", ",Family,Column1,ID,In Moderate,Control Name,"NIST Control Description
 (From NIST SP 800-53r5 12/10/2020)","NIST Discussion
 (From NIST SP 800-53r5 12/10/2020)","H FedRAMP-Defined Assignment / Selection Parameters 
 (Numbering matches SSP)",Moderate Parameters,Same as Moderate,H Additional FedRAMP Requirements and Guidance,"FedRAMP
Parameter",
AC-01,ACCESS CONTROL,Access Control,AC-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] access control policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the access control policy and the associated access controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the access control policy and procedures; and
 c. Review and update the current access control:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Access control policy and procedures address the controls in the AC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of access control policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to access control policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","AC-1 (c) (1) [at least annually]
AC-1 (c) (2) [at least annually] [significant changes]","AC-1 (c) (1) [at least every 3 years] 
AC-1 (c) (2) [at least annually] [significant changes]",No,,X,
AC-02,ACCESS CONTROL,Access Control,AC-2,Yes,Account Management,"a. Define and document the types of accounts allowed and specifically prohibited for use within the system;
 b. Assign account managers;
 c. Require [Assignment: organization-defined prerequisites and criteria] for group and role membership;
 d. Specify:
 1. Authorized users of the system;
 2. Group and role membership; and
 3. Access authorizations (i.e., privileges) and [Assignment: organization-defined attributes (as required)] for each account;
 e. Require approvals by [Assignment: organization-defined personnel or roles] for requests to create accounts;
 f. Create, enable, modify, disable, and remove accounts in accordance with [Assignment: organization-defined policy, procedures, prerequisites, and criteria];
 g. Monitor the use of accounts;
 h. Notify account managers and [Assignment: organization-defined personnel or roles] within:
 1. [Assignment: organization-defined time period] when accounts are no longer required;
 2. [Assignment: organization-defined time period] when users are terminated or transferred; and
 3. [Assignment: organization-defined time period] when system usage or need-to-know changes for an individual;
 i. Authorize access to the system based on:
 1. A valid access authorization;
 2. Intended system usage; and
 3. [Assignment: organization-defined attributes (as required)];
 j. Review accounts for compliance with account management requirements [Assignment: organization-defined frequency];
 k. Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and
 l. Align account management processes with personnel termination and transfer processes.","Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflect the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. Types of accounts that organizations may wish to prohibit due to increased risk include shared, group, emergency, anonymous, temporary, and guest accounts.
 Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy to establish the specific conditions for group and role membership; specify authorized users, group and role membership, and access authorizations for each account; and create, adjust, or remove system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors that trigger the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time of day, day of week, and point of origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability.
 Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required and when individuals are transferred or terminated. Changing shared/group authenticators when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training.","AC-2 (h) (1) [twenty-four (24) hours]
AC-2 (h) (2) [eight (8) hours]
AC-2 (h) (3) [eight (8) hours]
AC-2 (j) [monthly for privileged accessed, every six (6) months for non-privileged access] ","AC-2 (h) (1) [twenty-four (24) hours]
AC-2 (h) (2) [eight (8) hours]
AC-2 (h) (3) [eight (8) hours]
AC-2 (j) [quarterly for privileged access, annually for non-privileged access]",No, ,X,
AC-02 (01),ACCESS CONTROL,Access Control,AC-2 (1),Yes,Account Management | Automated System Account Management,Support the management of system accounts using [Assignment: organization-defined automated mechanisms].,"Automated system account management includes using automated mechanisms to create, enable, modify, disable, and remove accounts; notify account managers when an account is created, enabled, modified, disabled, or removed, or when users are terminated or transferred; monitor system account usage; and report atypical system account usage. Automated mechanisms can include internal system functions and email, telephonic, and text messaging notifications.",,,Yes, ,,
AC-02 (02),ACCESS CONTROL,Access Control,AC-2 (2),Yes,Account Management | Automated Temporary and Emergency Account Management,Automatically [Selection: remove; disable] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].,Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time period rather than at the convenience of the system administrator. Automatic removal or disabling of accounts provides a more consistent implementation.,"AC-2 (2) [Selection: disables] 
[Assignment: no more than 24 hours from last use]","AC-2 (2) [Selection: disables] 
[Assignment: no more than 96 hours from last use]",No, ,X,
AC-02 (03),ACCESS CONTROL,Access Control,AC-2 (3),Yes,Account Management | Disable Accounts,"Disable accounts within [Assignment: organization-defined time period] when the accounts: 
 (a) Have expired;
 (b) Are no longer associated with a user or individual;
 (c) Are in violation of organizational policy; or
 (d) Have been inactive for [Assignment: organization-defined time period].","Disabling expired, inactive, or otherwise anomalous accounts supports the concepts of least privilege and least functionality which reduce the attack surface of the system.","AC-2 (3) [24 hours for user accounts]
AC-2 (3) (d) [thirty-five (35) days] (See additional requirements and guidance.)","AC-2 (3) [24 hours for user accounts]
AC-2 (3) (d) [ninety (90) days] (See additional requirements and guidance.)",No,"AC-2 (3) Requirement: The service provider defines the time period for non-user accounts (e.g., accounts associated with devices).  The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available.
AC-2 (3) (d) Requirement: The service provider defines the time period of inactivity for device identifiers.
Guidance: For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP https://public.cyber.mil/dccs/.
",X,
AC-02 (04),ACCESS CONTROL,Access Control,AC-2 (4),Yes,Account Management | Automated Audit Actions,"Automatically audit account creation, modification, enabling, disabling, and removal actions.","Account management audit records are defined in accordance with AU-2 and reviewed, analyzed, and reported in accordance with AU-6.",,,Yes, ,,
AC-02 (05),ACCESS CONTROL,Access Control,AC-2 (5),Yes,Account Management | Inactivity Logout,Require that users log out when [Assignment: organization-defined time period of expected inactivity or description of when to log out].,Inactivity logout is behavior- or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of inactivity logout is addressed by AC-11.,AC-2 (5) [inactivity is anticipated to exceed Fifteen (15) minutes],"AC-2 (5) [for privileged users, it is the end of a user's standard work period]",No,AC-2 (5) Guidance: Should use a shorter timeframe than AC-12.,X,
AC-02 (07),ACCESS CONTROL,Access Control,AC-2 (7),Yes,Account Management | Privileged User Accounts," (a) Establish and administer privileged user accounts in accordance with [Selection: a role-based access scheme; an attribute-based access scheme];
 (b) Monitor privileged role or attribute assignments;
 (c) Monitor changes to roles or attributes; and
 (d) Revoke access when privileged role or attribute assignments are no longer appropriate.","Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes.",,,Yes,,,
AC-02 (09),ACCESS CONTROL,Access Control,AC-2 (9),Yes,Account Management | Restrictions on Use of Shared and Group Accounts,Only permit the use of shared and group accounts that meet [Assignment: organization-defined conditions for establishing shared and group accounts].,"Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts.",AC-2 (9) [organization-defined need with justification statement that explains why such accounts are necessary],AC-2 (9) [organization-defined need with justification statement that explains why such accounts are necessary],Yes,"AC-2 (9) Requirement: Required if shared/group accounts are deployed
",X,
AC-02 (11),ACCESS CONTROL,Access Control,AC-2 (11),No,Account Management | Usage Conditions,Enforce [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined system accounts].,"Specifying and enforcing usage conditions helps to enforce the principle of least privilege, increase user accountability, and enable effective account monitoring. Account monitoring includes alerts generated if the account is used in violation of organizational parameters. Organizations can describe specific conditions or circumstances under which system accounts can be used, such as by restricting usage to certain days of the week, time of day, or specific durations of time.",,Not Found,No, ,,
AC-02 (12),ACCESS CONTROL,Access Control,AC-2 (12),Yes,Account Management | Account Monitoring for Atypical Usage," (a) Monitor system accounts for [Assignment: organization-defined atypical usage]; and
 (b) Report atypical usage of system accounts to [Assignment: organization-defined personnel or roles].",Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals. Monitoring for atypical usage may reveal rogue behavior by individuals or an attack in progress. Account monitoring may inadvertently create privacy risks since data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.,"AC-2 (12) (b)[at a minimum, the ISSO and/or similar role within the organization]","AC-2 (12) (b)[at a minimum, the ISSO and/or similar role within the organization]",Yes,"AC-2 (12) (a) Requirement: Required for privileged accounts.
AC-2 (12) (b) Requirement: Required for privileged accounts.
",X,
AC-02 (13),ACCESS CONTROL,Access Control,AC-2 (13),Yes,Account Management | Disable Accounts for High-risk Individuals,Disable accounts of individuals within [Assignment: organization-defined time period] of discovery of [Assignment: organization-defined significant risks].,"Users who pose a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential when disabling system accounts for high-risk individuals.",AC-2 (13)-1 [one (1) hour],AC-2 (13)-1 [one (1) hour],Yes,,X,
AC-03,ACCESS CONTROL,Access Control,AC-3,Yes,Access Enforcement,Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.,"Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection (PE) family.",,,Yes, ,,
AC-04,ACCESS CONTROL,Access Control,AC-4,Yes,Information Flow Enforcement,Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on [Assignment: organization-defined information flow control policies].,"Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see CA-3). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels.
 Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS).",,,Yes, ,,
AC-04 (04),ACCESS CONTROL,Access Control,AC-4 (4),No,Information Flow Enforcement | Flow Control of Encrypted Information,Prevent encrypted information from bypassing [Assignment: organization-defined information flow control mechanisms] by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; [Assignment: organization-defined procedure or method]].,"Flow control mechanisms include content checking, security policy filters, and data type identifiers. The term encryption is extended to cover encoded data not recognized by filtering mechanisms.",AC-4 (4)-1 [intrusion detection mechanisms],Not Found,No,AC-4 (4) Requirement: The service provider must support Agency requirements to comply with M-21-31 (https://www.whitehouse.gov/wp-content/uploads/2021/08/M-21-31-Improving-the-Federal-Governments-Investigative-and-Remediation-Capabilities-Related-to-Cybersecurity-Incidents.pdf) and M-22-09 (https://www.whitehouse.gov/wp-content/uploads/2022/01/M-22-09.pdf).,X,
AC-04 (21),ACCESS CONTROL,Access Control,AC-4 (21),Yes,Information Flow Enforcement | Physical or Logical Separation of Information Flows,Separate information flows logically or physically using [Assignment: organization-defined mechanisms and/or techniques] to accomplish [Assignment: organization-defined required separations by types of information].,"Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths that are not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security impact or classification levels.", , ,Yes, ,,
AC-05,ACCESS CONTROL,Access Control,AC-5,Yes,Separation of Duties,"a. Identify and document [Assignment: organization-defined duties of individuals requiring separation]; and
 b. Define system access authorizations to support separation of duties.","Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles, conducting system support functions with different individuals, and ensuring that security personnel who administer access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. Separation of duties is enforced through the account management activities in AC-2, access control mechanisms in AC-3, and identity management activities in IA-2, IA-4, and IA-12.",,,Yes,"AC-5 Guidance: CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.
",,
AC-06,ACCESS CONTROL,Access Control,AC-6,Yes,Least Privilege,"Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.","Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems.",,,Yes, ,,
AC-06 (01),ACCESS CONTROL,Access Control,AC-6 (1),Yes,Least Privilege | Authorize Access to Security Functions,"Authorize access for [Assignment: organization-defined individuals or roles] to:
 (a) [Assignment: organization-defined security functions (deployed in hardware, software, and firmware)]; and
 (b) [Assignment: organization-defined security-relevant information].","Security functions include establishing system accounts, configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users.","AC-6 (1) (a) [all functions not publicly accessible]
AC-6 (1) (b) [all security-relevant information not publicly available]",,No, ,X,
AC-06 (02),ACCESS CONTROL,Access Control,AC-6 (2),Yes,Least Privilege | Non-privileged Access for Nonsecurity Functions,"Require that users of system accounts (or roles) with access to [Assignment: organization-defined security functions or security-relevant information] use non-privileged accounts or roles, when accessing nonsecurity functions.","Requiring the use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.",AC-6 (2) [all security functions],AC-6 (2) [all security functions],Yes,"AC-6 (2) Guidance:  Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.                            
",X,
AC-06 (03),ACCESS CONTROL,Access Control,AC-6 (3),No,Least Privilege | Network Access to Privileged Commands,Authorize network access to [Assignment: organization-defined privileged commands] only for [Assignment: organization-defined compelling operational needs] and document the rationale for such access in the security plan for the system.,"Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).",AC-6 (3)-1 [all privileged commands] ,Not Found,No, ,X,
AC-06 (05),ACCESS CONTROL,Access Control,AC-6 (5),Yes,Least Privilege | Privileged Accounts,Restrict privileged accounts on the system to [Assignment: organization-defined personnel or roles].,"Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of restricting privileged accounts between allowed privileges for local accounts and for domain accounts provided that they retain the ability to control system configurations for key parameters and as otherwise necessary to sufficiently mitigate risk.",,,Yes, ,,
AC-06 (07),ACCESS CONTROL,Access Control,AC-6 (7),Yes,Least Privilege | Review of User Privileges," (a) Review [Assignment: organization-defined frequency] the privileges assigned to [Assignment: organization-defined roles or classes of users] to validate the need for such privileges; and
 (b) Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.","The need for certain assigned user privileges may change over time to reflect changes in organizational mission and business functions, environments of operation, technologies, or threats. A periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.","AC-6 (7) (a)-1  [at a minimum, annually]
AC-6 (7) (a)-2  [all users with privileges]","AC-6 (7) (a)-1  [at a minimum, annually]
AC-6 (7) (a)-2  [all users with privileges]",Yes,,X,
AC-06 (08),ACCESS CONTROL,Access Control,AC-6 (8),No,Least Privilege | Privilege Levels for Code Execution,Prevent the following software from executing at higher privilege levels than users executing the software: [Assignment: organization-defined software].,"In certain situations, software applications or programs need to execute with elevated privileges to perform required functions. However, depending on the software functionality and configuration, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications or programs, those users may indirectly be provided with greater privileges than assigned.",AC-6 (8) [any software except software explicitly documented],Not Found,No, ,X,
AC-06 (09),ACCESS CONTROL,Access Control,AC-6 (9),Yes,Least Privilege | Log Use of Privileged Functions,Log the execution of privileged functions.,"The misuse of privileged functions, either intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Logging and analyzing the use of privileged functions is one way to detect such misuse and, in doing so, help mitigate the risk from insider threats and the advanced persistent threat.",,,Yes, ,,
AC-06 (10),ACCESS CONTROL,Access Control,AC-6 (10),Yes,Least Privilege | Prohibit Non-privileged Users from Executing Privileged Functions,Prevent non-privileged users from executing privileged functions.,"Privileged functions include disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, and administering cryptographic key management activities. Non-privileged users are individuals who do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. Preventing non-privileged users from executing privileged functions is enforced by AC-3.",,,Yes, ,,
AC-07,ACCESS CONTROL,Access Control,AC-7,Yes,Unsuccessful Logon Attempts,"a. Enforce a limit of [Assignment: organization-defined number] consecutive invalid logon attempts by a user during a [Assignment: organization-defined time period]; and
 b. Automatically [Selection (one or more): lock the account or node for an [Assignment: organization-defined time period]; lock the account or node until released by an administrator; delay next logon prompt per [Assignment: organization-defined delay algorithm]; notify system administrator; take other [Assignment: organization-defined action]] when the maximum number of unsuccessful attempts is exceeded.","The need to limit unsuccessful logon attempts and take subsequent action when the maximum number of attempts is exceeded applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password, invoking a lockdown mode with limited user capabilities (instead of full lockout), allowing users to only logon from specified Internet Protocol (IP) addresses, requiring a CAPTCHA to prevent automated attacks, or applying user profiles such as location, time of day, IP address, device, or Media Access Control (MAC) address. If automatic system lockout or execution of a delay algorithm is not implemented in support of the availability objective, organizations consider a combination of other actions to help prevent brute force attacks. In addition to the above, organizations can prompt users to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need.",,0,Yes,"AC-7 Requirement: In alignment with NIST SP 800-63B
",,
AC-08,ACCESS CONTROL,Access Control,AC-8,Yes,System Use Notification,"a. Display [Assignment: organization-defined system use notification message or banner] to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:
 1. Users are accessing a U.S. Government system;
 2. System usage may be monitored, recorded, and subject to audit;
 3. Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and
 4. Use of the system indicates consent to monitoring and recording;
 b. Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and
 c. For publicly accessible systems:
 1. Display system use information [Assignment: organization-defined conditions], before granting further access to the publicly accessible system;
 2. Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
 3. Include a description of the authorized uses of the system.","System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations consult with the privacy office for input regarding privacy messaging and the Office of the General Counsel or organizational equivalent for legal review and approval of warning banner content.","AC-8 (a) [see additional Requirements and Guidance]
AC-8 (c) (1) [see additional Requirements and Guidance]","AC-8 (a) [see additional Requirements and Guidance]
AC-8 (c) (1) [see additional Requirements and Guidance]",Yes,"AC-8 Requirement: The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO. 

