidance shall be approved by a senior Component official
and is subject to review by the DHS CISO. Under no circumstances shall
classified information be discussed on cellular phones.
4.6.2.3
PL-4
Pagers
Policy
ID
4.6.2.2.a
Relevant
Controls
DHS Policy Statements
Pagers shall not be used to transmit sensitive information.
Relevant
Controls
PL-4
Multifunctional Wireless Devices
Wireless devices have evolved to be multifunctional (cell phones, pagers, and radios can surf the
Internet, retrieve email, take and transmit pictures). Most of these functions do not have
sufficient security.
Policy
ID
DHS Policy Statements
Relevant
Controls
4.6.2.3.a
Functions that cannot be encrypted using approved cryptographic modules
shall not be used to process, store, or transmit sensitive information.
AC-19,
SC-8,
SC-9,
SC-12
4.6.2.3.b
Functions that transmit or receive video, IR, or radio frequency RF)signals
shall be disabled in areas where sensitive information is discussed.
AC-19,
PE-18
4.6.2.3.c
Short Message Service (SMS) and Multimedia Messaging Service (MMS)
shall not be used to process, store, or transmit sensitive information, and shall
be disabled whenever possible.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.6.3 Wireless Tactical Systems
Wireless tactical systems include LMR subscriber devices, infrastructure equipment, remote
sensors, and technical investigative communications systems. Because they are often deployed
under circumstances in which officer safety and mission success are at stake, wireless tactical
systems require even greater security measures. To ensure secure tactical communications,
Components must implement strong identification, authentication, and encryption protocols
designed specifically for each wireless tactical system.
Wireless tactical system policy and procedures are described more completely in Attachment Q3
(Wireless Tactical Systems) to the DHS 4300A Sensitive Systems Handbook.
Policy
ID
DHS Policy Statements
Relevant
Controls
4.6.3.a
AOs shall be immediately notified when any security features are disabled in
response to time-sensitive, mission-critical incidents.
CM-3
4.6.3.b
Wireless tactical systems shall implement strong identification, authentication,
and encryption.
IA-2,
IA-7,
SC-8,
SC-9
4.6.3.c
Cost-effective countermeasures to denial-of-service attacks shall be identified
and established prior to a wireless tactical system being approved for use.
SC-5
4.6.3.d
Components shall maintain a current inventory of all approved wireless
tactical systems in operation.
PM-5
4.6.3.e
Legacy tactical wireless systems that are not compliant with DHS information
security policy shall implement a migration plan to outline the provisions,
procedures, and restrictions for transitioning these systems to DHS-compliant
security architectures. Operation of these noncompliant systems requires an
approved waiver or exception from the DHS CISO, as appropriate.
---
4.6.3.f
The security configuration of LMR subscriber units shall be validated via overthe-air-rekeying (OTAR) or hard rekey using a crypto-period no longer than
180 days.
SC-12
4.6.3.g
All LMR systems shall comply with Project 25 (P25, EIA/TIA-102) security
standards where applicable.
CM-2
4.6.4 Radio Frequency Identification
Radio Frequency Identification (RFID) enables wireless identification of objects over significant
distances. Because of the computing limitations of RFID tags, it often is not feasible to
implement many of the security mechanisms, such as cryptography and strong authentication
that are commonly supported on personal workstations, servers, and network infrastructure
devices. RFID security controls can support Departmental and Component privacy objectives,
mitigate risks to business processes, and prevent the disclosure of sensitive data.
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
RFID policy and procedures are described more completely in Attachment Q4 (Sensitive RFID
Systems) to the DHS 4300A Sensitive Systems Handbook.
Policy
ID
DHS Policy Statements
Relevant
Controls
4.6.4.a
Components implementing RFID systems shall assess hazards of
electromagnetic radiation to fuel, ordinance, and personnel before deployment
of the RFID technology.
PE-18
4.6.4.b
Components shall limit data stored on RFID tags to the greatest extent
possible, recording information beyond an identifier only when required for
the application mission. When data beyond an identifier is stored on a tag, the
tag’s memory shall be protected by access control.
AC-6,
PL-5
4.6.4.c
Components shall develop a contingency plan, such as the use of a fallback
identification technology, to implement in case of an RFID security breach or
system failure.
---
4.6.4.d
Components shall identify and implement appropriate operational and
technical controls to limit unauthorized tracking or targeting of RFID-tagged
items when these items are expected to travel outside the Component’s
physical perimeter.
AC-14
4.6.4.e
When the RFID system is connected to a DHS data network, Components shall
implement network security controls to segregate RFID network elements such
as RFID readers, middleware, and databases from other non-RFID network
hosts.
CM-6
4.6.4.f
Components implementing RFID technology shall determine whether or not
tag cloning is a significant business risk. If such a significant risk exists, then
tag transactions shall be cryptographically authenticated.
IA-7,
PM-9,
RA-3
4.7
Overseas Communications
Policy
ID
4.7.a
DHS Policy Statements
Where required or appropriate, all communications outside of the United
States and its territories shall be in accordance with the Department of State
Foreign Affairs Manual (FAM), 12 FAM 600, Information Security
Technology.
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Relevant
Controls
---
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.8
Equipment
4.8.1 Workstations
Policy
ID
DHS Policy Statements
Relevant
Controls
AC-11,
CM-6
4.8.1.a
Components shall configure workstations to either log off, or activate a
password-protected lock, or password-protected screensaver within fifteen (15)
minutes of user inactivity.
4.8.1.b
Components shall ensure that workstations are protected from theft.
PE-3
4.8.1.c
Users shall either log off or lock their workstations when unattended.
---
4.8.2 Laptop Computers and Other Mobile Computing Devices
Policy
ID
DHS Policy Statements
Relevant
Controls
4.8.2.a
Information stored on any laptop computer or other mobile computing device
that may be used in a residence or on travel shall use encryption in accordance
with Section 5.5.1, Encryption, for data at rest and in motion. Passwords,
tokens and Smart Cards shall not be stored on or with the laptop or other
mobile computing device.
AC-19,
IA-2,
SC-12
4.8.2.b
Laptop computers shall be powered down when not in use (due to volatile
memory vulnerabilities).
AC-19,
PL-4
4.8.2.c
Laptop computers and other mobile computing devices in offices shall be
secured when unattended via a locking cable, locked office, or locked cabinet
or desk.
AC-19,
PE-3,
PL-4
4.8.2.d
Users shall obtain the written approval of the office director before taking a
laptop computer or other mobile computing device outside of the United States
or its territories.
AC-19,
PL-4
4.8.3 Personally Owned Equipment and Software
Policy
ID
DHS Policy Statements
Relevant
Controls
4.8.3.a
Personally owned equipment and software shall not be used to process, access,
or store sensitive information without the written prior approval of the AO.
SA-6
4.8.3.b
Equipment that is not owned or leased by the Federal Government, or operated
by a contractor on behalf of the Federal Government, shall not be connected to
DHS equipment or networks without the written prior approval of the
Component CISO/ISSM.
SA-9
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
4.8.3.c
DHS Policy Statements
Any device that has been obtained through civil or criminal asset forfeiture
shall not be used as part of a DHS information system nor used to process
DHS data.
Relevant
Controls
AC-20
4.8.4 Hardware and Software
Policy
ID
DHS Policy Statements
Relevant
Controls
4.8.4.a
Components shall ensure that DHS information systems follow the
hardening guides for operating systems and the configuration guides for
applications promulgated by the DHS CISO. DHS Sensitive Systems
Handbook, Enclosure 1, includes the DHS Secure Baseline
Configuration Guides.
CM-2,
CM-6
4.8.4.b
Components shall limit access to system software and hardware to authorized
personnel.
AC-3,
CM-5
4.8.4.c
Components shall test, authorize, and approve all new and revised software
and hardware prior to implementation in accordance with their Configuration
Management Plan.
CM-2,
CM-3
4.8.4.d
Components shall manage systems to reduce vulnerabilities through
vulnerability testing and management, promptly installing patches, and
eliminating or disabling unnecessary services.
CM-3,
RA-5
4.8.4.e
Components shall ensure that maintenance ports are disabled during normal
system operation and enabled only during approved maintenance activities.
MA-1
4.8.4.f
System libraries shall be managed and maintained to protect privileged
programs and to prevent or minimize the introduction of unauthorized code.
SI-7
4.8.4.g
Components shall develop maintenance policy and procedures.
MA-1
4.8.4.h
If cleared maintenance personnel are not available, a trusted DHS employee
with sufficient technical knowledge to detect and prevent unauthorized
modification to the information system or its network shall monitor and escort
the maintenance personnel during maintenance activities. This situation shall
only occur in exceptional cases. Components shall take all possible steps to
ensure that trusted maintenance personnel are available.
MA-5
4.8.4.i
Maintenance using a different user’s identity may be performed only when the
user is present. The user shall log in and observe the maintenance actions at all
times. Users shall not share their authentication information with maintenance
personnel.
MA-5
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.8.5 Personal Use of Government Office Equipment and DHS Systems/Computers
Policy
ID
DHS Policy Statements
Relevant
Controls
4.8.5.a
DHS employees may use Government office equipment and DHS
systems/computers for authorized purposes only. “Authorized use” includes
limited personal use as described in DHS MD 4600.1, Personal Use of
Government Office Equipment, and DHS MD 4900, Individual Use and
Operation of DHS Information Systems/Computers.
---
4.8.5.b
Limited personal use of DHS email and Internet services is authorized for
DHS employees as long as this use does not interfere with official duties,
inhibit the security of information and information systems, or cause
degradation of network services. Specifically prohibited activities include
streaming of audio or video, social networking, peer-to-peer networking,
software or music sharing/piracy, online gaming, webmail, Instant Messaging
(IM), hacking, and the viewing of pornography or other offensive content.
DHS users shall comply with the provisions of DHS MD 4500.1, DHS E-mail
Usage, and DHS MD 4400.1, DHS Web and Information Systems.
---
4.8.5.c
Anyone granted user account access to any DHS information system
(including DHS employees, contractors, and others working on behalf of DHS)
shall have no expectations of privacy associated with its use. By completing
the authentication process, the user acknowledges his or her consent to
monitoring.
AC-8
4.8.5.d
The use of Government office equipment and DHS systems/computers
constitutes consent to monitoring and auditing of the equipment/systems at all
times. Monitoring includes the tracking of internal transactions and external
transactions such as Internet access. It also includes auditing of stored data on
local and network storage devices as well as removable media.
AC-8
4.8.5.e
DHS users are required to sign rules of behavior prior to being granted system
accounts or access to DHS systems or data. The rules of behavior shall contain
a “Consent to Monitor” provision and an acknowledgement that the user has
no expectation of privacy.
PL-4
4.8.5.f
Contractors, others working on behalf of DHS, or other non-DHS employees
are not authorized to use Government office equipment or information
systems/computers for personal use, unless limited personal use is specifically
permitted by the contract or memorandum of agreement. When so authorized,
the limited personal use policies of this section and the provisions of DHS MD
4600.1, DHS MD 4900, DHS MD 4400.1, and DHS MD 4500.1 shall apply.
---
4.8.6 Wireless Settings for Peripheral Equipment
Peripheral equipment (printers, scanners, fax machines) often includes capabilities, intended to
allow wireless access to these devices. Although convenient, wireless access comes with
additional risks. In general, wireless access is not allowed on DHS networks.
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Policy
ID
DHS Policy Statements
Relevant
Controls
4.8.6.a
Components shall ensure that wireless capabilities for peripheral equipment
are disabled. This applies all to peripherals connected to any DHS network or
to systems processing or hosting DHS sensitive data.
CM-7
4.8.6.b
In cases where valid mission requirements or equipment limitations prevent
disabling wireless capabilities, Components shall comply with all requirements
outlined in Section 4.6, Wireless Communication and obtain a waiver or
exception in accordance with this policy.
CM-7
4.9
Department Information Security Operations
The DHS EOC is the central coordinating and reporting authority for all Sensitive and National
Security computer security incidents throughout the Department. The HSDN SOC shall report
incidents to the DHS EOC through appropriate channels to protect data classification. The
HSDN SOC is subordinate to the DHS EOC, acting as the central coordinating and reporting
authority for all SECRET computer security incidents throughout the Department.
Policy
ID
DHS Policy Statements
Relevant
Controls
4.9.a
It is the policy of DHS that employees, contractors, or others working on
behalf of DHS have no privacy expectations associated with the use of any
DHS network, system, or application. This policy is further extended to
anyone who is granted account access to any network, system, or application
in use in the Department. By completing the account log in process the account
owner acknowledges their consent to monitoring.
4.9.b
Component SOCs and the HSDN SOC shall be operationally subordinate to
the DHS EOC. The DHS EOC shall provide operational oversight and
guidance.
IR-1
4.9.c
The DHS EOC or Component SOCs shall lead the coordination and
administration of Department and Component policy enforcement points, such
as firewalls.
SC-7
4.9.d
The DHS EOC shall implement the Department logging strategy, coordinated
with Component SOCs, to enable endpoint visibility and Departmental
situational awareness.
---
4.9.e
All SOCs shall have the capability to process intelligence information at the
collateral level or above. The DHS EOC and Component SOCs shall have the
ability to process SECRET level information continuously and shall have the
capability to receive TS/SCI information.
IR-4
4.9.f
SOCs shall ensure that personnel are appropriately cleared to access Joint
Worldwide Intelligence Communications System (JWICS). SOC managers are
free to determine the number and type of personnel to be cleared, but at least
IR-4
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AC-8,
PL-4
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
one cleared person shall be available per shift. (This person may be on call.) A
Government officer shall be available continuously for incident response and
management.
4.9.g
All Department SOCs shall establish and maintain a forensic capability as
outlined in the DHS Enterprise Operations Concept of Operations (EOC
CONOPS).
IR-7
4.9.h
Department information security operations shall provide a vulnerability
management capability. DHS EOC provides Information Security
Vulnerability Management (ISVM) messages and vulnerability assessment
capabilities. Component SOCs shall develop a robust vulnerability
management capability to compliment the DHS EOC.
SI-5
4.9.i
Component CISOs shall ensure that the DHS CISO is kept apprised of all
pertinent matters involving the security of information systems and that
security-related decisions and information are distributed to the ISSOs and
other appropriate persons.
SI-5
4.9.j
Component SOCs shall report operationally to the respective
Component CISO. Each CISO shall exercise oversight over their
Components’ information security operations functions, including the
Component SOCs.
IR-1
4.9.k
The DHS EOC shall report operationally to the DHS CISO.
4.10
Security Incidents and Incident Response and Reporting
Policy
ID
DHS Policy Statements
Relevant
Controls
4.10.a
Components shall establish and maintain a continuous incident response
capability.
IR-1
4.10.b
Components shall report significant incidents to the DHS EOC by calling
(703) 921-6505 as soon as possible but not later than one (1) hour from
"validation” (e.g., a security event being confirmed as a security incident).
Other means, such as the EOC ONLINE portal (https://eoconline.dhs.gov) are
acceptable, but the Component shall positively verify that the notification is
received and acknowledged by the DHS EOC.
IR-6
4.10.c
Significant HSDN incidents shall be documented with a preliminary report that
shall be provided to the HSDN Government Watch Officer or DHS EOC
within one hour. An initial detailed report shall be provided to the DHS EOC
as soon as possible but not later than one hour from "validation” via secure
communications. Subsequent updates and status reports shall be provided to
the DHS EOC every twenty-four (24) hours via HSDN SOC ONLINE until
incident resolution or when new information is discovered. Significant
IR-6
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
incidents are reported individually on a per incident basis and shall not be
reported in the monthly summary report. Additional guidance is located in
DHS 4300A Attachment F, Incident Response and Reporting, Section 3.0.
4.10.d
Components shall report minor incidents on systems in the weekly incident
report. SBU systems may report via the DHS EOC portal
(https://eoconline.dhs.gov). Components with no portal access shall report
minor incidents via email to dhs.soc@dhs.gov. HSDN incidents or incidents
involving SECRET information shall be documented in a summary report via
the HSDN DHS EOC portal.
IR-6
4.10.e
DHS personnel shall follow DHS CISO procedures for detecting, reporting,
and responding to information security incidents in accordance with the DHS
EOC CONOPS. Reports shall be classified at the highest classification level of
the information contained in the document. Unsanitized reports shall be
marked and handled appropriately.
IR-1
4.10.f
If a DHS Component has no incidents to report for a given week, a weekly
“No Incidents” report shall be sent to the EOC.
IR-6
4.10.g
The DHS EOC shall report incidents to US-CERT, in accordance with the
DHS EOC CONOPS. Components shall not send incident reports directly to
US-CERT.
IR-6
4.10.h
The DHS EOC shall receive classified spillage incident reports, and support
the DHS CSO for containment and cleanup. All classified spillages are
significant incidents.
IR-6
4.10.i
The DHS EOC shall maintain information security “playbooks,” that is,
checklists that implement procedures and provide guidance on how to respond
rapidly to developing incidents.
IR-1
4.10.j
The DHS EOC shall respond to detected faults, attacks, events, or incidents
and communicate incident reports to external organizations that may be
affected.
IR-1
4.10.k
Components shall maintain a full SOC and CSIRC capability or outsource this
capability to the DHS EOC. The DHS EOC shall provide SOC and CSIRC
services to Components in accordance with formal agreements. Information
regarding incident response capability is available in Attachment F of the DHS
4300A Sensitive Systems Handbook.
IR-7
4.10.l
Components shall develop and publish internal computer security incident
response plans and incident handling procedures, and provide copies to the
DHS CSIRC. These procedures shall include a detailed CM process for
modification of security device configurations.
IR-1
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
Policy
ID
DHS Policy Statements
Relevant
Controls
4.10.m
Component Heads shall take corrective actions when security incidents and
violations occur and shall hold personnel accountable for intentional
transgressions.
IR-1
4.10.n
The DHS EOC shall monitor and report incident investigation and incident
remediation activities to the DHS CIO and CISO in accordance with the DHS
EOC CONOPS until the incident is closed.
IR-5
4.10.o
The DHS CISO shall determine the frequency and content of security incident
reports.
IR-6
4.10.p
The Component CSIRC shall report incidents only to the DHS EOC and to no
other external agency or organization.
IR-6
4.10.q
The DHS CISO shall publish Incident Response Testing and Exercise
scenarios as required.
IR-1
4.10.r
The Component CISO for each Component providing an incident response
capability shall ensure Incident Response Testing and Exercises are conducted
annually in coordination with the DHS CISO.
IR-3
4.10.1 Law Enforcement Incident Response
The DHS EOC shall notify the DHS Chief, Internal Security and Investigations Division, Office
of Security (CISID-OIS) whenever an incident requires law enforcement involvement. Law
enforcement shall coordinate with the DHS EOC, the CISID-OIS, the Component, and other
appropriate parties whenever a crime is committed or suspected.
Policy
ID
DHS Policy Statements
Relevant
Controls
4.10.1.a
Components shall coordinate all external law enforcement involvements
through the DHS EOC and obtain guidance from the DHS EOC before
contacting local law enforcement. Exceptions are only made during
emergencies where there is risk to life, limb, or destruction of property. In
cases of emergency notification, the Component shall notify the DHS EOC as
soon as possible, by the most expedient means available.
IR-6
4.10.1.b
Security Incidents may include law enforcement (LE) or counter intelligence
(CI) elements, such as maintaining a chain of custody. All incidents containing
a LE/CI aspect shall be coordinated with the DHS CSO through the DHS
EOC.
IR-6
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.11
Documentation
Policy
ID
DHS Policy Statements
Relevant
Controls
4.11.a
Components shall ensure that information systems and networks are
appropriately documented in such a way as to allow others to understand
system operation and configuration.
CM-8
4.11.b
System Owners shall update system documentation annually or whenever
system changes occur. Such changes include:
• A vulnerability scan of the information system;
• New threat information;
• Weaknesses or deficiencies discovered in currently deployed security
controls after an information system breach;
• A redefinition of mission priorities or business objectives resulting in a
change to the security category of the information system; and
CM-3,
CM-8,
SA-5
A change in the information system (e.g., adding new hardware, software, or
firmware; establishing new connections) or the system’s environment of
operation
4.11.c
Documentation shall be kept on hand and be accessible to authorized personnel
(including auditors) at all times.
CM-3
4.11.d
System documentation may be categorized as Sensitive if deemed appropriate
by the Component CISO/ISSM. This category shall not be used as a means to
restrict access to auditors or other authorized personnel.
CM-3
4.12
Information and Data Backup
Policy
ID
DHS Policy Statements
Relevant
Controls
4.12.a
The policies in this document, including Security Authorization Process
requirements, apply to any devices that process or host DHS data.
---
4.12.b
Component CISOs/ISSMs shall determine whether or not automated process
devices shall be included as part of an information system’s Security
Authorization Process requirements.
---
4.12.c
. This policy directive and the DHS 4300A Sensitive Systems Handbook apply
to all DHS employees, contractors, detailees, others working on behalf of
DHS, and users of DHS information systems that collect, generate, process,
store, display, transmit, or receive DHS data. This includes prototypes,
telecommunications systems, and all systems in all phases of the System
Engineering Life Cycle.
---
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
4.13
Converging Technologies
Advances in technology have resulted in the availability of devices that offer multiple functions.
Many devices such as multifunctional desktop computers, copiers, facsimile machines, and
heating, ventilation and air conditioning (HVAC) systems may contain sensitive data and may
also be connected to data communications networks.
Policy
ID
DHS Policy Statements
Relevant
Controls
4.13.a
The policies in this document apply to any networked devices that contain
information technology, including copiers, facsimile machines, and alarm
control systems.
---
4.13.b
Components shall ensure that network printers and facsimile machines are
updated to the latest version of their firmware/software at least annually.
CM-2
4.13.c
Components shall ensure that network printers, copiers, and facsimile
machines shall be configured for least required functionality.
CM-7
4.13.d
Components shall ensure that each network printer, copier, and facsimile
machine is within the system definition of a DHS information system that has
a current ATO.
CM-8
4.13.e
Components shall ensure that remote maintenance of network printers, copiers,
and facsimile machines is conducted only from within DHS networks. If
maintenance planning does not include performing remote maintenance,
Components shall ensure that remote maintenance capabilities are disabled.
MA-4
4.13.f
Components shall ensure that network printers, copiers, and facsimile
machines are configured to restrict administrator access to authorized
individuals or groups.
MA-5
4.13.g
Components shall ensure that maintenance or disposal of network printers,
copiers, or facsimile machines, approved for sensitive reproduction, is
performed only while escorted by a properly cleared person with knowledge to
detect any inappropriate action.
MA-5
4.13.h
Components shall ensure that memory and hard drives do not leave the
facility; they are to be replaced and the old part destroyed as sensitive media.
MP-6
4.13.i
Components shall locate network printers, copiers, and facsimile machines
approved to process sensitive information in areas where access can be
controlled when paper output is being created.
PE-18
4.13.j
Any multifunction device connected to a DHS network or other information
system containing sensitive data shall have the inbound dial in capabilities
disabled.
AC-17
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DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
5.0
TECHNICAL POLICIES
The design of information systems that process, store, or transmit sensitive information shall
include the automated security features discussed in this section. Security safeguards shall be in
place to ensure that each person having access to sensitive information systems is individually
accountable for his or her actions while utilizing the system.
5.1
Identification and Authentication
Policy
ID
DHS Policy Statements
Relevant
Controls
5.1.a
Components shall ensure that user access is controlled and limited based on
positive user identification and authentication mechanisms that support the
minimum requirements of access control, least privilege, and system integrity.
IA-1,
IA-2
5.1.b
For information systems requiring authentication controls, Components shall
ensure that the information system is configured to require that each user be
authenticated before information system access occurs.
IA-1,
IA-2
5.1.c
For systems with low impact for the confidentiality security objective,
Components shall disable user identifiers after ninety (90) days of inactivity;
for systems with moderate and high impacts for the confidentiality security
objective, Components shall disable user identifiers after forty-five (45) days
of inactivity.
IA-4
5.1.d
DHS users shall not share identification or authentication materials of any
kind, nor shall any DHS user allow any other person to operate any DHS
system by employing the user’s identity.
IA-5
5.1.e
All user authentication materials shall be treated as sensitive material and shall
carry a classification as high as the most sensitive data to which that user is
granted access using that authenticator.
IA-7
5.1.f
Components shall implement strong authentication on servers, for system
administrators and personnel with significant security responsibilities, within
six (6) months of the Component’s implementation of Homeland Security
Presidential Directive (HSPD) HSPD-12.
IA-2
5.1.1 Passwords
The least expensive method for authenticating users is a password system in which authentication
is performed each time a password is used. More sophisticated authentication techniques, such as
Smart Cards and biological recognition systems (e.g., retina scanner, handprint, voice
recognition), shall be cost-justified through the risk assessment process.
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DHS Policy Statements
Relevant
Controls
5.1.1.a
In those systems where user identity is authenticated by password, the system
ISSO shall determine and enforce appropriate measures to ensure that strong
passwords are used.
IA-5
5.1.1.b
The ISSO shall determine and enforce the appropriate frequency for changing
passwords in accordance with appropriate guidance documentation (if
published). In the absence of specific guidance documentation, passwords shall
not remain in effect longer than ninety (90) days.
IA-5
5.1.1.c
DHS users shall not share personal passwords.
IA-5
5.1.1.d
Use of group passwords is limited to situations dictated by operational
necessity or critical for mission accomplishment. Use of a group User ID and
password shall be approved by the appropriate AO.
IA-4
5.1.1.e
Components shall prohibit passwords from being embedded in scripts or
source code.
IA-5
5.1.1.f
Components shall ensure that all passwords are stored in encrypted form.
IA-5
The use of a personal password by more than one individual is prohibited throughout the DHS.
However, it is recognized that, in certain circumstances such as the operation of crisis
management or operations centers, watch team, and other duty personnel may require the use of
group User IDs and passwords.
5.2
Access Control
Policy
ID
DHS Policy Statements
Relevant
Controls
5.2.a
Components shall implement access control policy and procedures that provide
protection from unauthorized alteration, loss, unavailability, or disclosure of
information.
AC-1
5.2.b
Access control shall follow the principles of least privilege and separation of
duties and shall require users to use unique identifiers. Social Security
Numbers shall not be used as login IDs.
AC-2,
IA-1
5.2.c
Users shall not provide their passwords to anyone, including system
administrators.
IA-5
5.2.d
Emergency and temporary access authorization shall be strictly controlled and
shall be approved by the Component CISO/ISSM or his/her designee prior to
being granted.
AC-2
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Relevant
Controls
5.2.e
System Owners shall ensure that users are assigned unique account identifiers.
AC-2,
IA-4
5.2.f
DHS systems with a FIPS 199 confidentiality categorization of high shall limit
the number of concurrent sessions for any user to one (1).
AC-10
5.2.1 Automatic Account Lockout
Components shall configure each information system to lock a user’s account for a specified
period following a specified number of consecutive failed logon attempts. Users shall be locked
from their account for a period of twenty (20) minutes after three consecutive failed logon
attempts during a twenty-four (24) hour time period. All failed logon attempts must be recorded
in an audit log and periodically reviewed.
Policy
ID
DHS Policy Statements
Relevant
Controls
5.2.1.a
Components shall configure accounts to automatically lock a user’s account
after three consecutive failed logon attempts during a twenty-four (24) hour
time period.
AC-7
5.2.1.b
The automatic lockout period for accounts locked due to failed login attempts
shall be set for twenty (20) minutes.
AC-7
5.2.1.c
Components shall establish a process for manually unlocking accounts prior to
the expiration of the twenty (20) minute period, after sufficient user
identification is established. This may be accomplished through the help desk.
AC-7
5.2.2 Automatic Session Termination
A session refers to a connection between a terminal device (workstation, laptop, PED) and a
networked application or system. (This does not include a direct connection to a DHS network,
such as authenticating from a device that is directly connected to a DHS network.) A session also
refers to accessing an application or system through the DHS network, such as a database or
networked application. When a session is locked, the user may resume activity by
reauthenticating. When a session is terminated, the user is disconnected and all unsaved work is
lost.
Policy
ID
5.2.2.a
DHS Policy Statements
Components shall configure networked applications or systems to
automatically lock any user session in accordance with the appropriate
configuration guide. In the absence of configuration guidance, the session shall
lock following twenty (20) minutes of inactivity.