Requirement: The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO.

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

Guidance: If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided. ",X,
AC-10,ACCESS CONTROL,Access Control,AC-10,No,Concurrent Session Control,Limit the number of concurrent sessions for each [Assignment: organization-defined account and/or account type] to [Assignment: organization-defined number].,"Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or any combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. Concurrent session control addresses concurrent sessions for system accounts. It does not, however, address concurrent sessions by single users via multiple system accounts.",AC-10-2 [three (3) sessions for privileged access and two (2) sessions for non-privileged access],Not Found,No, ,X,
AC-11,ACCESS CONTROL,Access Control,AC-11,Yes,Device Lock,"a. Prevent further access to the system by [Selection (one or more): initiating a device lock after [Assignment: organization-defined time period] of inactivity; requiring the user to initiate a device lock before leaving the system unattended]; and
 b. Retain the device lock until the user reestablishes access using established identification and authentication procedures.","Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User-initiated device locking is behavior or policy-based and, as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, such as when organizations require users to log out at the end of workdays.",AC-11 (a) [fifteen (15) minutes]; requiring the user to initiate a device lock before leaving the system unattended,AC-11 (a) [fifteen (15) minutes]; requiring the user to initiate a device lock before leaving the system unattended,Yes, ,X,
AC-11 (01),ACCESS CONTROL,Access Control,AC-11 (1),Yes,Device Lock | Pattern-hiding Displays,"Conceal, via the device lock, information previously visible on the display with a publicly viewable image.","The pattern-hiding display can include static or dynamic images, such as patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen with the caveat that controlled unclassified information is not displayed.",,,Yes, ,,
AC-12,ACCESS CONTROL,Access Control,AC-12,Yes,Session Termination,Automatically terminate a user session after [Assignment: organization-defined conditions or trigger events requiring session disconnect].,"Session termination addresses the termination of user-initiated logical sessions (in contrast to SC-10, which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except for those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events that require automatic termination of the session include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use.",,,Yes, ,,
AC-14,ACCESS CONTROL,Access Control,AC-14,Yes,Permitted Actions Without Identification or Authentication,"a. Identify [Assignment: organization-defined user actions] that can be performed on the system without identification or authentication consistent with organizational mission and business functions; and
 b. Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication.","Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication are not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may, under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. Permitting actions without identification or authentication does not apply to situations where identification and authentication have already occurred and are not repeated but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication, and therefore, the value for the assignment operation can be none.",,,Yes, ,,
AC-17,ACCESS CONTROL,Access Control,AC-17,Yes,Remote Access,"a. Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and
 b. Authorize each type of remote access to the system prior to allowing such connections.","Remote access is access to organizational systems (or processes acting on behalf of users) that communicate through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the ability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. Authorization of each remote access type addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to manage remote access connections to other systems, such agreements are addressed as part of CA-3. Enforcing access restrictions for remote access is addressed via AC-3.",,,Yes,,,
AC-17 (01),ACCESS CONTROL,Access Control,AC-17 (1),Yes,Remote Access | Monitoring and Control,Employ automated mechanisms to monitor and control remote access methods.,"Monitoring and control of remote access methods allows organizations to detect attacks and help ensure compliance with remote access policies by auditing the connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by AU-2. Audit events are defined in AU-2a.",,,Yes, ,,
AC-17 (02),ACCESS CONTROL,Access Control,AC-17 (2),Yes,Remote Access | Protection of Confidentiality and Integrity Using Encryption,Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.,Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions.,,,Yes, ,,
AC-17 (03),ACCESS CONTROL,Access Control,AC-17 (3),Yes,Remote Access | Managed Access Control Points,Route remote accesses through authorized and managed network access control points.,Organizations consider the Trusted Internet Connections (TIC) initiative DHS TIC requirements for external network connections since limiting the number of access control points for remote access reduces attack surfaces.,,,Yes, ,,
AC-17 (04),ACCESS CONTROL,Access Control,AC-17 (4),Yes,Remote Access | Privileged Commands and Access," (a) Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: [Assignment: organization-defined needs]; and
 (b) Document the rationale for remote access in the security plan for the system.","Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability.",,,Yes, ,,
AC-18,ACCESS CONTROL,Access Control,AC-18,Yes,Wireless Access,"a. Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and
 b. Authorize each type of wireless access to the system prior to allowing such connections.","Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide authenticator protection and mutual authentication.",,,Yes, ,,
AC-18 (01),ACCESS CONTROL,Access Control,AC-18 (1),Yes,Wireless Access | Authentication and Encryption,Protect wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.,"Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices along with strong encryption can reduce susceptibility to threats by adversaries involving wireless technologies.",,,Yes, ,,
AC-18 (03),ACCESS CONTROL,Access Control,AC-18 (3),Yes,Wireless Access | Disable Wireless Networking,"Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment.",Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies.,,,Yes,,,
AC-18 (04),ACCESS CONTROL,Access Control,AC-18 (4),No,Wireless Access | Restrict Configurations by Users,Identify and explicitly authorize users allowed to independently configure wireless networking capabilities.,"Organizational authorizations to allow selected users to configure wireless networking capabilities are enforced, in part, by the access enforcement mechanisms employed within organizational systems.",,Not Found,No,,,
AC-18 (05),ACCESS CONTROL,Access Control,AC-18 (5),No,Wireless Access | Antennas and Transmission Power Levels,Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries.,"Actions that may be taken to limit unauthorized use of wireless communications outside of organization-controlled boundaries include reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization, employing measures such as emissions security to control wireless emanations, and using directional or beamforming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area.",,Not Found,No,,,
AC-19,ACCESS CONTROL,Access Control,AC-19,Yes,Access Control for Mobile Devices,"a. Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and
 b. Authorize the connection of mobile devices to organizational systems.","A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending on the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems.
 Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware.
 Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to its network and impose a set of usage restrictions, while a system owner may withhold authorization for mobile device connection to specific applications or impose additional usage restrictions before allowing mobile device connections to a system. Adequate security for mobile devices goes beyond the requirements specified in AC-19. Many safeguards for mobile devices are reflected in other controls. AC-20 addresses mobile devices that are not organization-controlled.",,,Yes, ,,
AC-19 (05),ACCESS CONTROL,Access Control,AC-19 (5),Yes,Access Control for Mobile Devices | Full Device or Container-based Encryption,Employ [Selection: full-device encryption; container-based encryption] to protect the confidentiality and integrity of information on [Assignment: organization-defined mobile devices].,"Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields.",,,Yes, ,,
AC-20,ACCESS CONTROL,Access Control,AC-20,Yes,Use of External Systems,"a. [Selection (one or more): Establish [Assignment: organization-defined terms and conditions]; Identify [Assignment: organization-defined controls asserted to be implemented on external systems]], consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:
 1. Access the system from external systems; and
 2. Process, store, or transmit organization-controlled information using external systems; or
 b. Prohibit the use of [Assignment: organizationally-defined types of external systems].","External systems are systems that are used by but not part of organizational systems, and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision or authority of the organization. External systems also include systems owned or operated by other components within the same organization and systems within the organization with different authorization boundaries. Organizations have the option to prohibit the use of any type of external system or prohibit the use of specified types of external systems, (e.g., prohibit the use of any external system that is not organizationally owned or prohibit the use of personally-owned systems).
 For some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.
 External systems used to access public interfaces to organizational systems are outside the scope of AC-20. Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. At a minimum, terms and conditions address the specific types of applications that can be accessed on organizational systems from external systems and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.",,,Yes,"AC-20 Guidance: The interrelated controls of AC-20, CA-3, and SA-9 should be differentiated as follows:
AC-20 describes system access to and from external systems.
CA-3 describes documentation of an agreement between the respective system owners when data is exchanged between the CSO and an external system.
SA-9 describes the responsibilities of external system owners. These responsibilities would typically be captured in the agreement required by CA-3.",,
AC-20 (01),ACCESS CONTROL,Access Control,AC-20 (1),Yes,Use of External Systems | Limits on Authorized Use,"Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:
 (a) Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or
 (b) Retention of approved system connection or processing agreements with the organizational entity hosting the external system.","Limiting authorized use recognizes circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations.",,,Yes, ,,
AC-20 (02),ACCESS CONTROL,Access Control,AC-20 (2),Yes,Use of External Systems | Portable Storage Devices — Restricted Use,Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using [Assignment: organization-defined restrictions].,Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used.,,,Yes, ,,
AC-21,ACCESS CONTROL,Access Control,AC-21,Yes,Information Sharing,"a. Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
 b. Employ [Assignment: organization-defined automated mechanisms or manual processes] to assist users in making information sharing and collaboration decisions.","Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA). Information flow techniques and security attributes may be used to provide automated assistance to users making sharing and collaboration decisions.",,,Yes, ,,
AC-22,ACCESS CONTROL,Access Control,AC-22,Yes,Publicly Accessible Content,"a. Designate individuals authorized to make information publicly accessible;
 b. Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
 c. Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and
 d. Review the content on the publicly accessible system for nonpublic information [Assignment: organization-defined frequency] and remove such information, if discovered.","In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the PRIVACT and proprietary information. Publicly accessible content addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, publicly accessible content addresses the management of the individuals who make such information publicly accessible.",AC-22 (d) [at least quarterly],AC-22 (d) [at least quarterly],Yes, ,X,
AT-01,AWARENESS AND TRAINING,Awareness And Training,AT-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] awareness and training policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and
 c. Review and update the current awareness and training:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Awareness and training policy and procedures address the controls in the AT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of awareness and training policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to awareness and training policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","AT-1 (c) (1) [at least annually]
AT-1 (c) (2) [at least annually] [significant changes]","AT-1 (c) (1) [at least every 3 years] 
AT-1 (c) (2) [at least annually] [significant changes]",No, ,X,
AT-02,AWARENESS AND TRAINING,Awareness And Training,AT-2,Yes,Literacy Training and Awareness,"a. Provide security and privacy literacy training to system users (including managers, senior executives, and contractors):
 1. As part of initial training for new users and [Assignment: organization-defined frequency] thereafter; and
 2. When required by system changes or following [Assignment: organization-defined events];
 b. Employ the following techniques to increase the security and privacy awareness of system users [Assignment: organization-defined awareness techniques];
 c. Update literacy training and awareness content [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 d. Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques.","Organizations provide basic and advanced levels of literacy training to system users, including measures to test the knowledge level of users. Organizations determine the content of literacy training and awareness based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy as well as actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information.
 Awareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Literacy training after the initial training described in AT-2a.1 is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent literacy training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, or a subset of topics from the initial training. Updating literacy training and awareness content on a regular basis helps to ensure that the content remains relevant. Events that may precipitate an update to literacy training and awareness content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.","AT-2 (a) (1) [at least annually]
AT-2 (c) [at least annually]","AT-2 (a) (1) [at least annually]
AT-2 (c) [at least annually]",Yes, ,X,
AT-02 (02),AWARENESS AND TRAINING,Awareness And Training,AT-2 (2),Yes,Literacy Training and Awareness | Insider Threat,Provide literacy training on recognizing and reporting potential indicators of insider threat.,"Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Literacy training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in the behavior of team members, while training for employees may be focused on more general observations.",,,Yes, ,,
AT-02 (03),AWARENESS AND TRAINING,Awareness And Training,AT-2 (3),Yes,Literacy Training and Awareness | Social Engineering and Mining,Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining.,"Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Literacy training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures.",,,Yes,,,
AT-03,AWARENESS AND TRAINING,Awareness And Training,AT-3,Yes,Role-based Training,"a. Provide role-based security and privacy training to personnel with the following roles and responsibilities: [Assignment: organization-defined roles and responsibilities]:
 1. Before authorizing access to the system, information, or performing assigned duties, and [Assignment: organization-defined frequency] thereafter; and
 2. When required by system changes;
 b. Update role-based training content [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 c. Incorporate lessons learned from internal or external security incidents or breaches into role-based training.","Organizations determine the content of training based on the assigned roles and responsibilities of individuals as well as the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include senior leaders or management officials (e.g., head of agency/chief executive officer, chief information officer, senior accountable official for risk management, senior agency information security officer, senior agency official for privacy), system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; software developers; systems security engineers; privacy engineers; system, network, and database administrators; auditors; personnel conducting configuration management activities; personnel performing verification and validation activities; personnel with access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel with access to personally identifiable information.
 Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain risk management within the context of organizational security and privacy programs. Role-based training also applies to contractors who provide services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure that the content remains relevant and effective. Events that may precipitate an update to role-based training content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.","AT-3 (a) (1) [at least annually]
AT-3 (b) [at least annually]","AT-3 (a) (1) [at least annually]
AT-3 (b) [at least annually]",Yes, ,X,
AT-04,AWARENESS AND TRAINING,Awareness And Training,AT-4,Yes,Training Records,"a. Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and
 b. Retain individual training records for [Assignment: organization-defined time period].",Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies.,AT-4 (b) [five (5) years or 5 years after completion of a specific training program],AT-4 (b) [at least one (1) year or 1 year after completion of a specific training program],No, ,X,
AU-01,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] audit and accountability policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and
 c. Review and update the current audit and accountability:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","AU-1 (c) (1) [at least annually]
AU-1 (c) (2) [at least annually] [significant changes]","AU-1 (c) (1) [at least every 3 years] 
AU-1 (c) (2) [at least annually] [significant changes]",No, ,X,
AU-02,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-2,Yes,Event Logging,"a. Identify the types of events that the system is capable of logging in support of the audit function: [Assignment: organization-defined event types that the system is capable of logging];
 b. Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;
 c. Specify the following event types for logging within the system: [Assignment: organization-defined event types (subset of the event types defined in AU-2a.) along with the frequency of (or situation requiring) logging for each identified event type];
 d. Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and
 e. Review and update the event types selected for logging [Assignment: organization-defined frequency].","An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system.
 To balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage.
 Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include AC-2 (4), AC-3 (10), AC-6 (9), AC-17 (1), CM-3f, CM-5 (1), IA-3 (3) (b), MA-4 (1), MP-4 (2), PE-3, PM-21, PT-7, RA-8, SC-7 (9), SC-7 (15), SI-3 (8), SI-4 (22), SI-7 (8), and SI-10 (1). Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. When defining event types, organizations consider the logging necessary to cover related event types, such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures.","AU-2 (a) [successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes]
AU-2 (c) [organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event].
AU-2 (e) [annually and whenever there is a change in the threat environment] ","AU-2 (a) [successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes]
AU-2 (c) [organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event].
AU-2 (e) [annually and whenever there is a change in the threat environment] ",Yes,"AU-2 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.
AU-2 (e) Guidance: Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO. ",X,
AU-03,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-3,Yes,Content of Audit Records,"Ensure that audit records contain information that establishes the following:
 a. What type of event occurred;
 b. When the event occurred;
 c. Where the event occurred;
 d. Source of the event;
 e. Outcome of the event; and 
 f. Identity of any individuals, subjects, or objects/entities associated with the event.","Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage.",,,Yes, ,,
AU-03 (01),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-3 (1),Yes,Content of Audit Records | Additional Audit Information,Generate audit records containing the following additional information: [Assignment: organization-defined additional information].,"The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy.","AU-3 (1) [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]","AU-3 (1) [session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]",Yes,"AU-3 (1) Guidance: For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.",X,
AU-04,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-4,Yes,Audit Log Storage Capacity,Allocate audit log storage capacity to accommodate [Assignment: organization-defined audit log retention requirements].,Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability.,,,Yes, ,,
AU-05,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-5,Yes,Response to Audit Logging Process Failures,"a. Alert [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time period] in the event of an audit logging process failure; and
 b. Take the following additional actions: [Assignment: organization-defined additional actions].","Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel.",AU-5 (b) [overwrite oldest record],AU-5 (b) [overwrite oldest record],Yes, ,X,
AU-05 (01),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-5 (1),No,Response to Audit Logging Process Failures | Storage Capacity Warning,"Provide a warning to [Assignment: organization-defined personnel, roles, and/or locations] within [Assignment: organization-defined time period] when allocated audit log storage volume reaches [Assignment: organization-defined percentage] of repository maximum audit log storage capacity.",Organizations may have multiple audit log storage repositories distributed across multiple system components with each repository having different storage volume capacities.,"AU-5 (1)-3 [75%, or one month before expected negative impact]",Not Found,No, ,X,
AU-05 (02),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-5 (2),No,Response to Audit Logging Process Failures | Real-time Alerts,"Provide an alert within [Assignment: organization-defined real-time period] to [Assignment: organization-defined personnel, roles, and/or locations] when the following audit failure events occur: [Assignment: organization-defined audit logging failure events requiring real-time alerts].","Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).","AU-5 (2)-1 [real-time] 
AU-5 (2)-2 [service provider personnel with authority to address failed audit events] 
AU-5 (2)-3 [audit failure events requiring real-time alerts, as defined by organization  audit policy].",Not Found,No, ,X,
AU-06,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-6,Yes,"Audit Record Review, Analysis, and Reporting","a. Review and analyze system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity] and the potential impact of the inappropriate or unusual activity;
 b. Report findings to [Assignment: organization-defined personnel or roles]; and
 c. Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.","Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from the monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and non-local maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system interfaces, and use of mobile code or Voice over Internet Protocol (VoIP). Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.",AU-6 (a)-1 [at least weekly] ,AU-6 (a)-1 [at least weekly] ,Yes,"AU-6 Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tenant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.",X,
AU-06 (01),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-6 (1),Yes,"Audit Record Review, Analysis, and Reporting | Automated Process Integration","Integrate audit record review, analysis, and reporting processes using [Assignment: organization-defined automated mechanisms].","Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits.",,,Yes, ,,
AU-06 (03),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-6 (3),Yes,"Audit Record Review, Analysis, and Reporting | Correlate Audit Record Repositories",Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.,"Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness.",,,Yes, ,,
AU-06 (04),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-6 (4),No,"Audit Record Review, Analysis, and Reporting | Central Review and Analysis",Provide and implement the capability to centrally review and analyze audit records from multiple components within the system.,Automated mechanisms for centralized reviews and analyses include Security Information and Event Management products.,,Not Found,No, ,,
AU-06 (05),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-6 (5),No,"Audit Record Review, Analysis, and Reporting | Integrated Analysis of Audit Records",Integrate analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; system monitoring information; [Assignment: organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.,"Integrated analysis of audit records does not require vulnerability scanning, the generation of performance data, or system monitoring. Rather, integrated analysis requires that the analysis of information generated by scanning, monitoring, or other data collection activities is integrated with the analysis of audit record information. Security Information and Event Management tools can facilitate audit record aggregation or consolidation from multiple system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans of the system and in correlating attack detection events with scanning results. Correlation with performance data can uncover denial-of-service attacks or other types of attacks that result in the unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.",AU-6 (5) [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; penetration test data; [Organization -defined data/information collected from other sources]],Not Found,No, ,X,
AU-06 (06),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-6 (6),No,"Audit Record Review, Analysis, and Reporting | Correlation with Physical Monitoring","Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.","The correlation of physical audit record information and the audit records from systems may assist organizations in identifying suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain systems with the additional physical security information that the individual was present at the facility when the logical access occurred may be useful in investigations.",,Not Found,No,AU-6 (6) Requirement: Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.,,
AU-06 (07),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-6 (7),No,"Audit Record Review, Analysis, and Reporting | Permitted Actions","Specify the permitted actions for each [Selection (one or more): system process; role; user] associated with the review, analysis, and reporting of audit record information.","Organizations specify permitted actions for system processes, roles, and users associated with the review, analysis, and reporting of audit records through system account management activities. Specifying permitted actions on audit record information is a way to enforce the principle of least privilege. Permitted actions are enforced by the system and include read, write, execute, append, and delete.",AU-6 (7) [information system process; role; user] ,Not Found,No, ,X,
AU-07,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-7,Yes,Audit Record Reduction and Report Generation,"Provide and implement an audit record reduction and report generation capability that:
 a. Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and
 b. Does not alter the original content or time ordering of audit records.",Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient.,,,Yes, ,,
AU-07 (01),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-7 (1),Yes,Audit Record Reduction and Report Generation | Automatic Processing,"Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: [Assignment: organization-defined fields within audit records].","Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component.",,,Yes, ,,
AU-08,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-8,Yes,Time Stamps,"a. Use internal system clocks to generate time stamps for audit records; and
 b. Record time stamps for audit records that meet [Assignment: organization-defined granularity of time measurement] and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp.","Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks (e.g., clocks synchronizing within hundreds of milliseconds or tens of milliseconds). Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.",AU-8 (b) [one second granularity of time measurement],AU-8 (b) [one second granularity of time measurement],Yes, ,X,
AU-09,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-9,Yes,Protection of Audit Information,"a. Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and
 b. Alert [Assignment: organization-defined personnel or roles] upon detection of unauthorized access, modification, or deletion of audit information.","Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls.",,,Yes, ,,
AU-09 (02),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-9 (2),No,Protection of Audit Information | Store on Separate Physical Systems or Components,Store audit records [Assignment: organization-defined frequency] in a repository that is part of a physically different system or system component than the system or component being audited.,Storing audit records in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. Storing audit records on separate physical systems or components also preserves the confidentiality and integrity of audit records and facilitates the management of audit records as an organization-wide activity. Storing audit records on separate systems or components applies to initial generation as well as backup or long-term storage of audit records.,AU-9 (2) [at least weekly] ,Not Found,No, ,X,
AU-09 (03),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-9 (3),No,Protection of Audit Information | Cryptographic Protection,Implement cryptographic mechanisms to protect the integrity of audit information and audit tools.,Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.,,Not Found,No,AU-9 (3) Guidance: Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.),,
AU-09 (04),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-9 (4),Yes,Protection of Audit Information | Access by Subset of Privileged Users,Authorize access to management of audit logging functionality to only [Assignment: organization-defined subset of privileged users or roles].,Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.,,,Yes, ,,
AU-10,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-10,No,Non-repudiation,Provide irrefutable evidence that an individual (or process acting on behalf of an individual) has performed [Assignment: organization-defined actions to be covered by non-repudiation].,"Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects against claims by authors of not having authored certain documents, senders of not having transmitted messages, receivers of not having received messages, and signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from an individual or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request, or receiving specific information). Organizations obtain non-repudiation services by employing various techniques or mechanisms, including digital signatures and digital message receipts.","AU-10 [minimum actions including the addition, modification, deletion, approval, sending, or receiving of data]",Not Found,No, ,X,
AU-11,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-11,Yes,Audit Record Retention,Retain audit records for [Assignment: organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.,"Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on records retention.",AU-11 [a time period in compliance with M-21-31] ,AU-11 [a time period in compliance with M-21-31] ,Yes,"AU-11 Requirement: The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements. 
AU-11 Requirement: The service provider must support Agency requirements to comply with M-21-31 (https://www.whitehouse.gov/wp-content/uploads/2021/08/M-21-31-Improving-the-Federal-Governments-Investigative-and-Remediation-Capabilities-Related-to-Cybersecurity-Incidents.pdf)
AU-11 Guidance: The service provider is encouraged to align with M-21-31 where possible",X,
AU-12,AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-12,Yes,Audit Record Generation,"a. Provide audit record generation capability for the event types the system is capable of auditing as defined in AU-2a on [Assignment: organization-defined system components];
 b. Allow [Assignment: organization-defined personnel or roles] to select the event types that are to be logged by specific components of the system; and
 c. Generate audit records for the event types defined in AU-2c that include the audit record content defined in AU-3.",Audit records can be generated from many different system components. The event types specified in AU-2d are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records.,AU-12 (a) [all information system and network components where audit capability is deployed/available],AU-12 (a) [all information system and network components where audit capability is deployed/available],Yes, ,X,
AU-12 (01),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-12 (1),No,Audit Record Generation | System-wide and Time-correlated Audit Trail,Compile audit records from [Assignment: organization-defined system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail].,Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.,"AU-12 (1)-1 [all network, data storage, and computing devices]",Not Found,No, ,X,
AU-12 (03),AUDIT AND ACCOUNTABILITY,Audit And Accountability,AU-12 (3),No,Audit Record Generation | Changes by Authorized Individuals,Provide and implement the capability for [Assignment: organization-defined individuals or roles] to change the logging to be performed on [Assignment: organization-defined system components] based on [Assignment: organization-defined selectable event criteria] within [Assignment: organization-defined time thresholds].,"Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed (e.g., near real-time, within minutes, or within hours).","AU-12 (3)-1 [service provider-defined individuals or roles with audit configuration responsibilities]  
AU-12 (3)-2 [all network, data storage, and computing devices]",Not Found,No, ,X,
CA-01,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] assessment, authorization, and monitoring policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and
 c. Review and update the current assessment, authorization, and monitoring:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","CA-1 (c) (1) [at least annually]
CA-1 (c) (2) [at least annually] [significant changes]","CA-1 (c) (1) [at least every 3 years] 
CA-1 (c) (2) [at least annually] [significant changes]",No, ,X,
CA-02,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-2,Yes,Control Assessments,"a. Select the appropriate assessor or assessment team for the type of assessment to be conducted;
 b. Develop a control assessment plan that describes the scope of the assessment including:
 1. Controls and control enhancements under assessment;
 2. Assessment procedures to be used to determine control effectiveness; and
 3. Assessment environment, assessment team, and assessment roles and responsibilities;
 c. Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;
 d. Assess the controls in the system and its environment of operation [Assignment: organization-defined frequency] to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;
 e. Produce a control assessment report that document the results of the assessment; and
 f. Provide the results of the control assessment to [Assignment: organization-defined individuals or roles].","Organizations ensure that control assessors possess the required skills and technical expertise to develop effective assessment plans and to conduct assessments of system-specific, hybrid, common, and program management controls, as appropriate. The required skills include general knowledge of risk management concepts and approaches as well as comprehensive knowledge of and experience with the hardware, software, and firmware system components implemented.
 Organizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations, continuous monitoring, FISMA annual assessments, system design and development, systems security engineering, privacy engineering, and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements, identify weaknesses and deficiencies in the system design and development process, provide essential information needed to make risk-based decisions as part of authorization processes, and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. The design for controls can be assessed as RFPs are developed, responses assessed, and design reviews conducted. If a design to implement controls and subsequent implementation in accordance with the design are assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes.
 Organizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates the roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs.
 Organizations can use other types of assessment activities, such as vulnerability scanning and system monitoring, to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail, as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives.
 To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations, continuous monitoring, systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside of the scope of CA-2.","CA-2 (d) [at least annually] 
CA-2 (f) [individuals or roles to include FedRAMP PMO]","CA-2 (d) [at least annually] 
CA-2 (f) [individuals or roles to include FedRAMP PMO]",Yes,CA-2 Guidance: Reference FedRAMP Annual Assessment Guidance.,X,
CA-02 (01),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-2 (1),Yes,Control Assessments | Independent Assessors,Employ independent assessors or assessment teams to conduct control assessments.,"Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding the development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in positions of advocacy for the organizations acquiring their services.
 Independent assessments can be obtained from elements within organizations or be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination includes whether contracted assessment services have sufficient independence, such as when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, having independent assessors is analogous to having independent SMEs involved in design reviews.
 When organizations that own the systems are small or the structures of the organizations require that assessments be conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments.", ,,No,"CA-2 (1) Requirement: For JAB Authorization, must use an accredited 3PAO.",,
CA-02 (02),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-2 (2),No,Control Assessments | Specialized Assessments,"Include as part of control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; security instrumentation; automated security test cases; vulnerability scanning; malicious user testing; insider threat assessment; performance and load testing; data leakage or data loss assessment; [Assignment: organization-defined other forms of assessment]].","Organizations can conduct specialized assessments, including verification and validation, system monitoring, insider threat assessments, malicious user testing, and other forms of testing. These assessments can improve readiness by exercising organizational capabilities and indicating current levels of performance as a means of focusing actions to improve security and privacy. Organizations conduct specialized assessments in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can include vulnerabilities uncovered during assessments into vulnerability remediation processes. Specialized assessments can also be conducted early in the system development life cycle (e.g., during initial design, development, and unit testing).",CA-2 (2) [at least annually],Not Found,No,"CA-2 (2) Requirement: To include 'announced', 'vulnerability scanning'
",X,
CA-02 (03),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-2 (3),Yes,Control Assessments | Leveraging Results from External Organizations,Leverage the results of control assessments performed by [Assignment: organization-defined external organization] on [Assignment: organization-defined system] when the assessment meets [Assignment: organization-defined requirements].,"Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment, the reputation of the assessment organization, the level of detail of supporting assessment evidence provided, and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories that support the Common Criteria Program ISO 15408-1, the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage.","CA-2 (3)-1 [any FedRAMP Accredited 3PAO]
CA-2 (3)-3 [the conditions of the JAB/AO in the FedRAMP Repository]","CA-2 (3)-1 [any FedRAMP Accredited 3PAO]
CA-2 (3)-3 [the conditions of the JAB/AO in the FedRAMP Repository]",Yes, ,X,
CA-03,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-3,Yes,Information Exchange,"a. Approve and manage the exchange of information between the system and other systems using [Selection (one or more): interconnection security agreements; information exchange security agreements; memoranda of understanding or agreement; service level agreements; user agreements; nondisclosure agreements; [Assignment: organization-defined type of agreement]];
 b. Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and
 c. Review and update the agreements [Assignment: organization-defined frequency].","System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization-to-organization communications. Organizations consider the risk related to new or increased threats that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information, as described in CA-6 (1) or CA-6 (2), may help to communicate and reduce risk.
 Authorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The types of agreements selected are based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged. how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements or provide the same information that would be provided in the appropriate agreement type from CA-3a in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems that share the same networks.",CA-3 (c) [at least annually and on input from JAB/AO],CA-3 (c) [at least annually and on input from JAB/AO],Yes, ,X,
CA-03 (06),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-3 (6),No,Information Exchange | Transfer Authorizations,"Verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (i.e., write permissions or privileges) prior to accepting such data.","To prevent unauthorized individuals and systems from making information transfers to protected systems, the protected system verifies—via independent means— whether the individual or system attempting to transfer information is authorized to do so. Verification of the authorization to transfer information also applies to control plane traffic (e.g., routing and DNS) and services (e.g., authenticated SMTP relays).",,Not Found,No,,,
CA-05,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-5,Yes,Plan of Action and Milestones,"a. Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and
 b. Update existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.",Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and subject to federal reporting requirements established by OMB.,CA-5 (b) [at least monthly],CA-5 (b) [at least monthly],Yes,"CA-5 Requirement: POA&Ms must be provided at least monthly.
CA-5 Guidance: Reference FedRAMP-POAM-Template",X,
CA-06,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-6,Yes,Authorization,"a. Assign a senior official as the authorizing official for the system;
 b. Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;
 c. Ensure that the authorizing official for the system, before commencing operations:
 1. Accepts the use of common controls inherited by the system; and
 2. Authorizes the system to operate;
 d. Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;
 e. Update the authorizations [Assignment: organization-defined frequency].","Authorizations are official management decisions by senior officials to authorize operation of systems, authorize the use of common controls for inheritance by organizational systems, and explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and common controls or assume responsibility for the mission and business functions supported by those systems or common controls. The authorization process is a federal responsibility, and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities.
 Authorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., security and privacy plans, assessment reports, and plans of action and milestones) is updated on an ongoing basis. This provides authorizing officials, common control providers, and system owners with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.",CA-6 (e) [in accordance with OMB A-130 requirements or when a significant change occurs] ,CA-6 (e) [in accordance with OMB A-130 requirements or when a significant change occurs] ,Yes,"CA-6 (e) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F and according to FedRAMP Significant Change Policies and Procedures. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.",X,
CA-07,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-7,Yes,Continuous Monitoring,"Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:
 a. Establishing the following system-level metrics to be monitored: [Assignment: organization-defined system-level metrics];
 b. Establishing [Assignment: organization-defined frequencies] for monitoring and [Assignment: organization-defined frequencies] for assessment of control effectiveness;
 c. Ongoing control assessments in accordance with the continuous monitoring strategy;
 d. Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;
 e. Correlation and analysis of information generated by control assessments and monitoring;
 f. Response actions to address results of the analysis of control assessment and monitoring information; and
 g. Reporting the security and privacy status of the system to [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency].","Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions.
 Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as AC-2g, AC-2 (7), AC-2 (12) (a), AC-2 (7) (b), AC-2 (7) (c), AC-17 (1), AT-4a, AU-13, AU-13 (1), AU-13 (2), CM-3f, CM-6d, CM-11c, IR-5, MA-2b, MA-3a, MA-4a, PE-3d, PE-6, PE-14b, PE-16, PE-20, PM-6, PM-23, PM-31, PS-7e, SA-9c, SR-4, SC-5 (3) (b), SC-7a, SC-7 (24) (b), SC-18b, SC-43b, and SI-4.",CA-7 (g)-1 [to include JAB/AO],CA-7 (g)-1 [to include JAB/AO],Yes,"CA-7 Requirement: Operating System, Database, Web Application, Container, and Service Configuration Scans: at least monthly. All scans performed by Independent Assessor: at least annually.
CA-7 Requirement: CSOs with more than one agency ATO must implement a collaborative Continuous Monitoring (ConMon) approach described in the FedRAMP Guide for Multi-Agency Continuous Monitoring. This requirement applies to CSOs authorized via the Agency path as each agency customer is responsible for performing ConMon oversight. It does not apply to CSOs authorized via the JAB path because the JAB performs ConMon oversight.
CA-7 Guidance: FedRAMP does not provide a template for the Continuous Monitoring Plan. CSPs should reference the FedRAMP Continuous Monitoring Strategy Guide when developing the Continuous Monitoring Plan.",X,
CA-07 (01),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-7 (1),Yes,Continuous Monitoring | Independent Assessment,Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis.,"Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in advocacy positions for the organizations acquiring their services.",,,Yes, ,,
CA-07 (04),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-7 (4),Yes,Continuous Monitoring | Risk Monitoring,"Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:
 (a) Effectiveness monitoring;
 (b) Compliance monitoring; and
 (c) Change monitoring.",Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk.,,,Yes,,,
CA-08,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-8,Yes,Penetration Testing,Conduct penetration testing [Assignment: organization-defined frequency] on [Assignment: organization-defined systems or system components].,"Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).
 Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes a pretest analysis based on full knowledge of the system, pretest identification of potential vulnerabilities based on the pretest analysis, and testing designed to determine the exploitability of vulnerabilities. All parties agree to the rules of engagement before commencing penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Penetration testing may result in the exposure of information that is protected by laws or regulations, to individuals conducting the testing. Rules of engagement, contracts, or other appropriate mechanisms can be used to communicate expectations for how to protect this information. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing.",CA-8-1 [at least annually],CA-8-1 [at least annually],Yes,CA-8 Guidance: Reference the FedRAMP Penetration Test Guidance.,X,
CA-08 (01),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-8 (1),Yes,Penetration Testing | Independent Penetration Testing Agent or Team,Employ an independent penetration testing agent or team to perform penetration testing on the system or system components.,"Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. CA-2 (1) provides additional information on independent assessments that can be applied to penetration testing.",,,Yes,,,
CA-08 (02),SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-8 (2),Yes,Penetration Testing | Red Team Exercises,Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: [Assignment: organization-defined red team exercises].,"Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness.",,,Yes,"CA-8 (2) Guidance: See the FedRAMP Documents page> Penetration Test Guidance 
https://www.FedRAMP.gov/documents/",,
CA-09,SECURITY ASSESSMENT AND AUTHORIZATION,Security Assessment And Authorization,CA-9,Yes,Internal System Connections,"a. Authorize internal connections of [Assignment: organization-defined system components or classes of components] to the system;
 b. Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;
 c. Terminate internal system connections after [Assignment: organization-defined conditions]; and
 d. Review [Assignment: organization-defined frequency] the continued need for each internal connection.","Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system) including components used for system development. Intra-system connections include connections with mobile devices, notebook and desktop computers, tablets, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each internal system connection individually, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions.",CA-9 (d) [at least annually],CA-9 (d) [at least annually],Yes,,X,
CM-01,CONFIGURATION MANAGEMENT,Configuration Management,CM-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] configuration management policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the configuration management policy and procedures; and
 c. Review and update the current configuration management:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Configuration management policy and procedures address the controls in the CM family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of configuration management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to configuration management policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","CM-1 (c) (1) [at least annually]
CM-1 (c) (2) [at least annually] [significant changes]","CM-1 (c) (1) [at least every 3 years] 
CM-1 (c) (2) [at least annually] [significant changes]",No, ,X,
CM-02,CONFIGURATION MANAGEMENT,Configuration Management,CM-2,Yes,Baseline Configuration,"a. Develop, document, and maintain under configuration control, a current baseline configuration of the system; and
 b. Review and update the baseline configuration of the system:
 1. [Assignment: organization-defined frequency];
 2. When required due to [Assignment: organization-defined circumstances]; and
 3. When system components are installed or upgraded.","Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.","CM-2 (b) (1) [at least annually and when a significant change occurs]
CM-2 (b) (2) [to include when directed by the JAB]","CM-2 (b) (1) [at least annually and when a significant change occurs]
CM-2 (b) (2) [to include when directed by the JAB]",Yes," CM-2 (b) (1) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F.
",X,
CM-02 (02),CONFIGURATION MANAGEMENT,Configuration Management,CM-2 (2),Yes,Baseline Configuration | Automation Support for Accuracy and Currency,"Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using [Assignment: organization-defined automated mechanisms].","Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission and business process level, or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of CM-8 (2) for organizations that combine system component inventory and baseline configuration activities.",,,Yes,,,
CM-02 (03),CONFIGURATION MANAGEMENT,Configuration Management,CM-2 (3),Yes,Baseline Configuration | Retention of Previous Configurations,Retain [Assignment: organization-defined number] of previous versions of baseline configurations of the system to support rollback.,"Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, configuration records, and associated documentation.",CM-2 (3) [organization-defined number of previous versions of baseline configurations of the previously approved baseline configuration of IS components],,No, ,X,
CM-02 (07),CONFIGURATION MANAGEMENT,Configuration Management,CM-2 (7),Yes,Baseline Configuration | Configure Systems and Components for High-risk Areas," (a) Issue [Assignment: organization-defined systems or system components] with [Assignment: organization-defined configurations] to individuals traveling to locations that the organization deems to be of significant risk; and
 (b) Apply the following controls to the systems or components when the individuals return from travel: [Assignment: organization-defined controls].","When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the MP (Media Protection) family.",,,Yes, ,,
CM-03,CONFIGURATION MANAGEMENT,Configuration Management,CM-3,Yes,Configuration Change Control,"a. Determine and document the types of changes to the system that are configuration-controlled;
 b. Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;
 c. Document configuration change decisions associated with the system;
 d. Implement approved configuration-controlled changes to the system;
 e. Retain records of configuration-controlled changes to the system for [Assignment: organization-defined time period];
 f. Monitor and review activities associated with configuration-controlled changes to the system; and
 g. Coordinate and provide oversight for configuration change control activities through [Assignment: organization-defined configuration change control element] that convenes [Selection (one or more): [Assignment: organization-defined frequency]; when [Assignment: organization-defined configuration change conditions]].","Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations, configuration items of systems, operational procedures, configuration settings for system components, remediate vulnerabilities, and unscheduled or unauthorized changes. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes that impact privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also SA-10.",,,Yes,"CM-3 Requirement: The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO.
CM-3 (e) Guidance: In accordance with record retention policies and procedures.",,
CM-03 (01),CONFIGURATION MANAGEMENT,Configuration Management,CM-3 (1),No,"Configuration Change Control | Automated Documentation, Notification, and Prohibition of Changes","Use [Assignment: organization-defined automated mechanisms] to:
 (a) Document proposed changes to the system;
 (b) Notify [Assignment: organization-defined approval authorities] of proposed changes to the system and request change approval;
 (c) Highlight proposed changes to the system that have not been approved or disapproved within [Assignment: organization-defined time period];
 (d) Prohibit changes to the system until designated approvals are received;
 (e) Document all changes to the system; and
 (f) Notify [Assignment: organization-defined personnel] when approved changes to the system are completed.",None.,"CM-3 (1) (c)  [organization agreed upon time period] 
CM-3 (1) (f) [organization defined configuration management approval authorities] ",Not Found,No, ,X,
CM-03 (02),CONFIGURATION MANAGEMENT,Configuration Management,CM-3 (2),Yes,"Configuration Change Control | Testing, Validation, and Documentation of Changes","Test, validate, and document changes to the system before finalizing the implementation of the changes.","Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with system operations that support organizational mission and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken offline, or replicated to the extent feasible, before testing can be conducted. If systems must be taken offline for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls.",,,Yes, ,,
CM-03 (04),CONFIGURATION MANAGEMENT,Configuration Management,CM-3 (4),Yes,Configuration Change Control | Security and Privacy Representatives,Require [Assignment: organization-defined security and privacy representatives] to be members of the [Assignment: organization-defined configuration change control element].,"Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element referred to in the second organization-defined parameter reflects the change control elements defined by organizations in CM-3g.",CM-3 (4)-2 [Configuration control board (CCB) or similar (as defined in CM-3)],CM-3 (4)-2 [Configuration control board (CCB) or similar (as defined in CM-3)],Yes,,X,
CM-03 (06),CONFIGURATION MANAGEMENT,Configuration Management,CM-3 (6),No,Configuration Change Control | Cryptography Management,Ensure that cryptographic mechanisms used to provide the following controls are under configuration management: [Assignment: organization-defined controls].,"The controls referenced in the control enhancement refer to security and privacy controls from the control catalog. Regardless of the cryptographic mechanisms employed, processes and procedures are in place to manage those mechanisms. For example, if system components use certificates for identification and authentication, a process is implemented to address the expiration of those certificates.",CM-3 (6) All security safeguards that rely on cryptography,Not Found,No,,X,
CM-04,CONFIGURATION MANAGEMENT,Configuration Management,CM-4,Yes,Impact Analyses,Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.,"Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems as well as the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing the impact of changes on organizational supply chain partners with stakeholders; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and determine if additional controls are required.",,,Yes, ,,
CM-04 (01),CONFIGURATION MANAGEMENT,Configuration Management,CM-4 (1),No,Impact Analyses | Separate Test Environments,"Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice.","A separate test environment requires an environment that is physically or logically separate and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment and that information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not implemented, organizations determine the strength of mechanism required when implementing logical separation.",,Not Found,No, ,,
CM-04 (02),CONFIGURATION MANAGEMENT,Configuration Management,CM-4 (2),Yes,Impact Analyses | Verification of Controls,"After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.",Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls.,,,Yes,,,
CM-05,CONFIGURATION MANAGEMENT,Configuration Management,CM-5,Yes,Access Restrictions for Change,"Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.","Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals’ privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see AC-3 and PE-3), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).",,,Yes, ,,
CM-05 (01),CONFIGURATION MANAGEMENT,Configuration Management,CM-5 (1),Yes,Access Restrictions for Change | Automated Access Enforcement and Audit Records," (a) Enforce access restrictions using [Assignment: organization-defined automated mechanisms]; and 
 (b) Automatically generate audit records of the enforcement actions.",Organizations log system accesses associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.,,,Yes, ,,
CM-05 (05),CONFIGURATION MANAGEMENT,Configuration Management,CM-5 (5),Yes,Access Restrictions for Change | Privilege Limitation for Production and Operation," (a) Limit privileges to change system components and system-related information within a production or operational environment; and
 (b) Review and reevaluate privileges [Assignment: organization-defined frequency].","In many organizations, systems support multiple mission and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are, in some cases, unknown to developers. System-related information includes operational procedures.",CM-5 (5) (b) [at least quarterly] ,CM-5 (5) (b) [at least quarterly] ,Yes, ,X,
CM-06,CONFIGURATION MANAGEMENT,Configuration Management,CM-6,Yes,Configuration Settings,"a. Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using [Assignment: organization-defined common secure configurations];
 b. Implement the configuration settings;
 c. Identify, document, and approve any deviations from established configuration settings for [Assignment: organization-defined system components] based on [Assignment: organization-defined operational requirements]; and
 d. Monitor and control changes to the configuration settings in accordance with organizational policies and procedures.","Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security and privacy posture or functionality of the system. Information technology products for which configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Parameters that impact the security posture of systems include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Privacy parameters are parameters impacting the privacy posture of systems, including the parameters required to satisfy other privacy controls. Privacy parameters include settings for access controls, data processing preferences, and processing and retention permissions. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system.
 Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, and security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors.
 Implementation of a common secure configuration may be mandated at the organization level, mission and business process level, system level, or at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline USGCB and security technical implementation guides (STIGs), which affect the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings.",,0,Yes,"CM-6 (a) Requirement 1:  The service provider shall use the DoD STIGs to establish configuration settings; Center for Internet Security up to Level 2 (CIS Level 2) guidelines shall be used if STIGs are not available; Custom baselines shall be used if CIS is not available.
CM-6 (a) Requirement 2: The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available).