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Relevant
Controls
AC-11
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Policy
ID
DHS Policy Statements
Relevant
Controls
5.2.2.b
Locked sessions shall remain locked until the user re-authenticates.
AC-11
5.2.2.c
Sessions shall automatically be terminated after sixty (60) minutes of
inactivity.
SC-10
5.2.3 Warning Banner
The DHS CISO stipulates that a warning banner statement be displayed on all DHS systems
during logon. The most current language can be found on the DHS CISO web page.
Please note that the current warning banner was developed specifically for use on DHS
workstations. Due to differing function, purpose and situation as well as length requirements,
warning banners for other environments, such as routers, switches and public-facing websites,
will be developed and included in a future version of the DHS 4300A Sensitive Systems
Handbook.
The use of the warning banner serves as a reminder to all users that the computers they are
accessing are Government computers.
Policy
ID
DHS Policy Statements
Relevant
Controls
5.2.3.a
Systems internal to the DHS network shall display a warning banner stipulated
by the DHS CISO.
AC-8
5.2.3.b
Systems accessible to the public shall provide both a security and privacy
statement at every entry point.
AC-8
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Auditing
Policy
ID
5.3.a
5.4
DHS Policy Statements
Audit records shall be sufficient in detail to facilitate the reconstruction of
events if compromise or malfunction occurs or is suspected. Audit records
shall be reviewed as specified in the SP. The audit record shall contain at least
the following information:
-
Identity of each user and device accessing or attempting to access the
system
-
Time and date of the access and the logoff
-
Activities that might modify, bypass, or negate information security
safeguards
-
Security-relevant actions associated with processing
-
All activities performed using an administrator’s identity
Relevant
Controls
AU-3
5.3.b
Audit records for financial systems or for systems hosting or processing PII
shall be reviewed each month. Unusual activity or unexplained access attempts
shall be reported to the System Owner and Component CISO/ISSM.
AU-6
5.3.c
Components shall ensure that their audit records and audit logs are protected
from unauthorized modification, access, or destruction.
AU-9
5.3.d
Components shall ensure that audit logs are recorded and retained in
accordance with the Component’s Record Schedule or the DHS Records
Schedule. At a minimum audit trail records shall be maintained online for at
least ninety (90) days. Audit trail records shall be preserved for a period of
seven (7) years as part of managing records for each system to allow audit
information to be placed online for analysis with reasonable ease.
AU-11
5.3.e
Components shall evaluate the system risks associated with extracts of PII
from databases. If the risk is determined to be sufficiently high, a procedure
shall be developed for logging computer-readable data extracts. If logging
these extracts is not possible, this determination shall be documented, and
compensating controls identified in the SP.
AU-1,
AU-2,
AU-3,
PM-9
5.3.f
Component SOCs shall implement both general and threat-specific logging.
AU-1
Network and Communications Security
5.4.1 Remote Access and Dial-In
Remote access technology allows trusted employees to access DHS networks by dialing in via
modem or accessing the DHS network via the Internet. This allows mobile employees to stay in
touch with the home office while traveling away from their normal work locations. However,
there are significant security risks associated with remote access and dial-in capabilities. Proper
procedures can help mitigate these risks.
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5.4.1.a
Data communication connections via modems shall be limited and shall be
tightly controlled as such connections can be used to circumvent security
controls intended to protect DHS networks. Data communication connections
are not allowed unless they have been authorized by the Component
CISO/ISSM. Approved remote access to DHS networks shall only be
accomplished through equipment specifically approved for that purpose.
Tethering through wireless PEDs is prohibited unless approved by the
appropriate AO.
AC-4,
AC-17,
AU-2
SC-7,
SC-8,
SC-9
5.4.1.b
Components shall centrally manage all remote access and dial-in connections
to their systems and shall ensure that remote access and approved dial-in
capabilities provide strong authentication, two-factor authentication, audit
capabilities, and protection for sensitive information throughout transmission.
DHS has an immediate goal that remote access shall only be allowed with twofactor authentication where one of the factors is provided by a device separate
from the computer gaining access. Any two-factor authentication shall be
based on Department-controlled certificates or hardware tokens issued directly
to each authorized user. Remote access solutions shall comply with the
encryption requirements of FIPS 140-2, Security Requirements for
Cryptographic Modules. See Privacy Controls Section (Section 3.14) for
additional requirements involving remote access of PII.
AC-4,
AC-17,
AU-2
SC-7,
SC-8,
SC-9
5.4.1.c
Remote access of PII shall comply with all DHS requirements for sensitive
systems, including strong authentication. Strong authentication shall be
accomplished via virtual private network (VPN) or equivalent encryption and
two-factor authentication. The Risk Assessment and SP shall document any
remote access of PII, and the remote access shall be approved by the AO prior
to implementation.
AC-4,
AC-17,
AU-2
SC-7,
SC-8,
SC-9
5.4.1.d
Remote access of PII shall not permit the download and remote storage of
information unless the requirements for the use of removable media with
sensitive information have been addressed. All downloads shall follow the
concept of least privilege and shall be documented with the SP.
---
5.4.2 Network Security Monitoring
Security Monitoring, Detection and Analysis are key functions and are critical to maintaining the
security of DHS information systems. Monitoring and analysis is limited to observing network
activity for anomalies, malicious activities and threat profiles. Content analysis is not within the
scope of network monitoring.
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Controls
5.4.2.a
Components shall provide continuous monitoring of their networks for security
events or outsource this requirement to the DHS EOC. Monitoring includes
interception and disclosure as required for the rendition of service or to protect
the Department’s or Component’s rights or property. Service observing or
random monitoring shall not be used except for mechanical or service quality
control checks. (As per the Electronic Communications Privacy Act) In this
instance, “rights” refers to ownership or entitlements or property or
information as in intellectual property.
SI-4
5.4.2.b
The DHS EOC shall administer and monitor DHS intrusion detection system
(IDS) sensors and security devices.
SI-4
5.4.2.c
Component SOCs shall administer and monitor Component IDS sensors and
security devices.
SI-4
5.4.3 Network Connectivity
A system interconnection is the direct connection of two or more information systems for the
purpose of sharing data and other information resources. This applies to systems that pass data
between each other via a direct system-to-system interface without human intervention. Any
physical connection that allows other systems to share data (pass thru) also constitutes an
interconnection, even if the two systems connected do not share data between them. It does not
include instances of a user logging on to add or retrieve data, nor users accessing web-enabled
applications through a browser.
Policy
ID
DHS Policy Statements
Relevant
Controls
5.4.3.a
Components shall ensure that appropriate identification and authentication
controls, audit logging, and access controls are implemented on every network
element.
AC-1,
AC-2,
AU-1,
AU-2,
IA-1,
IA-2
5.4.3.b
Interconnections between DHS and non-DHS systems shall be established only
through controlled interfaces and via approved service providers. The
controlled interfaces shall be accredited at the highest security level of
information on the network. Connections with other Federal agencies shall be
documented based on interagency agreements, memoranda of understanding,
service level agreements or interconnection security agreements.
CA-3
5.4.3.c
Components shall document all interconnections to the DHS OneNet with an
ISA, signed by the OneNet AO and by each applicable AO. Additional
information regarding ISAs is published in Attachment N, Preparation of
Interconnection Security Agreements, to the DHS 4300A Sensitive Systems
CA-3
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Handbook.
5.4.3.d
ISAs shall be reissued every three (3) years or whenever any significant
changes have been made to any of the interconnected systems.
CA-3
5.4.3.e
ISAs shall be reviewed and updated as needed as a part of the annual FISMA
self-assessment.
CA-3
5.4.3.f
Components may complete a master ISA, (which includes all transitioning
systems) as part of their initial OneNet transition. After transition, each
additional system or GSS shall be required to have a separate ISA.
Interconnections between DHS Components (not including DHS OneNet)
shall require an ISA whenever there is a difference in the security
categorizations for confidentiality, integrity, and availability between the
systems or when the systems do not share the same security policies. (In this
context, ‘security policies’ refers to the set of rules that controls a system’s
working environment and not to DHS information security policy.) ISAs shall
be signed by each applicable AO.
---
5.4.3.g
Components shall document interconnections between their own and external
(Non-DHS) networks with an ISA for each connection.
CA-3
5.4.3.h
The DHS CIO shall approve all interconnections between DHS enterpriselevel information systems and non-DHS information systems. The DHS CIO
shall ensure that connections with other Federal Government Agencies are
properly documented. A single ISA may be used for multiple connections
provided that the security accreditation is the same for all connections covered
by that ISA.
CA-3
5.4.3.i
The Department and Components shall implement Trust Zones through Policy
Enforcement Points (PEP), as defined in the DHS Security Architecture.
SC-7
5.4.3.j
DHS OneNet shall provide secure Name/Address resolution service. Domain
Name System Security Extensions (DNSSEC) has been designated as the DHS
service solution.
SC-20,
SC-21,
SC-22
5.4.3.k
All DHS systems connected to OneNet and operating at moderate or high level
shall utilize secure Name/Address resolution service provided by DHS
OneNet.
SC-20,
SC-21,
SC-22
5.4.3.l
The appropriate CCB shall ensure that documentation associated with an
approved change to an information system is updated to reflect the appropriate
baseline. DHS systems that interface with OneNet shall also be subject to the
OneNet CCB.
CM-3
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5.4.3.m
Interconnections between two accredited DHS systems do not require an ISA
if the interface characteristics, security requirements, nature of information
communicated and monitoring procedures for verifying enforcement of
security requirements are accounted for in the SPs or are described in another
formal document, such as a Service Level Agreement (SLA) or contract, and
the risks have been assessed and accepted by all involved AOs.
5.4.3.n
Granting the ability to log into one DHS system through another DHS system
(such as through OneNet trust) does not require an ISA, when the requirements
from Section 5.4.3.m are met.
Relevant
Controls
CA-3
---
5.4.4 Firewalls and Policy Enforcement Points
Policy Enforcement Points (PEP) separate Trust Zones as defined in the DHS Security
Architecture. Boundary protection between DHS and external networks is implemented by
firewalls at the TICs and other approved direct system inter-connections. DHS TICs are provided
by OneNet and monitored by the DHS EOC. Component SOCs may protect DHS-internal
boundaries across Trust Zones.
Policy
ID
DHS Policy Statements
Relevant
Controls
5.4.4.a
Components shall restrict physical access to firewalls and PEP to authorized
personnel.
AC-4,
SC-7
5.4.4.b
Components shall implement identification and strong authentication for
administration of the firewalls and PEPs.
AC-4,
SC-7
5.4.4.c
Components shall encrypt remote maintenance paths to the firewalls and PEPs.
MA-4,
SC-7
5.4.4.d
Components shall conduct quarterly firewall and PEP testing to ensure that the
most recent policy changes have been implemented and that all applied
policies and controls are operating as intended.
SC-7
5.4.4.e
Component SOCs shall ensure that reports on information security operations
status and incident reporting are provided to the DHS CISO as required.
IR-6
5.4.4.f
All Department and Component firewalls and PEPs shall be administered in
coordination with DHS security operation capabilities, through the DHS EOC
or Component SOCs.
SC-7
5.4.4.g
All DHS PEPs shall provide protection against denial-of-service attacks.
SC-5
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Controls
5.4.4.h
Components shall determine protocols and services permitted through their
Component-level PEPs. Components may restrict traffic sources and
destinations at their Component-level PEPs.
SC-7
5.4.4.i
The DHS CISO shall establish policy to block or allow traffic sources and
destinations at the DHS TIC PEPs. The DHS CISO policy shall prevent traffic
as directed by the DHS CIO.
SC-7
5.4.4.j
The DHS EOC shall oversee all enterprise PEPs.
---
5.4.5 Internet Security
Policy
ID
DHS Policy Statements
Relevant
Controls
5.4.5.a
Any direct connection of OneNet, DHS networks, or DHS mission systems to
the Internet or to extranets shall occur through DHS TIC PEPs. The PSTN
shall not be connected to OneNet at any time.
SC-7
5.4.5.b
Firewalls and PEPs shall be configured to prohibit any protocol or service that
is not explicitly permitted.
CM-7,
SC-7,
SC-8,
SC-9
5.4.5.c
Components shall ensure that all executable code, including mobile code (e.g.,
ActiveX, JavaScript), is reviewed and approved by the Program Manager prior
to the code being allowed to execute within the DHS environment. [Note:
When the technology becomes available and code can be vetted for security,
the policy will be “Ensure that all approved code, including mobile code (e.g.,
ActiveX, JavaScript), is digitally signed by the designated DHS authority and
that only signed code is allowed to execute on DHS systems.”]
SC-18
5.4.5.d
Telnet shall not be used to connect to any DHS computer. A connection
protocol such as Secure Shell (SSH) that employs secure authentication (two
factor, encrypted, key exchange) and is approved by the Component shall be
used instead.
CM-7,
SC-7,
SC-8,
SC-9
5.4.5.e
File Transfer Protocol (FTP) shall not be used to connect to or from any DHS
computer. A connection protocol that employs secure authentication (two
factor, encrypted, key exchange) and is approved by the Component shall be
used instead.
CM-7,
SC-7,
SC-8,
SC-9
5.4.5.f
Remote Desktop connections, such as Microsoft’s Remote Desktop Protocol
(RDP), shall not be used to connect to or from any DHS computer without the
use of an authentication method that employs secure authentication (twofactor, encrypted, key exchange).
AC-17,
IA-2
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5.4.5.g
DHS Policy Statements
In order to ensure the security and availability of DHS information and
information systems, the DHS CIO or DHS CISO may direct that specific
Internet websites or categories be blocked at the DHS TICs, on advice from
US-CERT, the DHS EOC, or other reputable sources.
Relevant
Controls
---
5.4.6 Email Security
The DHS email gateway Steward provides email monitoring for spam and virus activity at the
gateway.
DHS EOC personnel shall be trained to respond to incidents pertaining to email security and
shall assist the email Steward as necessary. Components shall provide appropriate security for
their email systems.
Policy
ID
DHS Policy Statements
Relevant
Controls
5.4.6.a
Components shall correctly secure, install, and configure the underlying email
operating system.
---
5.4.6.b
Components shall correctly secure, install, and configure mail server software.
---
5.4.6.c
Components shall secure and filter email content.
---
5.4.6.d
Components shall deploy appropriate network protection mechanisms, such as:
---
-
Firewalls
-
Routers
-
Switches
-
Intrusion detection systems
5.4.6.e
Components shall secure mail clients.
---
5.4.6.f
Components shall conduct mail server administration in a secure manner. This
includes:
---
-
Performing regular backups
-
Performing periodic security testing
-
Updating and patching software
-
Reviewing audit logs at least weekly
5.4.6.g
The DHS email gateway Steward shall provide email monitoring for malware
activity at the gateway.
SI-3
5.4.6.h
The DHS email gateway Steward shall provide email monitoring for spam at
the gateway.
SI-8
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DHS Policy Statements
Relevant
Controls
5.4.6.i
Auto-forwarding or redirecting of DHS email to address outside of the .gov or
.mil domain is prohibited and shall not be used. Users may manually forward
individual messages after determining that the risk or consequences are low.
---
5.4.6.j
All DHS email systems are required to use the common naming convention
with distinguishing identifiers for military officers, contractors, foreign
nationals, and U.S. Government personnel from other Departments and
agencies.
---
Note: Due to the significant risk associated with HTML email, DHS is considering following the
lead of the Department of Defense (DoD) and moving to text based email.
5.4.7 Personal Email Accounts
Policy
ID
DHS Policy Statements
Relevant
Controls
5.4.7.a
The use of Internet webmail (Gmail, Yahoo, AOL) or other personal email
accounts is not authorized over DHS furnished equipment or network
connections.
---
5.4.7.b
When sending email to an address outside of the .gov or .mil domain, users
shall ensure that any sensitive information, particularly PII, is attached as an
encrypted file.
---
5.4.8 Testing and Vulnerability Management
The DHS EOC takes a proactive approach to vulnerability management including detecting
vulnerabilities through testing, reporting through ISVM messages, and conducting Vulnerability
Assessments (VA).
Vulnerability management is a combination of detection, assessment, and mitigation of
weaknesses within a system. Vulnerabilities may be identified from a number of sources,
including reviews of previous risk assessments, audit reports, vulnerability lists, security
advisories, and system security testing such as automated vulnerability scanning or security
assessments.
Core elements of vulnerability management include continuous monitoring and mitigating the
discovered vulnerabilities, based on a risk management strategy. This strategy accounts for
vulnerability severity, threats, and assets at risk.
Policy
ID
5.4.8.a
DHS Policy Statements
Components shall conduct vulnerability assessments and/or testing to identify
security vulnerabilities on information systems containing sensitive
information annually or whenever significant changes are made to the
information systems. This shall include scanning for unauthorized wireless
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Relevant
Controls
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Policy
ID
DHS Policy Statements
Relevant
Controls
devices. Evidence that annual assessments have been conducted shall be
included in SARs and with annual security control assessments.
5.4.8.b
Component CISOs/ISSMs shall approve and manage all activities relating to
requests for Vulnerability Assessment Team (VAT) assistance in support of
incidents, internal and external assessments, and on-going SLC support.
---
5.4.8.c
Component CISOs/ISSMs or their designated representatives shall
acknowledge receipt of ISVM messages.
SI-5
5.4.8.d
Components shall report compliance with the ISVM message within the
specified timeframe. Components unable to meet the designated compliance
timeframe shall submit documentation of a waiver request via the DHS EOC
Online Portal (https://eoconline.dhs.gov).
SI-5
5.4.8.e
When vulnerability assessment responsibilities encompass more than one
Component, Component CISOs/ISSMs shall coordinate with the relevant
Component SOC and the DHS EOC.
RA-3
5.4.8.f
The DHS EOC shall be notified before any ISVM scans are run.
RA-5
5.4.8.g
System Owners shall report the security alert and advisory status of the
information system to the AO, Component CISO/ISSM, and DHS CISO upon
request and on a periodic basis.
SI-5
5.4.9 Peer-to-Peer Technology
Policy
ID
5.4.9.a
5.5
DHS Policy Statements
Peer to peer software technology is prohibited on any DHS information
system.
Relevant
Controls
CM-7,
SA-6
Cryptography
Cryptography is a branch of mathematics that deals with the transformation of data.
Transformation converts ordinary text (plaintext) into coded form (ciphertext) by encryption; and
ciphertext into plaintext by decryption.
5.5.1 Encryption
Encryption is the process of changing plaintext into ciphertext for the purpose of security or
privacy.
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5.5.1.a
DHS Policy Statements
Systems requiring encryption shall comply with the following methods:
Products using FIPS 197 Advanced Encryption Standard (AES) algorithms
with at least 256 bit encryption that has been validated under FIPS 140-2,
National Security Agency(NSA) Type 2, or Type 1 encryption. (Note: The use
of triple Data Encryption Standard [3DES] and FIPS 140-1 is no longer
permitted.)
Relevant
Controls
IA-7,
SC-13
5.5.1.b
Components shall develop and maintain encryption plans for sensitive
information systems.
IA-7,
SC-13
5.5.1.c
Components shall use only cryptographic modules that are FIPS 197 (AES256) compliant and have received FIPS 140-2 validation at the level
appropriate to their use.
IA-7,
SC-13
5.5.2 Public Key Infrastructure
A PKI is an architected set of systems and services that provide a foundation for enabling the use
of public key cryptography. This is necessary in order to implement strong security services and
to allow the use of digital signatures.
The principal components of a PKI are the public key certificates, registration authorities (RA),
certification authorities (CA), directory, certificate revocation lists (CRL), and a governing
certificate policy (CP.)
Policy
ID
DHS Policy Statements
Relevant
Controls
5.5.2.a
The DHS CISO shall be the DHS PKI Policy Authority (PKI PA) to provide
PKI policy oversight. A detailed description of DHS PKI PA roles and
responsibilities are provided in the DHS PKI Policy.
SC-17
5.5.2.b
The DHS CISO shall represent DHS on the Federal PKI Policy Authority
(FPKI PA.)
SC-17
5.5.2.c
The DHS PKI PA shall appoint a PKI Management Authority (PKI MA) to
provide management and operational oversight of the DHS PKI. A detailed
description of DHS PKI MA roles and responsibilities are provided in the DHS
PKI Policy.
SC-17
5.5.2.d
The DHS PKI shall be governed by the U.S. Common Policy Framework
certificate policy approved by the FPKI PA, and the DHS PKI Policy approved
by the DHS PKI PA.
SC-17
5.5.2.e
DHS shall have a single DHS Principal CA that is subordinate to the U.S.
Common Policy Root CA. The DHS Principal CA shall be operated for DHS
by the Department of Treasury (DoT) under the Federal Shared Service
Provider (SSP) program.
SC-17
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DHS Policy Statements
Relevant
Controls
5.5.2.f
All additional CAs within DHS must be subordinate to the DHS Principal CA.
The requirements and process for becoming a subordinate CA to the DHS
Principal CA shall be specified in the DHS PKI Policy.
SC-17
5.5.2.g
Components that implement a CA shall ensure that the CA is subordinate to
the DHS Principal CA.
SC-13
5.5.2.h
All DHS CAs shall have a trust path resolving to the U.S. Common Policy
Root CA. The U.S. Common Policy Root CA is cross-certified with the
Federal Bridge CA at the high, medium hardware, and medium assurance
levels.
SC-17
5.5.2.i
The DHS Principal CA shall operate under an X.509 Certification Practices
Statement (CPS). The CPS shall comply with the U.S. Common Policy
Framework. DoT, as the SSP for DHS, approves the CPS for the DHS
Principal CA.
SC-17
5.5.2.j
All DHS CAs subordinate to the DHS Principal CA shall operate under an
X.509 CPS. The CPS shall comply with the U.S. Common Policy Framework
and the DHS PKI Policy. The DHS PKI PA must approve the CPS.
SC-17
5.5.2.k
The DHS PKI PA shall ensure that the CPS for each subordinate DHS CA
complies with the U.S. Common Policy Framework and DHS PKI Policy prior
to approval.
SC-17
5.5.2.l
The DHS PKI MA shall ensure that every subordinate DHS CA operates in
compliance with its approved CPS.
SC-17
5.5.2.m
All DHS CAs shall undergo regular PKI compliance audits as required by the
U.S. Common Policy Framework and the DHS PKI Policy. The DHS PKI PA
shall approve the auditor. The audit findings, report, and POA&Ms to address
deficiencies found shall be provided to the DHS PKI PA and DHS PKI MA.
SC-17
5.5.2.n
All DHS CAs shall archive records as required by the U.S. Common Policy
Framework and their CPS.
SC-17
5.5.2.o
All operational PKI facilities shall be established in accordance with U.S.
Common Policy Framework physical security requirements based on the CA’s
assurance level and its intended use. Location/protection of the CA shall be
determined by its level of assurance. Measures taken to ensure the continuity
of PKI operations shall at least provide the same level of availability of PKI
Services as the individual and composite availability requirements of the
systems and data protected by the certificates.
SC-17
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ID
DHS Policy Statements
Relevant
Controls
5.5.2.p
The DHS Principal CA and DHS subordinate CAs shall only issue certificates
to internal DHS entities, e.g., employees, contractors, roles, groups,
applications, code signers, and devices. External entities who require
certificates to securely interact with DHS shall acquire certificates from a nonDHS PKI that is cross-certified with the FBCA at medium assurance or above.
SC-17
5.5.2.q
Only the DHS Principal CA shall issue certificates to DHS employees,
contractors, roles, code signers, and other human entities, including certificates
for DHS HSPD-12 Personal Identify Verification (PIV) Cards. The DHS
Principal CA may also issue all other types of certificates allowed under the
U.S. Common Policy to internal DHS entities.
SC-17
5.5.2.r
DHS Subordinate CAs shall only issue certificates to internal non-human
entities. Any additional restrictions on the types of certificates that may be
issued by a specific subordinate DHS CA shall be determined during the
subordination process and approved by the DHS PKI PA.
SC-17
5.5.2.s
The use by DHS of any non-DHS service provider for CA or PKI services is
prohibited unless approved by the DHS CISO.
SC-13
5.5.2.t
Only certificates that are issued by the DHS Principal CA or a subordinate
DHS CA under the U.S. Common Policy Framework at medium assurance or
above shall be used to protect sensitive DHS data or to authenticate to
operational systems containing sensitive data. Certificates issued by DHS CAs
that are not established as subordinate to the DHS Principal CA, certificates
issued by test, pilot, third party, self-signed or other CAs shall not be used to
protect sensitive data, or to authenticate to DHS operational systems
containing sensitive data.
SC-17
5.5.3 Public Key/Private Key
A public key certificate is used to obtain subscribers’ public keys in a trusted manner. Once
obtained, the public key is then used:
•
To encrypt data for that subscriber so that only that subscriber can decrypt it
•
To verify that digitally signed data was signed by that subscriber, thereby authenticating the
identity of the signing subscriber, and the integrity of the signed data
Policy
ID
DHS Policy Statements
Relevant
Controls
5.5.3.a
Separate public/private key pairs must be used for encryption and digital
signature by human subscribers, organization subscribers, application
subscribers, and code-signing subscribers.
SC-12
5.5.3.b
Separate public/private key pairs must be used for encryption and digital
signature by device subscribers whenever supported by the protocols native to
SC-12
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ID
DHS Policy Statements
Relevant
Controls
the type of device.
5.5.3.c
A human sponsor shall represent each application, role, code-signing, and
device subscriber when it applies for one or more certificates from a DHS CA.
SC-12
5.5.3.d
An authorized DHS employee shall sponsor DHS contractors and other
affiliates when they apply for one or more certificates from a DHS CA.
SC-12
5.5.3.e
A mechanism shall be provided for each DHS CA to enable PKI registrars to
determine the eligibility of each proposed human, role, application, code
signer, or device to receive one or more certificates.
SC-12
5.5.3.f
A mechanism shall be provided for each DHS CA to enable PKI registrars to
determine and verify the identity of the authorized human sponsor for each
DHS contractor, affiliate, role, application, code signer, or device.
SC-12
5.5.3.g
Human subscribers shall not share private keys and shall be responsible for
their security and use. If a human subscriber discloses or shares his or her
private key, the subscriber shall be accountable for all transactions signed with
the subscriber’s private key.
5.5.3.h
Sponsors for non-human subscribers (role, application, code-signing, or
device) shall be responsible for the security of and use of the subscriber’s
private keys. Every sponsor shall read, understand, and sign a “DHS PKI
Device Sponsor Agreement” as a pre-condition for sponsoring non-human
subscribers.
SC-17
5.5.3.i
Subscriber private keys shall not be used by more than one entity, with the
following exception. Multiple devices in a high availability configuration may
use a single Secure Socket Layer (SSL) Subject Alternative Name (SAN)
certificate, and thus use the same key pair.
SC-12
5.5.3.j
Every human subscriber shall read, understand, and sign a “DHS PKI Human
Subscriber Agreement” as a pre-condition for receiving certificates from a
DHS CA. These signed agreements shall be maintained by the DHS PKI MA.
SC-17
5.6
---
Malware Protection
Policy
ID
DHS Policy Statements
Relevant
Controls
5.6.a
Component CISOs/ISSMs shall establish and enforce Component-level
malware protection control policies.
SI-3
5.6.b
Components shall implement a defense-in-depth strategy that:
SI-3
-
Installs antivirus software on desktops and servers
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Policy
ID
5.6.c
5.7
DHS Policy Statements
-
Configures antivirus software on desktops and servers to check all files,
downloads, and email
-
Installs updates to antivirus software and signature files on desktops and
servers in a timely and expeditious manner without requiring the end user
to specifically request the update
-
Installs security patches to desktops and servers in a timely and
expeditious manner
System Owners shall develop and enforce procedures to ensure proper
malware scanning of media prior to installation of primary hard drives,
software with associated files, and other purchased products.
Relevant
Controls
AC-20,
SI-3
Product Assurance
Policy
ID
DHS Policy Statements
Relevant
Controls
5.7.a
Information Assurance (IA) shall be considered a requirement for all systems
used to input, process, store, display, or transmit sensitive or national security
information. IA shall be achieved through the acquisition and appropriate
implementation of evaluated or validated COTS IA and IA-enabled IT
products. These products shall provide for the availability of systems. The
products also shall ensure the integrity and confidentiality of information and
the authentication and nonrepudiation of parties in electronic transactions.