CM-6 Guidance: Compliance checks are used to evaluate configuration settings and provide general insight into the overall effectiveness of configuration management activities. CSPs and 3PAOs typically combine compliance check findings into a single CM-6 finding, which is acceptable. However, for initial assessments, annual assessments, and significant change requests, FedRAMP requires a clear understanding, on a per-control basis, where risks exist. Therefore, 3PAOs must also analyze compliance check findings as part of the controls assessment. Where a direct mapping exists, the 3PAO must document additional findings per control in the corresponding SAR Risk Exposure Table (RET), which are then documented in the CSP’s Plan of Action and Milestones (POA&M). This will likely result in the details of individual control findings overlapping with those in the combined CM-6 finding, which is acceptable.
During monthly continuous monitoring, new findings from CSP compliance checks may be combined into a single CM-6 POA&M item. CSPs are not required to map the findings to specific controls because controls are only assessed during initial assessments, annual assessments, and significant change requests.",,
CM-06 (01),CONFIGURATION MANAGEMENT,Configuration Management,CM-6 (1),Yes,"Configuration Settings | Automated Management, Application, and Verification","Manage, apply, and verify configuration settings for [Assignment: organization-defined system components] using [Assignment: organization-defined automated mechanisms].","Automated tools (e.g., hardening tools, baseline configuration tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization.",,,Yes, ,,
CM-06 (02),CONFIGURATION MANAGEMENT,Configuration Management,CM-6 (2),No,Configuration Settings | Respond to Unauthorized Changes,Take the following actions in response to unauthorized changes to [Assignment: organization-defined configuration settings]: [Assignment: organization-defined actions].,"Responses to unauthorized changes to configuration settings include alerting designated organizational personnel, restoring established configuration settings, or—in extreme cases—halting affected system processing.",,Not Found,No, ,,
CM-07,CONFIGURATION MANAGEMENT,Configuration Management,CM-7,Yes,Least Functionality,"a. Configure the system to provide only [Assignment: organization-defined mission essential capabilities]; and
 b. Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: [Assignment: organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services].","Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see SA-8, SC-2, and SC-3).",,0,Yes,"CM-7 (b) Requirement: The service provider shall use Security guidelines (See CM-6) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if STIGs or CIS is not available.",,
CM-07 (01),CONFIGURATION MANAGEMENT,Configuration Management,CM-7 (1),Yes,Least Functionality | Periodic Review," (a) Review the system [Assignment: organization-defined frequency] to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and
 (b) Disable or remove [Assignment: organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure].","Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking.",CM-7 (1) (a) [at least annually] ,CM-7 (1) (a) [at least annually] ,Yes, ,X,
CM-07 (02),CONFIGURATION MANAGEMENT,Configuration Management,CM-7 (2),Yes,Least Functionality | Prevent Program Execution,"Prevent program execution in accordance with [Selection (one or more): [Assignment: organization-defined policies, rules of behavior, and/or access agreements regarding software program usage and restrictions]; rules authorizing the terms and conditions of software program usage].","Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements that restrict software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features, restricting roles allowed to approve program execution, permitting or prohibiting specific software programs, or restricting the number of program instances executed at the same time.",,,Yes,CM-7 (2) Guidance:  This control refers to software deployment by CSP personnel into the production environment. The control requires a policy that states conditions for deploying software. This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. allow-listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.,,
CM-07 (05),CONFIGURATION MANAGEMENT,Configuration Management,CM-7 (5),Yes,Least Functionality | Authorized Software — Allow-by-exception," (a) Identify [Assignment: organization-defined software programs authorized to execute on the system];
 (b) Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and
 (c) Review and update the list of authorized software programs [Assignment: organization-defined frequency].","Authorized software programs can be limited to specific versions or from a specific source. To facilitate a comprehensive authorized software process and increase the strength of protection for attacks that bypass application level authorized software, software programs may be decomposed into and monitored at different levels of detail. These levels include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of permitting the execution of authorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. Organizations consider verifying the integrity of authorized software programs using digital signatures, cryptographic checksums, or hash functions. Verification of authorized software can occur either prior to execution or at system startup. The identification of authorized URLs for websites is addressed in CA-3 (5) and SC-7.",CM-7 (5) (c) [at least quarterly or when there is a change],CM-7 (5) (c) [at least quarterly or when there is a change],Yes, ,X,
CM-08,CONFIGURATION MANAGEMENT,Configuration Management,CM-8,Yes,System Component Inventory,"a. Develop and document an inventory of system components that:
 1. Accurately reflects the system;
 2. Includes all components within the system;
 3. Does not include duplicate accounting of components or components assigned to any other system;
 4. Is at the level of granularity deemed necessary for tracking and reporting; and
 5. Includes the following information to achieve system component accountability: [Assignment: organization-defined information deemed necessary to achieve effective system component accountability]; and
 b. Review and update the system component inventory [Assignment: organization-defined frequency].","System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes the system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location.
 Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. Effective prevention of duplicate accounting of system components necessitates use of a unique identifier for each component. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of CM-8 (7) can help to eliminate duplicate accounting of components.",CM-8 (b) [at least monthly],CM-8 (b) [at least monthly],Yes,CM-8 Requirement: must be provided at least monthly or when there is a change.,X,
CM-08 (01),CONFIGURATION MANAGEMENT,Configuration Management,CM-8 (1),Yes,System Component Inventory | Updates During Installation and Removal,"Update the inventory of system components as part of component installations, removals, and system updates.","Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated as part of component installations or removals or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components.",,,Yes, ,,
CM-08 (02),CONFIGURATION MANAGEMENT,Configuration Management,CM-8 (2),No,System Component Inventory | Automated Maintenance,"Maintain the currency, completeness, accuracy, and availability of the inventory of system components using [Assignment: organization-defined automated mechanisms].","Organizations maintain system inventories to the extent feasible. For example, virtual machines can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. Automated maintenance can be achieved by the implementation of CM-2 (2) for organizations that combine system component inventory and baseline configuration activities.",,Not Found,No,,,
CM-08 (03),CONFIGURATION MANAGEMENT,Configuration Management,CM-8 (3),Yes,System Component Inventory | Automated Unauthorized Component Detection," (a) Detect the presence of unauthorized hardware, software, and firmware components within the system using [Assignment: organization-defined automated mechanisms] [Assignment: organization-defined frequency]; and
 (b) Take the following actions when unauthorized components are detected: [Selection (one or more): disable network access by such components; isolate the components; notify [Assignment: organization-defined personnel or roles]].","Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms may also be used to prevent the connection of unauthorized components (see CM-7 (9)). Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices, sensors). Isolation can be achieved , for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as sandboxing.","CM-8 (3) (a)-1  [automated mechanisms with a maximum five-minute delay in detection.] 
CM-8 (3) (a)-2 [continuously]","CM-8 (3) (a)-1  [automated mechanisms with a maximum five-minute delay in detection.] 
CM-8 (3) (a)-2 [continuously]",Yes, ,X,
CM-08 (04),CONFIGURATION MANAGEMENT,Configuration Management,CM-8 (4),No,System Component Inventory | Accountability Information,"Include in the system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible and accountable for administering those components.","Identifying individuals who are responsible and accountable for administering system components ensures that the assigned components are properly administered and that organizations can contact those individuals if some action is required (e.g., when the component is determined to be the source of a breach, needs to be recalled or replaced, or needs to be relocated).",CM-8 (4) [position and role],Not Found,No,,X,
CM-09,CONFIGURATION MANAGEMENT,Configuration Management,CM-9,Yes,Configuration Management Plan,"Develop, document, and implement a configuration management plan for the system that:
 a. Addresses roles, responsibilities, and configuration management processes and procedures;
 b. Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;
 c. Defines the configuration items for the system and places the configuration items under configuration management;
 d. Is reviewed and approved by [Assignment: organization-defined personnel or roles]; and
 e. Protects the configuration management plan from unauthorized disclosure and modification.","Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities.
 Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes; update configuration settings and baselines; maintain component inventories; control development, test, and operational environments; and develop, release, and update key documents.
 Organizations can employ templates to help ensure the consistent and timely development and implementation of configuration management plans. Templates can represent a configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include the designation of key stakeholders responsible for reviewing and approving proposed changes to systems, and personnel who conduct security and privacy impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, such as the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control.",,,Yes,"CM-9 Guidance: FedRAMP does not provide a template for the Configuration Management Plan. However, NIST SP 800-128, Guide for Security-Focused Configuration Management of Information Systems, provides guidelines for the implementation of CM controls as well as a sample CMP outline in Appendix D of the Guide",,
CM-10,CONFIGURATION MANAGEMENT,Configuration Management,CM-10,Yes,Software Usage Restrictions,"a. Use software and associated documentation in accordance with contract agreements and copyright laws;
 b. Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
 c. Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.","Software license tracking can be accomplished by manual or automated methods, depending on organizational needs. Examples of contract agreements include software license agreements and non-disclosure agreements.",,,Yes, ,,
CM-11,CONFIGURATION MANAGEMENT,Configuration Management,CM-11,Yes,User-installed Software,"a. Establish [Assignment: organization-defined policies] governing the installation of software by users;
 b. Enforce software installation policies through the following methods: [Assignment: organization-defined methods]; and
 c. Monitor policy compliance [Assignment: organization-defined frequency].","If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved app stores. Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods.",CM-11 (c) [Continuously (via CM-7 (5))],CM-11 (c) [Continuously (via CM-7 (5))],Yes, ,X,
CM-12,CONFIGURATION MANAGEMENT,Configuration Management,CM-12,Yes,Information Location,"a. Identify and document the location of [Assignment: organization-defined information] and the specific system components on which the information is processed and stored;
 b. Identify and document the users who have access to the system and system components where the information is processed and stored; and
 c. Document changes to the location (i.e., system or system components) where the information is processed and stored.","Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and information reside in system components and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see FIPS 199). The location of the information and system components is also a factor in the architecture and design of the system (see SA-4, SA-8, SA-17).",,,Yes,CM-12 Requirement: According to FedRAMP Authorization Boundary Guidance,,
CM-12 (01),CONFIGURATION MANAGEMENT,Configuration Management,CM-12 (1),Yes,Information Location | Automated Tools to Support Information Location,Use automated tools to identify [Assignment: organization-defined information by information type] on [Assignment: organization-defined system components] to ensure controls are in place to protect organizational information and individual privacy.,The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information across the organization. The output of automated information location tools can be used to guide and inform system architecture and design decisions.,CM-12 (1)-1: [Federal data and system data that must be protected at the High or Moderate impact levels],CM-12 (1)-1: [Federal data and system data that must be protected at the High or Moderate impact levels],Yes,CM-12 (1) Requirement: According to FedRAMP Authorization Boundary Guidance.,X,
CM-14,CONFIGURATION MANAGEMENT,Configuration Management,CM-14,No,Signed Components,Prevent the installation of [Assignment: organization-defined software and firmware components] without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.,"Software and firmware components prevented from installation unless signed with recognized and approved certificates include software and firmware version updates, patches, service packs, device drivers, and basic input/output system updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures is a method of code authentication.",,Not Found,No,"CM-14 Guidance: If digital signatures/certificates are unavailable, alternative cryptographic integrity checks (hashes, self-signed certs, etc.) can be utilized.",,
CP-01,CONTINGENCY PLANNING,Contingency Planning,CP-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] contingency planning policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and
 c. Review and update the current contingency planning:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Contingency planning policy and procedures address the controls in the CP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of contingency planning policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to contingency planning policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","CP-1 (c) (1) [at least annually]
CP-1 (c) (2) [at least annually] [significant changes]","CP-1 (c) (1) [at least every 3 years] 
CP-1 (c) (2) [at least annually] [significant changes]",No, ,X,
CP-02,CONTINGENCY PLANNING,Contingency Planning,CP-2,Yes,Contingency Plan,"a. Develop a contingency plan for the system that:
 1. Identifies essential mission and business functions and associated contingency requirements;
 2. Provides recovery objectives, restoration priorities, and metrics;
 3. Addresses contingency roles, responsibilities, assigned individuals with contact information;
 4. Addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure; 
 5. Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented;
 6. Addresses the sharing of contingency information; and
 7. Is reviewed and approved by [Assignment: organization-defined personnel or roles];
 b. Distribute copies of the contingency plan to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements];
 c. Coordinate contingency planning activities with incident handling activities;
 d. Review the contingency plan for the system [Assignment: organization-defined frequency];
 e. Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;
 f. Communicate contingency plan changes to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements];
 g. Incorporate lessons learned from contingency plan testing, training, or actual contingency activities into contingency testing and training; and
 h. Protect the contingency plan from unauthorized disclosure and modification.","Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational mission and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, organizational risk tolerance, and system impact level.
 Actions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system, as specified in IR-4 (5). Incident response planning is part of contingency planning for organizations and is addressed in the IR (Incident Response) family.",CP-2 (d) [at least annually],CP-2 (d) [at least annually],Yes,"CP-2 Requirement: For JAB authorizations the contingency lists include designated FedRAMP personnel.