---
5.7.b
Strong preference shall be given to the acquisition of COTS IA and IAenabled IT products (to be used on systems entering, processing, storing,
displaying, or transmitting sensitive information) that have been evaluated and
validated, as appropriate, in accordance with the following:
---
-
The NIST FIPS validation program
-
The NSA/NIST National Information Assurance Partnership (NIAP)
Evaluation and Validation Program
-
The International Common Criteria for Information Security Technology
Evaluation Mutual Recognition Agreement
5.7.c
The evaluation and validation of COTS IA and IA-enabled products shall be
conducted by accredited commercial laboratories or by NIST.
---
5.7.d
Components shall use only cryptographic modules that meet the requirements
set forth in Section 5.5, Cryptography.
---
5.7.e
Transaction-based systems (e.g., database management systems, transaction
processing systems) shall implement transaction rollback and transaction
---
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Policy
ID
DHS Policy Statements
journaling, or technical equivalents.
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Relevant
Controls
DHS SENSITIVE SYSTEMS POLICY DIRECTIVE 4300A
6.0
DOCUMENT CHANGE REQUESTS
Changes to DHS Sensitive Systems Policy Directive 4300A and to the DHS 4300A Sensitive
Systems Handbook may be requested in accordance with Section 1.7, Changes to Policy.
7.0
QUESTIONS AND COMMENTS
For clarification of DHS information security policies or procedures, contact the DHS Director
for Information Systems Security Policy at INFOSEC@dhs.gov.
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APPENDIX A
ACRONYMS
AC
Access Control
AES
Advanced Encryption Standards
AO
Authorizing Official
ARB
Acquisition Review Board
AT
Awareness and Training
ATO
Authority to Operate
AU
Audit and Accountability
BI
Background Investigation
BIA
Business Impact Assessment
BLSR
Baseline Security Requirements
CA
Certificate Authority
Certification, Accreditation, and Security Assessments
CCB
Change Control Board
CFO
Chief Financial Officer
CI
Counter-Intelligence
C-I-A
Confidentiality, Integrity, and Availability
CIO
Chief Information Officer
CISID
Chief, Internal Security and Investigations Division
CISO
Chief Information Security Officer
CM
Configuration Management
CMG
Core Management Group
CMP
Configuration Management Plan
CO
Certifying Official
CONOPS
Concept of Operations
COOP
Continuity of Operations Plan
Continuity of Operations Planning
COTS
Commercial off the Shelf
CP
Contingency Plan
Contingency Planning
Certificate Policy
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CPIC
Capital Planning and Investment Control
CPS
Certificate Practices Statement
CRE
Computer-Readable Extract
CRL
Certificate Revocation List
CSIRC
Computer Security Incident Response Center
CSO
Chief Security Officer
CUI
Control Unclassified Information
DES
Digital Encryption Standards
DHS
Department of Homeland Security
DNSSEC
Domain Name System Security Extensions
DoD
Department of Defense
DoS
Department of State
DoT
Department of Treasury
EA
Enterprise Architecture
EAB
Enterprise Architecture Board
EO
Executive Order
EOC
Enterprise Operations Center
FBCA
Federal Bridge Certification Authority
FDCC
Federal Desktop Core Configuration
FICAM
Federal Identity, Credentialing, and Access Management
FIPS
Federal Information Processing Standard
FISMA
Federal Information Security Management Act
FOUO
For Official Use Only
FPKI PA
Federal PKI Policy Authority
FTP
File Transfer Protocol
FYHSP
Future Years Homeland Security Program
GSA
General Services Administration
GSS
General Support System
HIPAA
Health Insurance Portability and Accountability Act
HSAR
Homeland Security Acquisition Regulations
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HSDN
Homeland Secure Data Network
HSPD
Homeland Security Presidential Directive
HVAC
Heating, Ventilation and Air Conditioning
IA
Identification and Authentication
Information Assurance
IATO
Interim Authority to Operate
ICAM
Identity, Credentialing, and Access Management
IDS
Intrusion Detection System
IR
Incident Response
Infrared
IRB
Investment Review Board
ISA
Interconnection Security Agreement
ISO
Information Security Office
ISSO
Information System Security Officer
ISVM
Information System Vulnerability Management
JWICS
Joint Worldwide Intelligence Communications System
IT
Information Technology
LAN
Local Area Network
LE
Law Enforcement
LMR
Land Mobile Radio
MA
Maintenance
Major Application
MBI
Minimum Background Investigation
MD
Management Directive
MMS
Multimedia Messaging Service
MP
Media Protection
NIAP
National Information Assurance Partnership
NIST
National Institute of Standards and Technology
NOC
Network Operations Center
NSA
National Security Agency
OCIO
Office of the Chief Information Officer
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OID
Object identifier
OIG
Office of Inspector General
OIS
Office of Information Security
OMB
Office of Management and Budget
OPA
Office of Public Affairs
OPM
Office of Personnel Management
OTAR
Over-The-Air-Rekeying
PA
Policy Authority
PBX
Private Branch Exchange
PCS
Personal Communications Services
PDA
Personal Digital Assistant
PE
Physical and Environmental Protection
PED
Portable Electronic Device
PEP
Policy Enforcement Point
PHI
Protected Health Information
PIRT
Privacy Incident Response Team
PIA
Privacy Impact Assessment
PII
Personally Identifiable Information
PIN
Personal Identity Number
PIV
Personal Identity Verification
PKI
Public Key Infrastructure
PKI PA
PKI Policy Authority
PKI PM
PKI Management Authority
PL
Planning
PM
Program Manager
Program Management
PNS
Protected Network Services
POA&M
Plan of Action and Milestones
POC
Point of Contact
PPOC
Privacy Point of Contact
PS
Personnel Security
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PSTN
Public Switched Telephone Network
PTA
Privacy Threshold Analysis
RA
Risk Assessment
Registration Authority
RDP
Remote Desktop Protocol
RF
Radio Frequency
RFID
Radio Frequency Identification
RMS
Risk Management System
SA
Security Architecture
System and Services Acquisition
SAN
Subject Alternative Name
SAR
Security Assessment Report
SAISO
Senior Agency Information Security Officer
SAOP
Senior Agency Official for Privacy
SC
System and Communications Protection
SCI
Sensitive Compartmented Information
SELC
Systems Engineering Life Cycle
SI
System and Information Integrity
SLA
Service Level Agreement
SMS
Short Message Service
SOC
Security Operations Center
SOP
Standard Operating Procedure
SORN
System of Records Notice
SP
Special Publication
Security Plan
SSH
Secure Shell
SSL
Secure Socket Layer
SSP
Shared Service Provider
TAF
TrustedAgent FISMA
TFPAP
Trust Framework Provider Adoption Process
TIC
Trusted Internet Connections
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TOS
Terms of Service
TRM
Technical Reference Model
TS
Top Secret
US-CERT
United States Computer Emergency Readiness Team
VA
Vulnerability Assessment
VAT
Vulnerability Assessment Team
USGBC
U.S. Government Configuration Baseline
VoIP
Voice over Internet Protocol
VPN
Virtual Private Network
WLAN
Wireless Local Area Network
WPAN
Wireless Personal Area Network
WWAN
Wireless Wide Area Network
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APPENDIX B
GLOSSARY
The following definitions apply to the policies and procedures outlined in this document. Other
definitions may be found in NIST IR 7298, Glossary of Key Information Security Terms and the
National Information Assurance (IA) Glossary.
Acceptable Risk
Mission, organizational, or program-level risk deemed tolerable by the RE
after adequate security has been provided.
Accreditation Package
The documents submitted to the AO for the Accreditation Decision. An
Accreditation Package consists of:
Accreditation Decision Letter
Security Plan - criteria provided on when the plan should be
updated
Security Assessment Report - updated on an ongoing basis
whenever changes are made to either the security controls in
the information system or the common controls inherited by
those systems
Plan of Action and Milestones
Adequate Security
Security commensurate with the risk and the magnitude of harm resulting
from the loss, misuse, or unauthorized access to or modification of
information. [OMB Circular A-130, Appendix III]
Annual Assessment
DHS activity for meeting the annual FISMA self-assessment requirement.
Authorizing Official
(AO)
An official within a Federal Government agency who can grant approval for
a system to operate.
Cellular phone
A mobile device used for voice communication irrespective of the
communications technology employed.
Certification/ Certifying
Agent
A contractor that performs certification tasks as designated by the CO.
Certifying Authority
(CA)
Obsolete term; see Security Control Assessor
Security Control
Assessor
A senior management official who certifies the results of the security
assessment. He or she must be a Federal Government employee.
Chief Information
Officer (CIO)
The executive within a Federal Government agency responsible for its
information systems.
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Compensating Control
An internal control intended to reduce the risk of an existing or potential
control weakness.
Component
A DHS Component is any of the entities within DHS, including all DHS
offices and independent agencies.
Computer Security
Incident Response
Center
DHS organization that responds to computer security incidents.
Designated Approval
Authority (DAA)
Obsolete term; see Authorizing Official (AO).
Information System
Any information technology that is (1) owned, leased, or operated by any
DHS Component, (2) operated by a contractor on behalf of DHS, or (3)
operated by another Federal, state, or local Government agency on behalf of
DHS. Information systems include general support systems and major
applications.
Enterprise Operations
Center (EOC)
The DHS organization that coordinates security operations for the DHS
Enterprise.
Exception
Acceptance to permanently operate a system that does not comply with
policy.
For Official Use Only
The marking instruction or caveat “For Official Use Only” will be used to
identify sensitive but unclassifed information within the DHS community
that is not otherwise specifically described and governed by statute or
regulation.
General Support System
(GSS)
An interconnected set of information resources under the same direct
management control and sharing common functionality. A GSS normally
includes hardware, software, information, applications, communications,
data, and users.
Information Security
Vulnerability
Management (ISVM)
DHS system that provides notification of newly discovered vulnerabilities
and tracks the status of vulnerability resolution.
Information System
Security Officer (ISSO)
Someone who implements and/or monitors security for a particular system.
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.
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Major Application (MA) An automated information system (AIS) that “requires special attention to
security due to the risk and magnitude of harm resulting from the loss,
misuse, or unauthorized access to or modification of the information in the
application” in accordance with OMB Circular A-130. An MA is a discrete
application, whereas a GSS may support multiple applications.
Management Controls
The security controls for an information system that focus on the
management of risk and the management of information system security.
Operational Controls
The security controls for an information system that are primarily
implemented and executed by people (as opposed to systems).
Operational Risk
The risk contained in a system under operational status. It is the risk that an
AO accepts when granting an ATO.
Personally Identifiable
Information (PII)
Any information that permits the identity of an individual to be directly or
indirectly inferred, including any other information that is linked or linkable
to an individual regardless of whether the individual is a U.S. Citizen, legal
permanent resident, or a visitor to the U.S.
Pilot
A test system in the production environment that may contain operational
data and may be used to support DHS operations, typically in a limited
way.
Policy Statement
A high-level rule for guiding actions intended to achieve security
objectives.
Policy Enforcement
Point (PEP)
A firewall or similar device that can be used to restrict information flow.
Portable Electronic
Device (PED)
A device that has a battery and is meant to process information without
being plugged into an electric socket; it is often handheld but can be a
laptop computer.
Privacy Sensitive
System
Any system that collects, uses, disseminates, or maintains PII or sensitive
PII.
Production
Operational, as in “production system” or “production environment.”
Prototype
A test system in a test environment that must not contain operational data
and must not be used to support DHS operations.
Remote Access
Access to a DHS information system by a user (or an information system)
communicating through an external, non-DHS-controlled network (e.g., the
Internet).
Residual Risk
The risk remaining after security controls have been applied.
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Risk Executive (RE)
An individual who ensures that risks are managed consistently across the
organization. An RE can be at the Departmental or Component level.
Security Control
A particular safeguard or countermeasure to protect the confidentiality,
integrity, and availability of a system and its information.
Security 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.
Security Operations
Center (SOC)
The DHS Component organization that coordinates security operations
within its Component.
Security Requirement
A formal statement of action or process applied to an information system
and its environment in order to provide protection and attain security
objectives. Security requirements for any given system are contained in its
Security Plan.
Senior Agency
Information Security
Official (SAISO)
The point of contact within a Federal Government agency responsible for
its information system security.
Sensitive But
Unclassified
Obsolete designation; see Sensitive Information.
Sensitive Information
Information not otherwise categorized by statute or regulation that if
disclosed could have an adverse impact on the welfare or privacy of
individuals or on the welfare or conduct of Federal Government programs or
other programs or operations essential to the national interest.
Sensitive Personally
Identifiable Information
(Sensitive PII)
PII that requires stricter handling guidelines because of the nature of the
data and the increased risk to an individual if compromised, and if lost,
compromised, or disclosed without authorization, could result in substantial
harm, embarrassment, inconvenience, or unfairness to an individual.
Examples of sensitive PII include Social Security numbers or alien number
(A-number).
Significant Incident
A computer security-related incident that represents a meaningful threat to
the DHS mission and requires immediate leadership notification.
Spam
E-mails containing unwanted commercial solicitation, fraudulent schemes,
and possibly malicious logic.
Strong Authentication
Layered authentication approach relying on two or more authenticators to
establish the identity of an originator or receiver of information.
System
A discrete set of information system assets contained within the
accreditation boundary.
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System Owner
??
Technical Controls
The security controls for an information system that are primarily
implemented and executed by the information system through mechanisms
contained in the hardware, software, or firmware elements of the system.
Two-Factor
Authentication
Authentication can involve something the user knows (e.g., a password),
something the user has (e.g., a smart card), or something the user “is” (e.g.,
a fingerprint or voice pattern). Single-factor authentication uses only one of
the three forms of authentication, while two-factor authentication uses any
two of the three forms. Three-factor authentication uses all three forms.
Unclassified
Information
Information that has not been determined to be classified pursuant to
Executive Order 13526, as amended
USB Device
A device that can be connected to a computer by its USB plug.
USB Drive
A memory device small enough to fit into a pocket and that connects to a
computer by its USB plug.
Vulnerability Scanning
An automated scan for potential security vulnerabilities.
Waiver
Acceptance to temporarily operate a system that does not comply with
policy while working towards compliance.
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APPENDIX C
REFERENCES
The DHS information security program and organization are based upon public laws, executive
orders, national policy, external guidance, and internal DHS guidance.
Public Laws and U.S. Code
•
Privacy Act of 1974, As Amended. 5 United States Code (U.S.C.) 552a, Public Law 93579, Washington, DC, July 14, 1987
•
Public Law 107-347, E-Government Act of 2002, including Title III, Federal Information
Security Management Act (FISMA)
•
Public Law 104-106, Clinger-Cohen Act of 1996 [formerly, Information Technology
Management Reform Act (ITMRA)]
•
5 Code of Federal Regulations (CFR) §2635, Office of Government Ethics, Standards of
Ethical Conduct for Employees of the Executive Branch
•
Public Law 100-235, Computer Security Act of 1987 as amended
•
Public Law 93-579, Freedom of Information Act of 2002 as amended
Executive Orders
•
Executive Order 13526, Classified National Security Information, December 29, 2009
•
Homeland Security Presidential Directive 12, Policy for a Common Identification
Standard for Federal Employees and Contractors, August 27, 2004
Office of Management and Budget Directives
•
Office of Management and Budget (OMB) Circular A-130, Management of Federal
Information Resources
•
OMB Bulletin 06-03, Audit Requirements for Federal Financial Statements
•
OMB Memorandum M-04-04, E-Authentication Guidance for Federal Agencies,
December 16, 2003
•
OMB Memorandum M-06-15, Safeguarding Personally Identifiable Information, May
22, 2006
•
OMB Memorandum M-06-16, Protection of Sensitive Agency Information, June 23, 2006
•
OMB Memorandum M-07-16, Safeguarding Against and Responding to the Breach of
Personally Identifiable Information, May 22, 2007
•
OMB Memorandum M-09-02, Information Technology Management Structure and
Governance Framework, October 21, 2008
•
OMB Memorandum 10-15, FY 2010 Reporting Instructions for the Federal Information
Security Management Act and Agency Privacy Management, April 21, 2010
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•
OMB Memorandum 10-28, Clarifying Cybersecurity Responsibilities and Activities of
the Executive Office of the President and the Department of Homeland Security (DHS),
July 6, 2010
•
OMB Memorandum 11-06, WikiLeaks - Mishandling of Classified Information,
November 28, 2010
Other External Guidance
•
Intelligence Community Directive Number 508, Intelligence Community Information
Technology Systems Security Risk Management, Certification and Accreditation,
September 15, 2008
•
National Institute of Standards and Technology (NIST) Federal Information Processing
Standards (FIPS), including:
o NIST FIPS 200, Minimum Security Requirements for Federal Information and
Information Systems
o NIST FIPS 199, Standards for Security Categorization of Federal Information
and Information Systems
•
NIST Information Technology Security Special Publications (SP) 800 series, including:
o NIST SP 800-16, Rev 1, Information Technology Security Training
Requirements: A Role- and Performance-Based Model (Draft)
o NIST SP 800-34, Rev 1, Contingency Planning Guide for Information
Technology Systems
o NIST SP 800-37, Rev 1, Guide for Applying the Risk Management Framework to
Federal Information Systems: A Security Life Cycle Approach
o NIST SP 800-39, Integrated Enterprise-Wide Risk Management: Organization,
Mission, and Information System View (Draft)
o NIST SP 800-50, Building an Information Technology Security Awareness and
Training Program
o NIST SP 800-52, Guidelines for the Selection and Use of Transport Layer
Security (TLS) Implementations
o NIST SP 800-53, Rev 3, Recommended Security Controls for Federal Information
Systems and Organizations
o NIST SP 800-53A, Rev 1, Guide for Assessing the Security Controls in Federal
Information Systems
o NIST SP 800-60, Guide for Mapping Types of Information and Information
Systems to Security Categories: (2 Volumes) - Volume 1: Guide Volume 2:
Appendices
o NIST SP 800-63, Rev 1, Electronic Authentication Guideline (Draft)
o NIST SP 800- 65, Rev 1, Recommendations for Integrating Information Security
into the Capital Planning and Investment Control Process (CPIC) (Draft)
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o NIST SP 800-88, Guidelines for Media Sanitization
o NIST SP 800-92, Guide to Computer Security Log Management
o NIST SP 800-94, Guide to Intrusion Detection and Prevention Systems (IDPS)
o NIST SP 800-95, Guide to Secure Web Services
o NIST SP 800-100, Information Security Handbook: A Guide for Manager
o NIST SP 800-115, Technical Guide to Information Security Testing and
Assessment
o NIST SP 800-118, Guide to Enterprise Password Management (Draft)
o NIST SP 800-122, Guide to Protecting the Confidentiality of Personally
Identifiable Information (PII)
o NIST SP 800-123, Guide to General Server Security
o NIST SP 800-124, Guidelines on Cell Phone and PDA Security
o NIST SP 800-128, Guide for Security Configuration Management of Information
Systems (Draft)
o NIST SP 800-137, Information Security Continuous Monitoring for Federal
Information Systems and Organizations (Draft)
•
NIST IR 7298, Glossary of Key Information Security Terms
•
CNSS Instruction No. 4009, National Information Assurance Glossary
•
CNSS Instruction No. 1001, National Instruction on Classified Information Spillage
Internal Guidance
•
Department of Homeland Security Acquisition Regulation (HSAR)
•
DHS Management Directives (MD), especially:
o MD 140-01, Information Technology Systems Security
o MD 11042.1, Safeguarding Sensitive but Unclassified (For Official Use Only)
Information
o MD 102-01 Acquisition Management
o MD 1030, Corrective Action Plans
o MD 4400.1, DHS Web and Information Systems
o MD 4500.1, DHS Email Usage
o MD 4600.1, Personal Use of Government Office Equipment
o MD 4900, Individual Use and Operation of DHS Information Systems/Computers
o MD 11055, Suitability Screening Requirements for Contractor Employees
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APPENDIX D
Version
DOCUMENT CHANGE HISTORY
Date
Description
0.1
December 13, 2002
Draft Baseline Release
0.2
December 30, 2002
Revised Draft
0.5
January 27, 2003
Day One Interim Policy
1.0
June 1, 2003
Department Policy
1.1
December 3, 2003
Updated Department Policy
2.0
March 31, 2004
Content Update
2.1
July 26, 2004
Content Update
2.2
February 28, 2005
Content Update
2.3
March 7, 2005
Content Update
3.0
March 31, 2005
Includes updates to PKI, Wireless Communications, and Media Sanitization
(now Media Reuse and Disposition) sections
3.1
July 29, 2005
New policies: 3.1b,e,f, 3.1g. 4.1.5b, 4.8.4a. Modified policies: 3.7b, c,
3.9b,g, 3.10a, 4.3.1b, 4.8.2a, 4.8.5e, 5.1.1b, 5.2.2a, 5.3a, c, 5.4.1a, 5.4.5d,
5.4.8c, 5.5.1a, 5.7d. Policies relating to media disposal incorporated into
policies within Media Reuse and Disposition section. Deleted policy
regarding use of automated DHS tool for conducting vulnerability
assessments.
3.2
October 1, 2005
Modified policies 3.8b, 4.8.1a, 5.2.1a&b, 5.2.2a, and 5.4.3c; combined (with
modifications) policies 4.1e and 4.1f; modified Section 1.5
3.3
December 30, 2005
New policies: policies 3.9a–d; 3.11.1b; 4.3.1a; 4.6c; 5.4.3d&e. Modified
policies: policies 3.9i&j; 4.3.2a; 4.6a, b; 4.6.1e; 4.6.2j; 4.6.2.1a; 4.6.3e;
5.4.3c; 5.5.2k. Modified sections: 2.5, 2.7, 2.9, 2.11, 3.9, 5.5.2.
4.0
June 1, 2006
New policies: 3.5.3.c&g, 4.6.2.3.c, 5.1.c, 5.2.c, 5.4.1.a. Modified policies:
3.5.1.c, 3.5.3.d–f, 3.7.a&b, 3.9.a&b, d, 4.1.4.b&c, 4.2.1.a, 4.3.1.a, 4.6.c,
4.6.1.a, 4.6.2.f, 4.10.3.a, 5.2.1.b, 5.3.a&b, 5.4.1.b, 5.4.3.c, 5.4.5.d. Modified
section: Section 2.9.
4.1
September 8, 2006
New policies: 3.14.1.a–c; 3.14.3.a–c; 4.10.1.c; 5.3.d&e; 5.4.1.c–e.
Modified policies: 3.9.b; 4.6.2.d; 4.8.2.a–c; 4.10.1.b; 5.1.c; 5.3.c; 5.4.1.b.
New sections: 3.14, 3.14.1, 3.14.3. Modified sections: 2.9, 4.8.2.
4.2
September 29, 2006
New policies: 4.6.4.a–f. Modified policies: 4.3.3.a–c. New section: 4.6.4.
5.0
March 1, 2007
New policies: 4.1.5.h. Modified policies: 3.10.c, 4.1.1.d, 4.1.5.a,b,f, &g,
4.6.2.d, 4.6.3.f, 5.2.c, 5.4.8.a, 5.6.b. New sections: 4.1.1. Modified
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sections: 1.2, 1.4.2, 1.4.3, 2.9, 3.12, 4.1 and subsections, 4.6.1–4.6.4, 4.9,
5.2.1. Renumbered sections: 4.1.2–4.1.6, 4.9, 4.10, 4.11, 4.12.
5.1
April 18, 2007
Update based on SOC CONOPS, Final Version 1.4.1, April 6, 2007; Adds
DHS Chief Financial Officer – Designated Financial Systems; Updates the
term, Sensitive But Unclassified to For Official Use Only
5.2
June 1, 2007
Updates Sections 2.7, 2.9, 2.12, 3.3, 3.5.1, 3.5.3, 3.6, 3.8, 3.9, 3.10, 3.14,
3.15, 4.1.5, 4.1.6, 4.10, 4.12, 5.1.1, 5.2, 5.3, 5.4.1, 5.4.3, 5.4.4, 5.4.8, 5.5.1,
5.7
5.3
August 3, 2007
Revised policy in Sections 3.5.1 and 5.5.1, and removed Section 3.5.2.
Removed Sections 3.11.2 and 3.11.4
5.4
October 1, 2007
Content update, incorporation of change requests
5.5
September 30, 2007
Section 1.0: 1.1 – Added text regarding policy implementation and DHS
security compliance tool updates. 1.2 – Removed two references from list;
deleted "various" from citation of standards.
Section 2.0: 2.0 – Insert the following after the first sentence in the second
paragraph: “Security is an inherently governmental responsibility.
Contractors and other sources may assist in the performance of security
functions, but a government individual must always be designated as the
responsible agent for all security requirements and functions.” 2.3 –
Removed parentheses from "in writing."
Section 3.0: 3.9 – Inserted new policy element “l” regarding CISO
concurrence for accreditation. 3.15 – Added text regarding Component
CFOs and ISSMs.
Section 4.0: 4.1.1 – Capitalized “Background,” and added "(BI)." 4.3.1 –
Two new elements were added to the policy table. 4.7 – Inserted "where
required or appropriate" before the sentence. 4.8.3 – Title changed to
“Personally Owned Equipment and Software (not owned by or contracted
for by the Government).” 4.8.6 – Included new section regarding wireless
settings for peripheral equipment.
Section 5.0: 5.1c – Changed inactive accounts to “disable user identifiers
after forty-five (45) days of inactivity.” 5.1.1 – First sentence of the second
paragraph was rewritten to prohibit use of personal passwords by multiple
individuals. 5.2.2 – Title changed to “Automatic Session Termination.”
6.0
May 14, 2008
Global change
“Shoulds” changed to “shalls” throughout the document. Replaced certain
instances of “will” with “shall” throughout document to indicate compliance
is required.
Various changes were made throughout the document to ensure that the
4300A Policy and Handbook align with the 4300B Policy and Handbook.
“ISSM” changed to “CISO/ISSM” throughout the document.
"CPO" changed to "Chief Privacy Officer" throughout the document.
“IT Security Program” changed to “Information Security Program”
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throughout the document.”
“System Development Life Cycle” changed to “System Life Cycle” and
“SDLC” changed to “SLC” throughout the document.
Title Page
Title page of 4300A Policy - Language on the Title Page was reworded.
“This is the implementation of DHS Management Directive 4300.1.”
Section 1.0
1.1 – Updated to clarify 90 day period in which to implement new policy
elements.
1.2 – Added OMB, NIST, and CNSS references.
1.4 – Added reference and link to Privacy Incident Handling Guidance and
the Privacy Compliance documentation.
1.4.2 – Added definition of National Intelligence Information.
1.4.3 – Inserted definition of National Security Information to align with
4300B Policy.
1.4.8.1 – Definition of General Support System was updated.
1.4.8.2 – Definition of Major Application was updated.
1.4.10 – Section was renamed “Trust Zone.”
1.4.16 – Inserted new definition for FISMA.
1.5 – Language was updated to increase clarity for financial system owners
for waivers and exceptions.
Section 2.0
2.3 – Added a new responsibility for DHS CIO.
2.4 – Added a new responsibility for Component CIOs.
2.5 - Chief Information Security Officer (CISO) renamed DHS Chief
Information Security Officer (CISO). Updated to include privacy-related
responsibilities.
2.6 – Added a new section in Roles and Responsibilities called “Component
CISO.”
2.7 – Updated Component ISSM Role and Responsibilities.
2.8 – Changed name of the section from "Office of the Chief Privacy Officer
(CPO)" to "The Chief Privacy Officer". Updated to include privacy-related
responsibilities.
2.9 – Added a new role for DHS CSO.
2.10 – Updated to include privacy-related responsibilities.
2.11 - Added privacy-related responsibilities.
2.12 – Added a new section, “OneNet Steward.”
2.13 – Added a new section, “DHS Security Operations Center (DHS SOC)
and Computer Security Incident Response Center (CSIRC).”
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2.14 – Added a new section, “Homeland Secure Data Network (HSDN)
Security Operations Center (SOC).”