CP-2 Requirement: CSPs must use the FedRAMP Information System Contingency Plan (ISCP) Template (available on the fedramp.gov: https://www.fedramp.gov/assets/resources/templates/SSP-A06-FedRAMP-ISCP-Template.docx). ",X,
CP-02 (01),CONTINGENCY PLANNING,Contingency Planning,CP-2 (1),Yes,Contingency Plan | Coordinate with Related Plans,Coordinate contingency plan development with organizational elements responsible for related plans.,"Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Data Breach Response Plans, Cyber Incident Response Plans, Breach Response Plans, and Occupant Emergency Plans.",,,Yes, ,,
CP-02 (02),CONTINGENCY PLANNING,Contingency Planning,CP-2 (2),No,Contingency Plan | Capacity Planning,"Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.","Capacity planning is needed because different threats can result in a reduction of the available processing, telecommunications, and support services intended to support essential mission and business functions. Organizations anticipate degraded operations during contingency operations and factor the degradation into capacity planning. For capacity planning, environmental support refers to any environmental factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. Such determinations are based on an organizational assessment of risk, system categorization (impact level), and organizational risk tolerance.",,Not Found,No, ,,
CP-02 (03),CONTINGENCY PLANNING,Contingency Planning,CP-2 (3),Yes,Contingency Plan | Resume Mission and Business Functions,Plan for the resumption of [Selection: all; essential] mission and business functions within [Assignment: organization-defined time period] of contingency plan activation.,Organizations may choose to conduct contingency planning activities to resume mission and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of mission and business functions. The time period for resuming mission and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure.,"CP-2 (3)-1 [all]
CP-2 (3)-2 [time period defined in service provider and organization  SLA]","CP-2 (3)-1 [all]
CP-2 (3)-2 [time period defined in service provider and organization  SLA]",Yes, ,X,
CP-02 (05),CONTINGENCY PLANNING,Contingency Planning,CP-2 (5),No,Contingency Plan | Continue Mission and Business Functions,Plan for the continuance of [Selection: all; essential] mission and business functions with minimal or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.,Organizations may choose to conduct the contingency planning activities to continue mission and business functions as part of business continuity planning or business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency.,CP-2 (5) [essential],Not Found,No,,X,
CP-02 (08),CONTINGENCY PLANNING,Contingency Planning,CP-2 (8),Yes,Contingency Plan | Identify Critical Assets,Identify critical system assets supporting [Selection: all; essential] mission and business functions.,"Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so that additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational mission and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (i.e., manually executed operations) and personnel (i.e., individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing CP-2 (7) as a control enhancement.",,,Yes, ,,
CP-03,CONTINGENCY PLANNING,Contingency Planning,CP-3,Yes,Contingency Training,"a. Provide contingency training to system users consistent with assigned roles and responsibilities: 
 1. Within [Assignment: organization-defined time period] of assuming a contingency role or responsibility;
 2. When required by system changes; and
 3. [Assignment: organization-defined frequency] thereafter; and
 b. Review and update contingency training content [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan. Events that may precipitate an update to contingency training content include, but are not limited to, contingency plan testing or an actual contingency (lessons learned), assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. At the discretion of the organization, participation in a contingency plan test or exercise, including lessons learned sessions subsequent to the test or exercise, may satisfy contingency plan training requirements.","CP-3 (a) (1) [*See Additional Requirements]
CP-3 (a) (3) [at least annually]
CP-3 (b) [at least annually]","CP-3 (a) (1) [*See Additional Requirements]
CP-3 (a) (3) [at least annually]
CP-3 (b) [at least annually]",Yes,"CP-3 (a) Requirement: Privileged admins and engineers must take the basic contingency training within 10 days. Consideration must be given for those privileged admins and engineers with critical contingency-related roles, to gain enough system context and situational awareness to understand the full impact of contingency training as it applies to their respective level. Newly hired critical contingency personnel must take this more in-depth training within 60 days of hire date when the training will have more impact.",X,
CP-03 (01),CONTINGENCY PLANNING,Contingency Planning,CP-3 (1),No,Contingency Training | Simulated Events,Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.,"The use of simulated events creates an environment for personnel to experience actual threat events, including cyber-attacks that disable websites, ransomware attacks that encrypt organizational data on servers, hurricanes that damage or destroy organizational facilities, or hardware or software failures.",,Not Found,No,,,
CP-04,CONTINGENCY PLANNING,Contingency Planning,CP-4,Yes,Contingency Plan Testing,"a. Test the contingency plan for the system [Assignment: organization-defined frequency] using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: [Assignment: organization-defined tests].
 b. Review the contingency plan test results; and
 c. Initiate corrective actions, if needed.","Methods for testing contingency plans to determine the effectiveness of the plans and identify potential weaknesses include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.","CP-4 (a)-1 [at least annually] 
CP-4 (a)-2 [functional exercises]","CP-4 (a)-1 [at least annually] 
CP-4 (a)-2 [functional exercises]",Yes,"CP-4 (a) Requirement: The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.