2.16 – Added a new section, “Component-level SOC.”
2.18 – Updated to include privacy-related responsibilities.
2.19 – Last sentence of first paragraph has been updated to say: “ISSO
Duties shall not be assigned as a collateral duty. Any collateral duties shall
not interfere with their ISSO duties.”
2.20 – Updated to include privacy-related responsibilities.
Section 3.0
3.9 – Added C&A information for unclassified, collateral classified and SCI
systems. Also, prior to DHS Policy table, included sentence regarding C&A.
3.9.b – Language updated to clarify that a minimum impact level of
moderate is required for confidentiality for CFO designated financial
systems.
3.9.h – New guidance is provided to clarify short term ATO authority.
3.11.1 – Added new section discussing the CISO Board.
3.11.3 – Removed DHS Wireless Security Working Group.
3.14.1 – Added new text defining PII and sensitive PII. At the end of bullet
#4, added definition of computer-readable data extracts. Updated 3.14.1.a
and 3.14.1.b based on input from the Privacy Office. Added sentence “DHS
has an immediate goal that remote access should only be allowed with twofactor authentication where one of the factors is provided by a device
separate from the computer gaining access.
3.14.2 - Added new section called "Privacy Threshold Analyses."
3.14.3 - Updated Privacy Impact Assessment Responsibilities table.
3.14.4 - Added new section called "System of Record Notices."
Section 4.0
4.1.5.c – Updated to address training requirements.
4.1.5.g – Deleted “Training plans shall include awareness of internal threats
and basic IT security practices.”
4.1.5.h (now 4.1.5.g) – Updated to include the following sentence:
“Components shall account for Contingency Plan Training, and Incident
Response Training conducted for Moderate and High IT Systems.”
4.3.1.d – FIPS 140-2 compliance language was updated.
4.8.1.a and 4.8.1.c – Language has been updated to provide clarification of
timeout values.
4.8.2.a – FIPS 140-2 compliance language was updated.
4.8.2.b – Added a new policy element regarding powering down laptops
when not in use.
4.9 – Section was renamed “Department Information Security Operations.”
4.9, 4.9.1, 4.9.2 – Updated policy elements to support Department security
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operations capabilities, based on the SOC CONOPS.
4.9.2.b – Updated to say “Components shall obtain guidance from the DHS
SOC before contacting local law enforcement except where there is risk to
life, limb, or destruction of property.”
4.12.a – Added policy element to align with Handbook.
Section 5.0
5.2.1.a, 5.2.1.b, and 5.2.1.c – Language has been updated to provide
clarification of timeout values.
5.2.2 Introductory language, 5.2.2.a, 5.2.2.b, and 5.2.2.c – Language and
policy updated to clarify the meaning of a session termination.
5.3.f - Updated to clarify responsibilities of the System Owner regarding
computer-readable data extracts.
5.4.1.d – Added sentence “DHS has an immediate goal that remote access
should only be allowed with two-factor authentication where one of the
factors is provided by a device separate from the computer gaining access.”
5.4.3.a through i – New guidance is provided regarding the preparation of
ISAs for interconnections to the DHS OneNetwork.
5.4.3.g – Replaced “interconnect service agreements” with “interconnection
security agreements.”
5.4.4.f - New guidance is provided regarding internal firewalls.
5.4.5.f – New guidance is provided regarding the use of the RDP protocol.
5.4.6 – Added text “NOTE: Due to many attacks that are HTML-based,
please note that DHS will be following the lead of the DoD and moving to
text based email.”
5.4.8.a – Language updated to reflect that annual vulnerability assessments
should be conducted.
5.4.8.f – Policy updated to clarify automated system scanning.
5.5.1.c – Updated element to specify usage of cryptographic modules that
“are FIPS 197 compliant and have received FIPS 140-2 validation.”
5.5.2.f – Policy updated to clarify hosting of DHS Root CA.
6.1
September 23, 2008
Global Changes
Replaced all instances of “CISO/ISSM” with “Component CISO/ISSM.”
Replaced all DHS-related instances of “agency/agency-wide” with
“Department/Department-wide.”
Replaced all instances of “24x7” with “continuous” or “continuously,” as
appropriate.
Replaced all instances of “IT security” with “information security.”
Various minor editorial and grammatical changes were made throughout the
document.
Section 1.0
1.2 – Added reference to E-Government Act of 2002, January 7, 2003.
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1.4 – Replaced “National InfoSec Glossary” with “National Information
Assurance (IA) Glossary.”
1.4.5 – Replaced third sentence with “System vulnerability information
about a financial system shall be considered Sensitive Financial
Information.”
1.5.2 – Added text regarding acceptance of resulting risk by the Component
CFO for financial systems.
1.5.3 – Corrected the title and location of Attachment B. Added text
regarding PTA requirements.
Section 2.0
2.1 – Updated to clarify Secretary of Homeland Security responsibilities.
2.2 – Updated to clarify Undersecretaries and Heads of DHS Components
responsibilities.
2.3 – Updated to clarify DHS CIO responsibilities.
2.4 – Updated to clarify Component CIO responsibilities.
2.5 – Updated to clarify DHS CISO responsibilities.
2.6 – Updated to clarify Component CISO responsibilities.
2.8 – Moved “The Chief Privacy Officer” section to 2.9.
2.11 – Updated to clarify Program Managers’ responsibilities.
2.14 – Updated to clarify HSDN SOC responsibilities. Updated HSDN SOC
unclassified email address.
2.19 – Updated to clarify ISSO responsibilities and the assignment of ISSO
duties as a collateral duty.
2.20 – Updated to clarify System Owners’ responsibilities.
2.23.2 – Updated to clarify DHS CIO responsibilities for financial systems.
Section 3.0
3.1.e – Replaced “FISMA and OMB requirements” with “FISMA, OMB,
and other Federal requirements.”
3.1.h – Replaced “maintain a waiver” with “maintain a waiver or
exception.”
3.14.1 – Included text regarding the type of encryption needed for laptops.
3.14.3 – Included text stating that the PTA determines whether a PIA is
conducted.
3.14.4 – Moved first sentence of second paragraph to be the first sentence of
the first paragraph. Included “that are a system of record” after “IT
Systems” in the second sentence of the first paragraph.
Section 4.0
4.3.1.a – Included “locked tape device” in media protection.
4.3.1.d – Updated to clarify that AES 256-bit encryption is mandatory.
4.8.2.a – Updated to clarify that AES 256-bit encryption is mandatory.
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4.8.3.c – Included new policy element regarding use of seized IT equipment.
4.8.4.f – Included new policy element regarding management and
maintenance of system libraries.
4.8.5.b – Policy updated to clarify limited personal use of DHS email and
Internet resources.
4.9 – First paragraph updated to clarify DHS SOC and HSDN SOC
responsibilities.
4.9.b – Updated to specify that the HSDN SOC is subordinate to the DHS
SOC.
4.9.1 – First two paragraphs updated to clarify relationship between the
DHS SOC and the HSDN SOC.
4.9.1.a – Removed the words “Component SOC.”
4.9.1.b – Updated to clarify means of communication for reporting
significant incidents.
4.9.1.c – Updated to clarify the length of time by which significant HSDN
incidents must be reported.
4.9.1.d. – Updated to clarify reporting for HSDN incidents.
Section 5.0
5.2.d – Replaced “Component CISO/ISSM” with “Component CISO/ISSM
or his/her designee.”
5.2.1 – Changed “48 hour time period” to “24 hour time period.”
5.4.5.g – Included new policy element regarding blocking of specific
Internet websites or categories.
5.4.7 – Updated the policy element to prohibit use of webmail and other
personal email accounts.
5.5.1.c – Updated to clarify that AES 256-bit encryption is mandatory.
5.7.d – Included new policy element regarding use of cryptographic modules
in order to align with 4300A Handbook.
5.7.e – Included new policy element regarding rollback and journaling for
transaction-based systems.
6.1.1
7.0
October 31, 2008
5.2.3 – Included new language and a link to the DHS computer login
warning banner text on DHS Online.
July 31, 2009
General Updates
Added section and reference numbers to policy elements
Added NIST 800-53 reference controls to policy elements
Added hyperlinks to most DHS references
Introduced new terminology Senior Agency Information Security Officer,
Risk Executive, and Authorizing Official (AO) – replaces DAA, as per
NIST 800-37 and 800-53
Added Appendix A – Acronyms
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Added Appendix B – Glossary
Added Appendix C – References list has been updated and moved to
Appendix C. (these are detailed references, an abbreviated list is still found
at the beginning of the document)
Added Appendix D – Change History (This was moved from the front of the
document)
Specific Updates
Section 1.1 – Information Security Program Policy – Added the
statement, “Policy elements are designed to be broad in scope. Specific
implementation information can often be found in specific National Institute
for Standards and Technology (NIST) publications, such as NIST Special
Publication (SP) 800-53, Recommended Security Controls for Federal
Systems.”
Section 1.4.17-19 – Privacy – Added definitions for PII, SPII, and Privacy
Sensitive Systems
Section 1.5 – Exceptions and Waivers – Updated this section, clarified
policy elements, and consolidated all exceptions and waivers requirements.
Section 1.5.4 – U.S. Citizen Exception Requests – Updated section to
include policy elements:
1.5.4.a – Persons of dual citizenship, where one of the citizenships includes
U.S. Citizenship, shall be treated as U.S. Citizens for the purposes of this
directive.
1.5.4.b – Additional compensating controls shall be maintained for foreign
nationals, based on nations lists maintained by the DHS CSO.
Section 1.6 – Information Sharing and Communication Strategy –
Added policy element:
1.6.a - For DHS purposes, electronic signatures are preferred to pen and ink
or facsimile signatures in all cases except where pen & ink signatures are
required by public law, Executive Order, or other agency requirements.
Section 1.7 – Changes to Policy – Updated entire section
Section 2.0 – Roles and Responsibilities – Reformats entire section.
Places emphasis on DHS CISO and Component-level Information Security
Roles. Secretary and senior management roles are moved to the end of the
section. Some specific areas to note include:
Section 2.1.1 – DHS Senior Agency Information Security Officer –
Introduces this term and assigns duties to DHS CISO
Section 2.1.2 – Chief Information Security Officer – Adds the following
responsibilities:
-
Appoint a DHS employee to serve as the Headquarters CISO
-
Appoint a DHS employee to serve as the National Security Systems
(NSS) CISO
Section 2.1.3 – Component Chief Information Security Officer – Adds
policy element:
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2.1.3.b - All Components shall be responsible to the appropriate CISO.
Components without a fulltime CISO shall be responsible to the HQ CISO.
Adds 4 additional CISOs to the list of Component CISOs:
Federal Law Enforcement Training Center
Office of the Inspector General
Headquarters, Department of Homeland Security
The DHS CISO shall also appoint an NSS CISO
Section 2.1.4 – Component Information Systems Security Manager –
Component CISO now works directly with the HQ CISO, rather than with
the DHS CISO.
Section 2.1.5 – Risk Executive – Introduces this term as per NIST. Assigns
responsibilities to CISOs (already performing these functions)
Section 2.1.6 – Authorizing Official – Introduces this term as per NIST.
Replaces the term Designated Approval Authority (DAA)
Section 2.2.10 – DHS Employees, Contractors, and Vendors – Adds the
requirement for vendors to follow DHS Information Security Policy
Section 3.2 – Capital Planning and Investment Control – Adds policy
element:
3.2.f – Procurement authorities throughout DHS shall ensure that Homeland
Security Acquisition Regulation (HSAR) provisions are fully enforced.
Section 3.3 – Contractors and Outsourced Operations – Adds policy
element:
3.3.g – Procurement authorities throughout DHS shall ensure that Homeland
Security Acquisition Regulation (HSAR) provisions are fully enforced.
Section 3.5.2 – Contingency Planning – Updates and expands entire
section.
Section 3.7 – Configuration Management – Adds policy elements
Section 3.7.f – If the information system uses operating systems or
applications that do not have hardening or do not follow configuration
guidance from the DHS CISO, the System Owner shall request an
exception, including a proposed alternative secure configuration.
Section 3.7.g – Components shall ensure that CM processes under their
purview include and consider the results of a security impact analysis when
considering proposed changes.
Section 3.9 – Certification, Accreditation, and Security Assessments –
Updates entire section
Section 3.11.1 – CISO Council – Updates the term from CISO Board
Section 3.14-3.14.6 – Privacy Sections – Updates all sections pertaining to
privacy and privacy information, adds section 3.14.5 – Protecting Privacy
Sensitive Systems
Section 3.14.7 – E-Authentication – Renumbers this section from 3.14.6
(due to adding of privacy section 3.14.5
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Section 3.15 – DHS Chief Financial Officer Designated Systems –
Section renamed from DHS Chief Financial Officer Designated Financial
Systems
Section 3.16 – Social Media – Added Social Media section to provide
guidelines and address the Federal Government’s (including DHS) use of
social media sites (You Tube, Twitter)
Section 4.1.2 – Rules of Behavior – Added policy element:
4.1.2.b – Components shall ensure that DHS users are trained regarding
rules of behavior and that each user signs a copy prior to being granted user
accounts or access to information systems or data.
Section 4.1.5 – IT Security Awareness, Training, and Education –
Updates entire section
Section 4.1.6 – Separation from Duty – Updates policy element to require
that all assets and data are recovered from departing individuals
4.1.6.b – Components shall establish procedures to ensure that all DHS
information system-related property and assets are recovered from the
departing individual and that sensitive information stored on any media is
transferred to an authorized individual.
Adds policy elements:
4.1.6.c - Accounts for personnel on extended absences shall be temporarily
suspended.
4.1.6.d – System Owners shall review information system accounts
supporting their programs at least annually.
Section 4.3.2 – Media Marking and Transport – Adds “Transport” to
section title and adds policy element:
4.3.2.b – Components shall control the transport of information system
media containing sensitive data, outside of controlled areas and restrict the
pickup, receipt, transfer, and delivery to authorized personnel.
Section 4.6 – Wireless Network Communications – Updated section title
from “Wireless Communication” and specifies “network communication”
technologies in policy, rather than the more general “Wireless.” Removes
references to the defunct “WMO.”