CP-4 (b) Requirement: The service provider must include the Contingency Plan test results with the security package within the Contingency Plan-designated appendix (Appendix G, Contingency Plan Test Report).",X,
CP-04 (01),CONTINGENCY PLANNING,Contingency Planning,CP-4 (1),Yes,Contingency Plan Testing | Coordinate with Related Plans,Coordinate contingency plan testing with organizational elements responsible for related plans.,"Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements.",,,Yes, ,,
CP-04 (02),CONTINGENCY PLANNING,Contingency Planning,CP-4 (2),No,Contingency Plan Testing | Alternate Processing Site,"Test the contingency plan at the alternate processing site:
 (a) To familiarize contingency personnel with the facility and available resources; and
 (b) To evaluate the capabilities of the alternate processing site to support contingency operations.",Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational mission and business functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing.,,Not Found,No,,,
CP-06,CONTINGENCY PLANNING,Contingency Planning,CP-6,Yes,Alternate Storage Site,"a. Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and
 b. Ensure that the alternate storage site provides controls equivalent to that of the primary site.","Alternate storage sites are geographically distinct from primary storage sites and maintain duplicate copies of information and data if the primary storage site is not available. Similarly, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may be considered alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential mission and business functions despite compromise, failure, or disruption in organizational systems.",,,Yes, ,,
CP-06 (01),CONTINGENCY PLANNING,Contingency Planning,CP-6 (1),Yes,Alternate Storage Site | Separation from Primary Site,Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats.,"Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.",,,Yes, ,,
CP-06 (02),CONTINGENCY PLANNING,Contingency Planning,CP-6 (2),No,Alternate Storage Site | Recovery Time and Recovery Point Objectives,Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.,Organizations establish recovery time and recovery point objectives as part of contingency planning. Configuration of the alternate storage site includes physical facilities and the systems supporting recovery operations that ensure accessibility and correct execution.,,Not Found,No,,,
CP-06 (03),CONTINGENCY PLANNING,Contingency Planning,CP-6 (3),Yes,Alternate Storage Site | Accessibility,Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions.,Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.,,,Yes, ,,
CP-07,CONTINGENCY PLANNING,Contingency Planning,CP-7,Yes,Alternate Processing Site,"a. Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of [Assignment: organization-defined system operations] for essential mission and business functions within [Assignment: organization-defined time period consistent with recovery time and recovery point objectives] when the primary processing capabilities are unavailable;
 b. Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and
 c. Provide controls at the alternate processing site that are equivalent to those at the primary site.","Alternate processing sites are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives, such as failover to a cloud-based service provider or other internally or externally provided processing service. Geographically distributed architectures that support contingency requirements may also be considered alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and the coordination for the transfer and assignment of personnel. Requirements are allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential mission and business functions despite disruption, compromise, or failure in organizational systems.",,,Yes,"CP-7 (a) Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.
",,
CP-07 (01),CONTINGENCY PLANNING,Contingency Planning,CP-7 (1),Yes,Alternate Processing Site | Separation from Primary Site,Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats.,"Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.",,,Yes,"CP-7 (1) Guidance: The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.",,
CP-07 (02),CONTINGENCY PLANNING,Contingency Planning,CP-7 (2),Yes,Alternate Processing Site | Accessibility,Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.,Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk.,,,Yes, ,,
CP-07 (03),CONTINGENCY PLANNING,Contingency Planning,CP-7 (3),Yes,Alternate Processing Site | Priority of Service,Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives).,Priority of service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning.,,,Yes, ,,
CP-07 (04),CONTINGENCY PLANNING,Contingency Planning,CP-7 (4),No,Alternate Processing Site | Preparation for Use,Prepare the alternate processing site so that the site can serve as the operational site supporting essential mission and business functions.,Site preparation includes establishing configuration settings for systems at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and logistical considerations are in place.,,Not Found,No,,,
CP-08,CONTINGENCY PLANNING,Contingency Planning,CP-8,Yes,Telecommunications Services,"Establish alternate telecommunications services, including necessary agreements to permit the resumption of [Assignment: organization-defined system operations] for essential mission and business functions within [Assignment: organization-defined time period] when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.","Telecommunications services (for data and voice) for primary and alternate processing and storage sites are in scope for CP-8. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential mission and business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines, network-based approaches to telecommunications, or the use of satellites. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.",,,Yes,"CP-8 Requirement: The service provider defines a time period consistent with the recovery time objectives and business impact analysis.
",,
CP-08 (01),CONTINGENCY PLANNING,Contingency Planning,CP-8 (1),Yes,Telecommunications Services | Priority of Service Provisions," (a) Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and
 (b) Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.","Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority of service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program, and the Department of Homeland Security manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program.",,,Yes, ,,
CP-08 (02),CONTINGENCY PLANNING,Contingency Planning,CP-8 (2),Yes,Telecommunications Services | Single Points of Failure,Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.,"In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services.",,,Yes, ,,
CP-08 (03),CONTINGENCY PLANNING,Contingency Planning,CP-8 (3),No,Telecommunications Services | Separation of Primary and Alternate Providers,Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.,"Threats that affect telecommunications services are defined in organizational assessments of risk and include natural disasters, structural failures, cyber or physical attacks, and errors of omission or commission. Organizations can reduce common susceptibilities by minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services that meet the separation needs addressed in the risk assessment.",,Not Found,No,,,
CP-08 (04),CONTINGENCY PLANNING,Contingency Planning,CP-8 (4),No,Telecommunications Services | Provider Contingency Plan," (a) Require primary and alternate telecommunications service providers to have contingency plans;
 (b) Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and
 (c) Obtain evidence of contingency testing and training by providers [Assignment: organization-defined frequency].","Reviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security and state and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.",CP-8 (4) (c) [annually],Not Found,No,,X,
CP-09,CONTINGENCY PLANNING,Contingency Planning,CP-9,Yes,System Backup,"a. Conduct backups of user-level information contained in [Assignment: organization-defined system components] [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
 b. Conduct backups of system-level information contained in the system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
 c. Conduct backups of system documentation, including security- and privacy-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and 
 d. Protect the confidentiality, integrity, and availability of backup information.","System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by MP-5 and SC-8. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.","CP-9 (a)-2 [daily incremental; weekly full]
CP-9 (b) [daily incremental; weekly full]
CP-9 (c) [daily incremental; weekly full]","CP-9 (a)-2 [daily incremental; weekly full]
CP-9 (b) [daily incremental; weekly full]
CP-9 (c) [daily incremental; weekly full]",Yes,"CP-9 Requirement: The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.
CP-9 (a) Requirement: The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative.
CP-9 (b) Requirement: The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative.
CP-9 (c) Requirement: The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.",X,
CP-09 (01),CONTINGENCY PLANNING,Contingency Planning,CP-9 (1),Yes,System Backup | Testing for Reliability and Integrity,Test backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.,"Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance.",CP-9 (1) [at least monthly],CP-9 (1) [at least annually],No, ,X,
CP-09 (02),CONTINGENCY PLANNING,Contingency Planning,CP-9 (2),No,System Backup | Test Restoration Using Sampling,Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing.,"Organizations need assurance that system functions can be restored correctly and can support established organizational missions. To ensure that the selected system functions are thoroughly exercised during contingency plan testing, a sample of backup information is retrieved to determine whether the functions are operating as intended. Organizations can determine the sample size for the functions and backup information based on the level of assurance needed.",,Not Found,No,,,
CP-09 (03),CONTINGENCY PLANNING,Contingency Planning,CP-9 (3),No,System Backup | Separate Storage for Critical Information,Store backup copies of [Assignment: organization-defined critical system software and other security-related information] in a separate facility or in a fire rated container that is not collocated with the operational system.,"Separate storage for critical information applies to all critical information regardless of the type of backup storage media. Critical system software includes operating systems, middleware, cryptographic key management systems, and intrusion detection systems. Security-related information includes inventories of system hardware, software, and firmware components. Alternate storage sites, including geographically distributed architectures, serve as separate storage facilities for organizations. Organizations may provide separate storage by implementing automated backup processes at alternative storage sites (e.g., data centers). The General Services Administration (GSA) establishes standards and specifications for security and fire rated containers.",,Not Found,No, ,,
CP-09 (05),CONTINGENCY PLANNING,Contingency Planning,CP-9 (5),No,System Backup | Transfer to Alternate Storage Site,Transfer system backup information to the alternate storage site [Assignment: organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives].,System backup information can be transferred to alternate storage sites either electronically or by the physical shipment of storage media.,CP-9 (5) [time period and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization  SLA].,Not Found,No, ,X,
CP-09 (08),CONTINGENCY PLANNING,Contingency Planning,CP-9 (8),Yes,System Backup | Cryptographic Protection,Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of [Assignment: organization-defined backup information].,The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. Cryptographic protection applies to system backup information in storage at both primary and alternate locations. Organizations that implement cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.,CP-9 (08) [all backup files],CP-9 (08) [all backup files],Yes,CP-9 (8) Guidance: Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.),X,
CP-10,CONTINGENCY PLANNING,Contingency Planning,CP-10,Yes,System Recovery and Reconstitution,"Provide for the recovery and reconstitution of the system to a known state within [Assignment: organization-defined time period consistent with recovery time and recovery point objectives] after a disruption, compromise, or failure.","Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities; recovery point, recovery time, and reconstitution objectives; and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning.",,,Yes, ,,
CP-10 (02),CONTINGENCY PLANNING,Contingency Planning,CP-10 (2),Yes,System Recovery and Reconstitution | Transaction Recovery,Implement transaction recovery for systems that are transaction-based.,Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling.,,,Yes, ,,
CP-10 (04),CONTINGENCY PLANNING,Contingency Planning,CP-10 (4),No,System Recovery and Reconstitution | Restore Within Time Period,"Provide the capability to restore system components within [Assignment: organization-defined restoration time periods] from configuration-controlled and integrity-protected information representing a known, operational state for the components.","Restoration of system components includes reimaging, which restores the components to known, operational states.",CP-10 (4) [time period consistent with the restoration time-periods defined in the service provider and organization  SLA],Not Found,No, ,X,
IA-01,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] identification and authentication policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and
 c. Review and update the current identification and authentication:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Identification and authentication policy and procedures address the controls in the IA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of identification and authentication policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to identification and authentication policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","IA-1 (c) (1) [at least annually]
IA-1 (c) (2) [at least annually] [significant changes]","IA-1 (c) (1) [at least every 3 years] 
IA-1 (c) (2) [at least annually] [significant changes]",No, ,X,
IA-02,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-2,Yes,Identification and Authentication (organizational Users),Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users.,"Organizations can satisfy the identification and authentication requirements by complying with the requirements in HSPD 12. Organizational users include employees or individuals who organizations consider to have an equivalent status to employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than those that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity.
 Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities or, in the case of multi-factor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks.
 The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8.",,,Yes,"IA-2 Requirement: For all control enhancements that specify multifactor authentication, the implementation must adhere to the Digital Identity Guidelines specified in NIST Special Publication 800-63B.

IA-2 Requirement: Multi-factor authentication must be phishing-resistant.