Section 4.6.1 – Wireless Systems – Adds policy elements:
4.6.1.f – Component CISOs shall review all system applications for wireless
usage, maintain an inventory of systems, and provide that inventory to the
DHS CISO at least annually.
4.6.1.g – Component CISOs shall (i) establish usage restrictions and
implementation guidance for wireless technologies; and (ii) authorize,
monitor, and control wireless access to DHS information systems.
4.9.1 – Security Incidents and Incident Response and Reporting – Adds
requirement for Components to maintain full SOC and CSIRC capability
(May outsource to DHS SOC). Adds policy elements:
4.9.1.k – Components shall maintain a full SOC and CSIRC capability or
outsource this capability to the DHS SOC. The DHS SOC shall provide
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SOC and CSIRC services to Components in accordance with formal
agreements. Information regarding incident response capability is available
in Attachment F of the DHS 4300A Sensitive Systems Handbook.
4.9.1.q – The DHS CISO shall publish Incident Response Testing and
Exercise scenarios as required.
4.9.1.r – The Component CISO for each Component providing an incident
response capability shall ensure Incident Response Testing and Exercises
are conducted annually in coordination with the DHS CISO.
Section 5.1 – Identification and Authentication – Adds requirement for
strong authentication following HSPD-12 implementation.
5.1.f – Components shall implement strong authentication on servers, for
system administrators and significant security personnel, within six (6)
months of the Component’s implementation of HSPD-12.
Section 5.4.1 – Remote Access and Dial-In – Updates section and adds
policy element:
5.4.1.f – The Public Switched Telephone Network (PSTN) shall not be
connected to OneNet at any time.
5.4.3 – Network Connectivity – Requires DHS CIO approval for all
network connections outside of DHS. Also specifies requirement for CCB.
5.4.3.g – The DHS CIO shall approve all interconnections between DHS
information systems and non-DHS information systems. Components shall
document interconnections with an ISA for each connection. The DHS CIO
shall ensure that connections with other Federal Government Agencies are
properly documented. A single ISA may be used for multiple connections
provided that the security accreditation is the same for all connections
covered by that ISA.
5.4.3.l - The appropriate CCB shall ensure that documentation associated
with an approved change to an information system is updated to reflect the
appropriate baseline. DHS systems that interface with OneNet shall also be
subject to the OneNet CCB.
Section 5.4.4 – Firewalls and Policy Enforcement Points – Updates
language to include Policy Enforcement Points. Adds policy elements:
5.4.4.i – The DHS CISO shall establish policy to block or allow traffic
sources and destinations at the DHS TIC PEPs. The DHS CISO policy will
prevent traffic as directed by the DHS CIO.
5.4.j – The DHS SOC shall oversee all enterprise PEPs.
Section 5.4.5 – Internet Security – Prohibits Public Switched Telephone
Network (PSTN) connection to OneNet.
5.4.5.a – Any direct connection of OneNet, DHS networks, or DHS mission
systems to the Internet or to extranets shall occur through DHS Trusted
Internet Connection (TIC) PEPSs. The PSTN shall not be connected to
OneNet at any time.
Section 5.5.3 – Public Key/Private Key – Assigns responsibility for nonhuman use of PKI to sponsors.
5.5.3.g – Sponsors for non-human subscribers (organization, application,
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code-signing, or device) shall be responsible for the security of and use of
the subscriber’s private keys. Every sponsor shall read, understand, and sign
a “DHS PKI Subscriber Agreement for Sponsors” as a pre-condition for
receiving certificates from a DHS CA for the non-human subscriber.
Section 5.4.6 – Email Security – Prohibits auto-forwarding of DHS email
to other than .gov or .mil addresses.
5.4.6.i - Auto-forwarding or redirecting of DHS email to address outside of
the .gov or .mil domain is prohibited and shall not be used. Users may
manually forward individual messages after determining that the risk or
consequences are low.
Section 5.4.7 – Personal Email Accounts – Requires use of encryption
when sending sensitive information to email addresses other than .gov or
.mil addresses.
5.4.7.b - When sending email to an address outside of the .gov or .mil
domain, users shall ensure that any sensitive information, particularly
privacy data, is attached as an encrypted file.
Section 5.6 – Malware Protection – Updates term from “Virus.”
7.1
September 30, 2009
General Updates
Standardized the term “IT system” to “information system”
Standardized the term “DHS IT system” to “DHS information system”
Updated the term “DHS Security Operations Center” to “DHS Enterprise
Operations Center” and added definition in glossary
Replaced “must” with “shall” in all policy statements
Replaced “vendors” with “others working on behalf of DHS”
Specific Updates
Section 1.4.20 – Strong Authentication – Added definition for Strong
Authentication
Section 1.4.21 – Two-Factor Authentication – Added definition for TwoFactor Authentication
Section 2.2.4 – Component Chief Information Officer – Alleviated
confusion regarding Component CIO responsibilities
Section 2.2.5 – Chief Security Office – Removed erroneous CSO
responsibilities which belong to Component CIOs
Section 2.2.7 – DHS Chief Financial Officer – Updated policy elements to
clarify applicable policies
Section 3.1 – Basic Requirements (3.1.d, 3.1.g-j) – Updated policy elements
to CISO/ISSM/ISSO responsibilities
Section 3.7.f – Clarified Operating system exception requirements
Section 3.9.l-m – Clarified requirements regarding TAF/RMS
Section 3.15 – CFO Designated Systems – Major revisions to this section
Section 4.6.2 and 5.4.1.a – Prohibits tethering to DHS devices
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Section 5.4.3.g-h – Clarifies interconnection and ISA approval
Section 5.5 – Cryptography – Removed unnecessary elements from
introductions and updated entire section with input from DHS PKI Steward
7.2
May 17, 2010
General Updates
No general updates with this revision. Specific updates are listed below.
Specific Updates
Section 1.4.8 – Added FISMA language (transmits, stores, or processes data
or information) to definition of DHS System
Section 1.5.3.k – Removed requirement for Component Head to make
recommendation regarding waivers; removed requirement to report
exceptions on FISMA report.
Section 2.1.6 – Adds requirement for AO to be a Federal employee
Section 2.1.7 – Clarifies that CO is a senior management official; stipulates
that CO must be a Federal employee
Section 2.2.5 – Updated CSO role
Section 3.2 – Added intro to CPIC section and link to CPIC Guide
Section 3.5.2.h – Added requirement to coordinate CP and COOP testing
moderate and high FIPS categorizations
Section 3.15.a – Added requirement for CFO Designated Systems security
assessments for key controls be tracked in TAF and adds requirement for
tracking ST&E and SAR annually.
Section 3.15.c – Remaps control from RA-4 to RA-5
Section 3.15.h – Adds mapping to IR-6
Section 3.15.i – Remaps control from PL-3 to PL-2
Section 3.17 – Added requirement to protect HIPAA information
Section 4.1.l.a – Added requirement for annual reviews of position
sensitivity levels
Section 4.1.1.c – Exempts active duty USCG and other personnel subject to
UCMJ from background check requirements
Section 4.1.4.c-d – Adds additional separation of duties requirements and
restricts the use of administrator accounts
Section 5.2.f – Limits the number of concurrent connections for FIPS-199
high systems
Section 5.4.2.a – Limits network monitoring as per the Electronic
Communications Act
Section 5.4.3 – Added introduction to clarify ISA requirements
Section 5.4.3.f – Clarifies the term “security policy” in context
Section 5.4.3.m – Clarifies that both AOs must accept risk for
interconnected systems that do not require ISAs.
Section 5.4.3.m-n – Adds stipulations to ISA requirements
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Section 5.5 – Updates language in entire section
Section 5.5.3.j – Assigns the DHS PKI MA responsibility for maintaining
Human Subscriber agreements
7.2.1
August 9, 2010
General Updates
No general updates with this revision. Specific updates are listed below.
Specific Updates
Section 1.1 – Removes reference to 4300C
Section 1.4.1/3 – Updates Executive Order reference from 12958 to 13526
Section 1.4.17 – Updates the PII section
Section 1.4.18 – Updates SPII section
Section 1.5.3 – Adds requirement for Privacy Officer/PPOC approval for
exceptions and waivers pertaining to Privacy Designated Systems
Section 1.6.b/c – Requires installation and use of digital signatures and
certificates
Section 2.1.6.d – Allows delegation of AO duty to review and approve
administrators
Section 2.2.6 – Updates DHS Chief Privacy Officer description
Section 3.7.e – Adds requirement to include DHS certificate as part of
FDCC
Section 3.14 – Updates Privacy and Data Security section
Section 3.14.1 – Updates PII section
Section 3.14.2 – Updates PTA section
Section 3.14.2.e – Updates impact level requirements for Privacy Sensitive
Systems
Section 3.14.3 – Updates PIA section
Section 3.1.4.4 – Updates SORN section
Section 3.14.4.a – Exempts SORN requirements
Section 3.14.5 – Updates Privacy Sensitive Systems protection requirements
Section 3.14.6.a – Updates privacy incident reporting requirements
Section 3.14.7 – Updates privacy requirements for e-Auth
Section 3.14.7.e – Adds PIA requirements for eAuth
Section 4.1.1.e – Expands U.S. citizenship requirement for access to all
DHS systems and networks
Section 4.1.4.b – Allows delegation of AO duty to review and approve
administrators
Section 4.6.2.3.c – Clarifies prohibited use of SMS
Section 4.8.4.h – Updates the term “trusted” to “cleared” maintenance
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personnel
Section 4.12.i – Updates escort requirements for maintenance or disposal
Section 4.12.j – Requires disabling of dial up on multifunction devices
Section 5.4.3 – Clarifies definition of Network Connectivity
Section 5.4.3.m/n – Clarifies requirement for ISA
Section 5.4.6.j – Requires DHS email systems to use a common naming
convention
Section 5.5.3.g – Prohibits sharing of personal private keys
7.2.1.1
January 19, 2011
General Updates
No general updates with this revision. Specific updates are listed below.
Specific Updates
8.0
March 14, 2011
Section 4.8.1.a – Changes requirement for screensaver activation from five
(5) to fifteen (15) minutes of inactivity.
General Updates
Update date and version number
Replace “certification and accreditation” and “C&A” with “security
authorization process”.
Replace “Certifying Official” with “Security Control Assessor”.
Replace “ST&E Plan” with “security assessment plan”.
Replace “system security plan” with “security plan” and “SSP” with “SP”.
Specific Updates
Section 1.4.8.1: Change definition to specify that a GSS has only one ISSO.
Section 1.4.8.2: Change definition to specify that an MA has only one
ISSO.
Section 1.5.1: Include language requiring waiver submissions to be
coordinated with the AO.
Section 1.5.2: Include language requiring waiver submissions to be
coordinated with the AO.
Section 1.5.3: Clarify language regarding submission of waivers and
exceptions for CFO designated systems.
Section 1.6.d: Added new policy element, “DHS and Component systems
shall be able to verify PIV credentials issued by other Federal agencies.”
Section 2.1.2: Add DHS CISO role as primary liaison to Component
officials, and to perform periodic compliance reviews for selected systems.
Section 2.13: Update Component CISO duties and add to implement
POA&M process and ensure that eternal providers who operate information
systems meet the same security requirements as the Component.
Section 2.1.4: Update list of Component ISSM duties and create a POA&M
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for each known vulnerability.
Section 2.1.5: Add significantly expanded Risk Executive duties.
Section 2.1.6: Add significantly expanded Authorizing Official duties.
Section 2.2.8: Add Program Manager responsibility for POA&M content.
Section 2.2.9: Add expanded System Owner duties.
Section 2.2.11: Renumber 2.2.10 as 2.2.11.
Section 2.2.10: Add a new 2.2.10 to introduce and describe duties of
Common Control Provider.
Section 3.2.g: Added new policy element, “Procurements for services and
products involving facility or system access control shall be in accordance
with the DHS guidance regarding HSPD-12 implementation.”
Section 3.5.2.c: Updated language to clarify requirements for backup policy
and procedures.
Section 3.5.2.f: Updated language to require table-top exercises for testing
the CP for moderate availability systems.
Section 3.7.f: Added new policy element, “Components shall monitor
USGCB (or DHS-approved USGCB variant) compliance using a NISTvalidated Security Content Automation Protocol (SCAP) tool.”
Section 3.9: Add requirement for Components to designate a Common
Control Provider.
Section 3.10.b: Policy element language was updated to clarify the function
of information system security review and assistance programs.
Section 3.14: Language updated for readability.
Section 3.14.c: Added new policy element, “Components shall review and
republish SORNs every two (2) years as required by OMB A-130.”
Section 3.14.7.f: Added new policy element, “Existing physical and logical
access control systems shall be upgraded to use PIV credentials, in
accordance with NIST and DHS guidelines.”
Section 3.14.7.g: Added new policy element, “All new systems under
development shall be enabled to use PIV credentials, in accordance with
NIST and DHS guidelines, prior to being made operational.”
Section 3.17: Added reference to NIST SP 800-66 for more information on
HIPAA.
Section 4.1.4.d: Language updated to clarify usage of administrator
accounts.
Section 4.1.5.f: Language updated to clarify requirements for security
awareness training plan.
Section 4.3.1.b: Language updated to clarify protection of offsite backup
media.
Section 4.5.4: Added reference to NIST SP 800-58 for more information on
VoIP.
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Section 4.9.j: Language updated to require that Component SOCs report
operationally to the respective Component CISO.
Section 4.9.k: New policy element added, “The DHS EOC shall report
operationally to the DHS CISO.”
Section 4.10: Revise list of annual system documentation updates.
Section 4.12.c: Policy element replaced with new one stating that the policy
applies “to all DHS employees, contractors, detailees, others working on
behalf of DHS, and users of DHS information systems that collect, generate,
process, store, display, transmit, or receive DHS data.”
Section 5.4.1.e: Policy element removed.
Section 5.4.1.f: Policy element removed.
Appendix A: Include new acronyms
Appendix B: Revise definition of Accreditation Package to reflect new list
of documentation.
Appendix C: Update references
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| File Type | application/pdf |
| File Title | The Department of Homeland Security Sensitive Systems Policy Directive 4300A |
| Author | The Department of Homeland Security, Office of the Chief Informa |
| File Modified | 2011-07-07 |
| File Created | 2011-06-29 |