IA-2 Requirement: All uses of encrypted virtual private networks must meet all applicable Federal requirements and architecture, dataflow, and security and privacy controls must be documented, assessed, and authorized to operate.

IA-2 Guidance: “Phishing-resistant"" authentication refers to authentication processes designed to detect and prevent disclosure of authentication secrets and outputs to a website or application masquerading as a legitimate system. 
",,
IA-02 (01),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-2 (1),Yes,Identification and Authentication (organizational Users) | Multi-factor Authentication to Privileged Accounts,Implement multi-factor authentication for access to privileged accounts.,"Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification (PIV) card or the Department of Defense (DoD) Common Access Card (CAC). In addition to authenticating users at the system level (i.e., at logon), organizations may employ authentication mechanisms at the application level, at their discretion, to provide increased security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.",,,Yes,"IA-2 (1) Requirement: According to SP 800-63-3, SP 800-63A (IAL), SP 800-63B (AAL), and SP 800-63C (FAL).

IA-2 (1) Requirement: Multi-factor authentication must be phishing-resistant.

IA-2 (1) Guidance: Multi-factor authentication to subsequent components in the same user domain is not required.",,
IA-02 (02),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-2 (2),Yes,Identification and Authentication (organizational Users) | Multi-factor Authentication to Non-privileged Accounts,Implement multi-factor authentication for access to non-privileged accounts.,"Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), non-privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.",,,Yes,"IA-2 (2) Requirement: According to SP 800-63-3, SP 800-63A (IAL), SP 800-63B (AAL), and SP 800-63C (FAL).

IA-2 (2) Requirement: Multi-factor authentication must be phishing-resistant.

IA-2 (2) Guidance: Multi-factor authentication to subsequent components in the same user domain is not required.",,
IA-02 (05),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-2 (5),Yes,Identification and Authentication (organizational Users) | Individual Authentication with Group Authentication,"When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.",Individual authentication prior to shared group authentication mitigates the risk of using group accounts or authenticators.,,,Yes, ,,
IA-02 (06),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-2 (6),Yes,Identification and Authentication (organizational Users) | Access to Accounts —separate Device,"Implement multi-factor authentication for [Selection (one or more): local; network; remote] access to [Selection (one or more): privileged accounts; non-privileged accounts] such that:
 (a) One of the factors is provided by a device separate from the system gaining access; and
 (b) The device meets [Assignment: organization-defined strength of mechanism requirements].","The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multi-factor authentication is to reduce the likelihood of compromising authenticators or credentials stored on the system. Adversaries may be able to compromise such authenticators or credentials and subsequently impersonate authorized users. Implementing one of the factors on a separate device (e.g., a hardware token), provides a greater strength of mechanism and an increased level of assurance in the authentication process.","IA-2 (6)-1 [local, network and remote]
IA-2 (6)-2 [privileged accounts; non-privileged accounts]
IA-2 (6) (b) [FIPS-validated or NSA-approved cryptography]","IA-2 (6)-1 [local, network and remote]
IA-2 (6)-2 [privileged accounts; non-privileged accounts]
IA-2 (6) (b) [FIPS-validated or NSA-approved cryptography]",Yes,"IA-2 (6) Guidance: PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.

IA-2 (6) Guidance: See SC-13 Guidance for more information on FIPS-validated or NSA-approved cryptography.",X,
IA-02 (08),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-2 (8),Yes,Identification and Authentication (organizational Users) | Access to Accounts — Replay Resistant,Implement replay-resistant authentication mechanisms for access to [Selection (one or more): privileged accounts; non-privileged accounts].,Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or cryptographic authenticators.,IA-2 (8) [privileged accounts; non-privileged accounts],IA-2 (8) [privileged accounts; non-privileged accounts],Yes, ,X,
IA-02 (12),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-2 (12),Yes,Identification and Authentication (organizational Users) | Acceptance of PIV Credentials,Accept and electronically verify Personal Identity Verification-compliant credentials.,"Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using SP 800-79-2. Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in SP 800-166. The DOD Common Access Card (CAC) is an example of a PIV credential.",,,Yes,"IA-2 (12) Guidance: Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.
",,
IA-03,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-3,Yes,Device Identification and Authentication,Uniquely identify and authenticate [Assignment: organization-defined devices and/or types of devices] before establishing a [Selection (one or more): local; remote; network] connection.,"Devices that require unique device-to-device identification and authentication are defined by type, device, or a combination of type and device. Organization-defined device types include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., Institute of Electrical and Electronics Engineers (IEEE) 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on a large scale, organizations can restrict the application of the control to a limited number/type of devices based on mission or business needs.",,,Yes, ,,
IA-04,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-4,Yes,Identifier Management,"Manage system identifiers by:
 a. Receiving authorization from [Assignment: organization-defined personnel or roles] to assign an individual, group, role, service, or device identifier;
 b. Selecting an identifier that identifies an individual, group, role, service, or device;
 c. Assigning the identifier to the intended individual, group, role, service, or device; and
 d. Preventing reuse of identifiers for [Assignment: organization-defined time period].","Common device identifiers include Media Access Control (MAC) addresses, Internet Protocol (IP) addresses, or device-unique token identifiers. The management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the usernames of the system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices.","IA-4 (a) [at a minimum, the ISSO (or similar role within the organization)]  
IA-4 (d) [at least two (2) years]","IA-4 (a) [at a minimum, the ISSO (or similar role within the organization)]  
IA-4 (d) [at least two (2) years]",Yes,,X,
IA-04 (04),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-4 (4),Yes,Identifier Management | Identify User Status,Manage individual identifiers by uniquely identifying each individual as [Assignment: organization-defined characteristic identifying individual status].,"Characteristics that identify the status of individuals include contractors, foreign nationals, and non-organizational users. Identifying the status of individuals by these characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.",IA-4 (4) [contractors; foreign nationals] ,IA-4 (4) [contractors; foreign nationals] ,Yes, ,X,
IA-05,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-5,Yes,Authenticator Management,"Manage system authenticators by:
 a. Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;
 b. Establishing initial authenticator content for any authenticators issued by the organization;
 c. Ensuring that authenticators have sufficient strength of mechanism for their intended use;
 d. Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;
 e. Changing default authenticators prior to first use;
 f. Changing or refreshing authenticators [Assignment: organization-defined time period by authenticator type] or when [Assignment: organization-defined events] occur;
 g. Protecting authenticator content from unauthorized disclosure and modification;
 h. Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and
 i. Changing authenticators for group or role accounts when membership to those accounts changes.","Authenticators include passwords, cryptographic devices, biometrics, certificates, one-time password devices, and ID badges. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements for authenticator content contain specific criteria or characteristics (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials (i.e., passwords) to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges.
 Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators, not sharing authenticators with others, and immediately reporting lost, stolen, or compromised authenticators. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed.",,,Yes,"IA-5 Requirement: Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 3. Link https://pages.nist.gov/800-63-3

IA-5 Guidance: SP 800-63C Section 6.2.3 Encrypted Assertion requires that authentication assertions be encrypted when passed through third parties, such as a browser. For example, a SAML assertion can be encrypted using XML-Encryption, or an OpenID Connect ID Token can be encrypted using JSON Web Encryption (JWE). ",,
IA-05 (01),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-5 (1),Yes,Authenticator Management | Password-based Authentication,"For password-based authentication:
 (a) Maintain a list of commonly-used, expected, or compromised passwords and update the list [Assignment: organization-defined frequency] and when organizational passwords are suspected to have been compromised directly or indirectly;
 (b) Verify, when users create or update passwords, that the passwords are not found on the list of commonly-used, expected, or compromised passwords in IA-5 (1) (a);
 (c) Transmit passwords only over cryptographically-protected channels;
 (d) Store passwords using an approved salted key derivation function, preferably using a keyed hash;
 (e) Require immediate selection of a new password upon account recovery;
 (f) Allow user selection of long passwords and passphrases, including spaces and all printable characters;
 (g) Employ automated tools to assist the user in selecting strong password authenticators; and
 (h) Enforce the following composition and complexity rules: [Assignment: organization-defined composition and complexity rules].","Password-based authentication applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefits while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5 (1) (h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context-specific words, such as the name of the service, username, and derivatives thereof.",,0,Yes,"IA-5 (1) Requirement: Password policies must be compliant with NIST SP 800-63B for all memorized, lookup, out-of-band, or One-Time-Passwords (OTP). Password policies shall not enforce special character or minimum password rotation requirements for memorized secrets of users.

IA-5 (1) (h) Requirement: For cases where technology doesn’t allow multi-factor authentication, these rules should be enforced: must have a minimum length of 14 characters and must support all printable ASCII characters.
 
For emergency use accounts, these rules should be enforced: must have a minimum length of 14 characters, must support all printable ASCII characters, and passwords must be changed if used. 

IA-5 (1) Guidance: Note that (c) and (d) require the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.)",,
IA-05 (02),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-5 (2),Yes,Authenticator Management | Public Key-based Authentication," (a) For public key-based authentication:
 (1) Enforce authorized access to the corresponding private key; and
 (2) Map the authenticated identity to the account of the individual or group; and
 (b) When public key infrastructure (PKI) is used:
 (1) Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and
 (2) Implement a local cache of revocation data to support path discovery and validation.","Public key cryptography is a valid authentication mechanism for individuals, machines, and devices. For PKI solutions, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor, which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation also supports system availability in situations where organizations are unable to access revocation information via the network.",,,Yes, ,,
IA-05 (06),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-5 (6),Yes,Authenticator Management | Protection of Authenticators,Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access.,"For systems that contain multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process.",,,Yes, ,,
IA-05 (07),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-5 (7),Yes,Authenticator Management | No Embedded Unencrypted Static Authenticators,Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage.,"In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution when determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators.",,,Yes,"IA-5 (7) Guidance: In this context, prohibited static storage refers to any storage where unencrypted authenticators, such as passwords, persist beyond the time required to complete the access process.",,
IA-05 (08),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-5 (8),No,Authenticator Management | Multiple System Accounts,Implement [Assignment: organization-defined security controls] to manage the risk of compromise due to individuals having accounts on multiple systems.,"When individuals have accounts on multiple systems and use the same authenticators such as passwords, there is the risk that a compromise of one account may lead to the compromise of other accounts. Alternative approaches include having different authenticators (passwords) on all systems, employing a single sign-on or federation mechanism, or using some form of one-time passwords on all systems. Organizations can also use rules of behavior (see PL-4) and access agreements (see PS-6) to mitigate the risk of multiple system accounts.",IA-5 (8) [different authenticators in different user authentication domains],Not Found,No,"IA-5 (8) Guidance: If a single user authentication domain is used to access multiple systems, such as in single-sign-on, then only a single authenticator is required.",X,
IA-05 (13),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-5 (13),No,Authenticator Management | Expiration of Cached Authenticators,Prohibit the use of cached authenticators after [Assignment: organization-defined time period].,"Cached authenticators are used to authenticate to the local machine when the network is not available. If cached authentication information is out of date, the validity of the authentication information may be questionable.",,Not Found,No,"IA-5 (13) Guidance: For components subject to configuration baseline(s) (such as STIG or CIS,) the time period should conform to the baseline standard.",,
IA-06,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-6,Yes,Authentication Feedback,Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.,"Authentication feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, such as desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, such as mobile devices with small displays, the threat may be less significant and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authentication feedback is selected accordingly. Obscuring authentication feedback includes displaying asterisks when users type passwords into input devices or displaying feedback for a very limited time before obscuring it.",,,Yes, ,,
IA-07,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-7,Yes,Cryptographic Module Authentication,"Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication.",Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.,,,Yes, ,,
IA-08,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-8,Yes,Identification and Authentication (non-organizational Users),Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.,"Non-organizational users include system users other than organizational users explicitly covered by IA-2. Non-organizational users are uniquely identified and authenticated for accesses other than those explicitly identified and documented in AC-14. Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors—including security, privacy, scalability, and practicality—when balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk.",,,Yes, ,,
IA-08 (01),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-8 (1),Yes,Identification and Authentication (non-organizational Users) | Acceptance of PIV Credentials from Other Agencies,Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies.,Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using SP 800-79-2.,,,Yes, ,,
IA-08 (02),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-8 (2),Yes,Identification and Authentication (non-organizational Users) | Acceptance of External Authenticators," (a) Accept only external authenticators that are NIST-compliant; and
 (b) Document and maintain a list of accepted external authenticators.","Acceptance of only NIST-compliant external authenticators applies to organizational systems that are accessible to the public (e.g., public-facing websites). External authenticators are issued by nonfederal government entities and are compliant with SP 800-63B. Approved external authenticators meet or exceed the minimum Federal Government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding Federal requirements allows Federal Government relying parties to trust external authenticators in connection with an authentication transaction at a specified authenticator assurance level.",,,Yes, ,,
IA-08 (04),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-8 (4),Yes,Identification and Authentication (non-organizational Users) | Use of Defined Profiles,Conform to the following profiles for identity management [Assignment: organization-defined identity management profiles].,"Organizations define profiles for identity management based on open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the Federal Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.",,,Yes, ,,
IA-11,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-11,Yes,Re-authentication,Require users to re-authenticate when [Assignment: organization-defined circumstances or situations requiring re-authentication].,"In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when roles, authenticators or credentials change, when security categories of systems change, when the execution of privileged functions occurs, after a fixed time period, or periodically.",,,Yes,"IA-11 Guidance:
The fixed time period cannot exceed the limits set in SP 800-63. At this writing they are:
- AAL3 (high baseline)
   -- 12 hours or
   -- 15 minutes of inactivity ",,
IA-12,IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-12,Yes,Identity Proofing,"a. Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines; 
 b. Resolve user identities to a unique individual; and
 c. Collect, validate, and verify identity evidence.","Identity proofing is the process of collecting, validating, and verifying a user’s identity information for the purposes of establishing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include SP 800-63-3 and SP 800-63A. Organizations may be subject to laws, executive orders, directives, regulations, or policies that address the collection of identity evidence. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.",,,Yes,"IA-12 Additional FedRAMP Requirements and Guidance:
Guidance: In accordance with NIST SP 800-63A Enrollment and Identity Proofing",,
IA-12 (02),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-12 (2),Yes,Identity Proofing | Identity Evidence,Require evidence of individual identification be presented to the registration authority.,"Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risks to the systems, roles, and privileges associated with the user’s account.",,,Yes,,,
IA-12 (03),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-12 (3),Yes,Identity Proofing | Identity Evidence Validation and Verification,Require that the presented identity evidence be validated and verified through [Assignment: organizational defined methods of validation and verification].,"Validation and verification of identity evidence increases the assurance that accounts and identifiers are being established for the correct user and authenticators are being bound to that user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risks to the systems, roles, and privileges associated with the users account.",,,Yes,,,
IA-12 (04),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-12 (4),No,Identity Proofing | In-person Validation and Verification,Require that the validation and verification of identity evidence be conducted in person before a designated registration authority.,"In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities.",,Not Found,No,,,
IA-12 (05),IDENTIFICATION AND AUTHENTICATION,Identification And Authentication,IA-12 (5),Yes,Identity Proofing | Address Confirmation,Require that a [Selection: registration code; notice of proofing] be delivered through an out-of-band channel to verify the users address (physical or digital) of record.,"To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to ensure that the individual associated with an address of record is the same individual that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts is obtained from records and not self-asserted by the user. The address can include a physical or digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses.",,,Yes,"IA-12 (5) Additional FedRAMP Requirements and Guidance:
Guidance: In accordance with NIST SP 800-63A Enrollment and Identity Proofing",,
IR-01,INCIDENT RESPONSE,Incident Response,IR-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] incident response policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the incident response policy and procedures; and
 c. Review and update the current incident response:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","IR-1 (c) (1) [at least annually]
IR-1 (c) (2) [at least annually] [significant changes]","IR-1 (c) (1) [at least every 3 years] 
IR-1 (c) (2) [at least annually] [significant changes]",No, ,X,
IR-02,INCIDENT RESPONSE,Incident Response,IR-2,Yes,Incident Response Training,"a. Provide incident response training to system users consistent with assigned roles and responsibilities:
 1. Within [Assignment: organization-defined time period] of assuming an incident response role or responsibility or acquiring system access;
 2. When required by system changes; and
 3. [Assignment: organization-defined frequency] thereafter; and
 b. Review and update incident response training content [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Incident response training is associated with the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail are included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of AT-2 or AT-3. Events that may precipitate an update to incident response training content include, but are not limited to, incident response plan testing or response to an actual incident (lessons learned), assessment or audit findings, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.","IR-2 (a) (1) [ten (10) days for privileged users, thirty (30) days for Incident Response roles]
IR-2 (a) (3) [at least annually]
IR-2 (b) [at least annually]","IR-2 (a) (1) [ten (10) days for privileged users, thirty (30) days for Incident Response roles]
IR-2 (a) (3) [at least annually]
IR-2 (b) [at least annually]",Yes, ,X,
IR-02 (01),INCIDENT RESPONSE,Incident Response,IR-2 (1),No,Incident Response Training | Simulated Events,Incorporate simulated events into incident response training to facilitate the required response by personnel in crisis situations.,Organizations establish requirements for responding to incidents in incident response plans. Incorporating simulated events into incident response training helps to ensure that personnel understand their individual responsibilities and what specific actions to take in crisis situations.,,Not Found,No,,,
IR-02 (02),INCIDENT RESPONSE,Incident Response,IR-2 (2),No,Incident Response Training | Automated Training Environments,Provide an incident response training environment using [Assignment: organization-defined automated mechanisms].,"Automated mechanisms can provide a more thorough and realistic incident response training environment. This can be accomplished, for example, by providing more complete coverage of incident response issues, selecting more realistic training scenarios and environments, and stressing the response capability.",,Not Found,No,,,
IR-03,INCIDENT RESPONSE,Incident Response,IR-3,Yes,Incident Response Testing,Test the effectiveness of the incident response capability for the system [Assignment: organization-defined frequency] using the following tests: [Assignment: organization-defined tests].,"Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.","IR-3-1 [at least every six (6) months, including functional at least annually]","IR-3-1 [functional, at least annually]",No,IR-3-2 Requirement: The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). Functional testing must occur prior to testing for initial authorization. Annual functional testing may be concurrent with required penetration tests (see CA-8). The service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing.,X,
IR-03 (02),INCIDENT RESPONSE,Incident Response,IR-3 (2),Yes,Incident Response Testing | Coordination with Related Plans,Coordinate incident response testing with organizational elements responsible for related plans.,"Organizational plans related to incident response testing include business continuity plans, disaster recovery plans, continuity of operations plans, contingency plans, crisis communications plans, critical infrastructure plans, and occupant emergency plans.",,,Yes, ,,
IR-04,INCIDENT RESPONSE,Incident Response,IR-4,Yes,Incident Handling,"a. Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;
 b. Coordinate incident handling activities with contingency planning activities;
 c. Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and
 d. Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.","Organizations recognize that incident response capabilities are dependent on the capabilities of organizational systems and the mission and business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission and business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. An effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive [function], operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in unauthorized disclosure, the loss of control, unauthorized acquisition, compromise, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes.",,,Yes,"IR-4 Requirement: The FISMA definition of ""incident"" shall be used: ""An occurrence that actually or imminently jeopardizes, without lawful authority, the confidentiality, integrity, or availability of information or an information system; or constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies.""

IR-4 Requirement: The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.
",,
IR-04 (01),INCIDENT RESPONSE,Incident Response,IR-4 (1),Yes,Incident Handling | Automated Incident Handling Processes,Support the incident handling process using [Assignment: organization-defined automated mechanisms].,"Automated mechanisms that support incident handling processes include online incident management systems and tools that support the collection of live response data, full network packet capture, and forensic analysis.",,,Yes, ,,
IR-04 (02),INCIDENT RESPONSE,Incident Response,IR-4 (2),No,Incident Handling | Dynamic Reconfiguration,Include the following types of dynamic reconfiguration for [Assignment: organization-defined system components] as part of the incident response capability: [Assignment: organization-defined types of dynamic reconfiguration].,"Dynamic reconfiguration includes changes to router rules, access control lists, intrusion detection or prevention system parameters, and filter rules for guards or firewalls. Organizations may perform dynamic reconfiguration of systems to stop attacks, misdirect attackers, and isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include specific time frames for achieving the reconfiguration of systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats.","IR-4 (2)-1 [all network, data storage, and computing devices]",Not Found,No, ,X,
IR-04 (04),INCIDENT RESPONSE,Incident Response,IR-4 (4),No,Incident Handling | Information Correlation,Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.,"Sometimes, a threat event, such as a hostile cyber-attack, can only be observed by bringing together information from different sources, including various reports and reporting procedures established by organizations.",,Not Found,No,,,
IR-04 (06),INCIDENT RESPONSE,Incident Response,IR-4 (6),No,Incident Handling | Insider Threats,Implement an incident handling capability for incidents involving insider threats.,Explicit focus on handling incidents involving insider threats provides additional emphasis on this type of threat and the need for specific incident handling capabilities to provide appropriate and timely responses.,,Not Found,No, ,,
IR-04 (11),INCIDENT RESPONSE,Incident Response,IR-4 (11),No,Incident Handling | Integrated Incident Response Team,Establish and maintain an integrated incident response team that can be deployed to any location identified by the organization in [Assignment: organization-defined time period].,"An integrated incident response team is a team of experts that assesses, documents, and responds to incidents so that organizational systems and networks can recover quickly and implement the necessary controls to avoid future incidents. Incident response team personnel include forensic and malicious code analysts, tool developers, systems security and privacy engineers, and real-time operations personnel. The incident handling capability includes performing rapid forensic preservation of evidence and analysis of and response to intrusions. For some organizations, the incident response team can be a cross-organizational entity.
 An integrated incident response team facilitates information sharing and allows organizational personnel (e.g., developers, implementers, and operators) to leverage team knowledge of the threat and implement defensive measures that enable organizations to deter intrusions more effectively. Moreover, integrated teams promote the rapid detection of intrusions, the development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing cyber intelligence development. Integrated incident response teams are better able to identify adversary tactics, techniques, and procedures that are linked to the operations tempo or specific mission and business functions and to define responsive actions in a way that does not disrupt those mission and business functions. Incident response teams can be distributed within organizations to make the capability resilient.", ,Not Found,No, ,,
IR-05,INCIDENT RESPONSE,Incident Response,IR-5,Yes,Incident Monitoring,Track and document incidents.,"Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics as well as evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring, incident reports, incident response teams, user complaints, supply chain partners, audit monitoring, physical access monitoring, and user and administrator reports. IR-4 provides information on the types of incidents that are appropriate for monitoring.",,,Yes, ,,
IR-05 (01),INCIDENT RESPONSE,Incident Response,IR-5 (1),No,"Incident Monitoring | Automated Tracking, Data Collection, and Analysis",Track incidents and collect and analyze incident information using [Assignment: organization-defined automated mechanisms].,Automated mechanisms for tracking incidents and collecting and analyzing incident information include Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices.,,Not Found,No,,,
IR-06,INCIDENT RESPONSE,Incident Response,IR-6,Yes,Incident Reporting,"a. Require personnel to report suspected incidents to the organizational incident response capability within [Assignment: organization-defined time period]; and
 b. Report incident information to [Assignment: organization-defined authorities].","The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Incident information can inform risk assessments, control effectiveness assessments, security requirements for acquisitions, and selection criteria for technology products.",IR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)],IR-6 (a) [US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)],Yes,IR-6 Requirement: Reports security incident information according to FedRAMP Incident Communications Procedure.,X,
IR-06 (01),INCIDENT RESPONSE,Incident Response,IR-6 (1),Yes,Incident Reporting | Automated Reporting,Report incidents using [Assignment: organization-defined automated mechanisms].,"The recipients of incident reports are specified in IR-6b. Automated reporting mechanisms include email, posting on websites (with automatic updates), and automated incident response tools and programs.",,,Yes, ,,
IR-06 (03),INCIDENT RESPONSE,Incident Response,IR-6 (3),Yes,Incident Reporting | Supply Chain Coordination,Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident.,"Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Entities that provide supply chain governance include the Federal Acquisition Security Council (FASC). Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, distribution processes, or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents, including the ability to improve processes or to identify the root cause of an incident.",,,Yes, ,,
IR-07,INCIDENT RESPONSE,Incident Response,IR-7,Yes,Incident Response Assistance,"Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents.","Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required.",,,Yes, ,,
IR-07 (01),INCIDENT RESPONSE,Incident Response,IR-7 (1),Yes,Incident Response Assistance | Automation Support for Availability of Information and Support,Increase the availability of incident response information and support using [Assignment: organization-defined automated mechanisms].,"Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.",,,Yes, ,,
IR-08,INCIDENT RESPONSE,Incident Response,IR-8,Yes,Incident Response Plan,"a. Develop an incident response plan that:
 1. Provides the organization with a roadmap for implementing its incident response capability;
 2. Describes the structure and organization of the incident response capability;
 3. Provides a high-level approach for how the incident response capability fits into the overall organization;
 4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
 5. Defines reportable incidents;
 6. Provides metrics for measuring the incident response capability within the organization;
 7. Defines the resources and management support needed to effectively maintain and mature an incident response capability;
 8. Addresses the sharing of incident information;
 9. Is reviewed and approved by [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency]; and
 10. Explicitly designates responsibility for incident response to [Assignment: organization-defined entities, personnel, or roles].
 b. Distribute copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
 c. Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;
 d. Communicate incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and
 e. Protect the incident response plan from unauthorized disclosure and modification.","It is important that organizations develop and implement a coordinated approach to incident response. Organizational mission and business functions determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information (i.e., breaches), include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.","IR-8 (a) (9)-2 [at least annually]
IR-8 (b) [see additional FedRAMP Requirements and Guidance]
IR-8 (d) [see additional FedRAMP Requirements and Guidance]","IR-8 (a) (9)-2 [at least annually]
IR-8 (b) [see additional FedRAMP Requirements and Guidance]
IR-8 (d) [see additional FedRAMP Requirements and Guidance]",Yes,"IR-8 (b) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.
IR-8 (d) Requirement: The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.",X,
IR-09,INCIDENT RESPONSE,Incident Response,IR-9,Yes,Information Spillage Response,"Respond to information spills by:
 a. Assigning [Assignment: organization-defined personnel or roles] with responsibility for responding to information spills;
 b. Identifying the specific information involved in the system contamination;
 c. Alerting [Assignment: organization-defined personnel or roles] of the information spill using a method of communication not associated with the spill;
 d. Isolating the contaminated system or system component;
 e. Eradicating the information from the contaminated system or component;
 f. Identifying other systems or system components that may have been subsequently contaminated; and
 g. Performing the following additional actions: [Assignment: organization-defined actions].","Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of a higher classification or impact level. At that point, corrective action is required. The nature of the response is based on the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of the contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.",,,Yes, ,,
IR-09 (02),INCIDENT RESPONSE,Incident Response,IR-9 (2),Yes,Information Spillage Response | Training,Provide information spillage response training [Assignment: organization-defined frequency].,Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur.,IR-9 (2) [at least annually],IR-9 (2) [at least annually],Yes, ,X,
IR-09 (03),INCIDENT RESPONSE,Incident Response,IR-9 (3),Yes,Information Spillage Response | Post-spill Operations,Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: [Assignment: organization-defined procedures].,"Corrective actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business.",,,Yes, ,,
IR-09 (04),INCIDENT RESPONSE,Incident Response,IR-9 (4),Yes,Information Spillage Response | Exposure to Unauthorized Personnel,Employ the following controls for personnel exposed to information not within assigned access authorizations: [Assignment: organization-defined controls].,"Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information.",,,Yes, ,,
MA-01,MAINTENANCE,Maintenance,MA-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] maintenance policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the maintenance policy and procedures; and
 c. Review and update the current maintenance:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Maintenance policy and procedures address the controls in the MA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of maintenance policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to maintenance policy and procedures assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","MA-1 (c) (1) [at least annually]
MA-1 (c) (2) [at least annually] [significant changes]","MA-1 (c) (1) [at least every 3 years]
MA-1 (c) (2) [at least annually] [significant changes]",No, ,X,
MA-02,MAINTENANCE,Maintenance,MA-2,Yes,Controlled Maintenance,"a. Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
 b. Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;
 c. Require that [Assignment: organization-defined personnel or roles] explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;
 d. Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: [Assignment: organization-defined information];
 e. Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and
 f. Include the following information in organizational maintenance records: [Assignment: organization-defined information].","Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes the date and time of maintenance, a description of the maintenance performed, names of the individuals or group performing the maintenance, name of the escort, and system components or equipment that are removed or replaced. Organizations consider supply chain-related risks associated with replacement components for systems.",,,Yes, ,,
MA-02 (02),MAINTENANCE,Maintenance,MA-2 (2),No,Controlled Maintenance | Automated Maintenance Activities," (a) Schedule, conduct, and document maintenance, repair, and replacement actions for the system using [Assignment: organization-defined automated mechanisms]; and
 (b) Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and completed.","The use of automated mechanisms to manage and control system maintenance programs and activities helps to ensure the generation of timely, accurate, complete, and consistent maintenance records.",,Not Found,No,,,
MA-03,MAINTENANCE,Maintenance,MA-3,Yes,Maintenance Tools,"a. Approve, control, and monitor the use of system maintenance tools; and
 b. Review previously approved system maintenance tools [Assignment: organization-defined frequency].","Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as ping, ls, ipconfig, or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools.",MA-3 (b) [at least annually],MA-3 (b) [at least annually],Yes, ,X,
MA-03 (01),MAINTENANCE,Maintenance,MA-3 (1),Yes,Maintenance Tools | Inspect Tools,Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications.,"Maintenance tools can be directly brought into a facility by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.",,,Yes, ,,
MA-03 (02),MAINTENANCE,Maintenance,MA-3 (2),Yes,Maintenance Tools | Inspect Media,Check media containing diagnostic and test programs for malicious code before the media are used in the system.,"If, upon inspection of media containing maintenance, diagnostic, and test programs, organizations determine that the media contains malicious code, the incident is handled consistent with organizational incident handling policies and procedures.",,,Yes, ,,
MA-03 (03),MAINTENANCE,Maintenance,MA-3 (3),Yes,Maintenance Tools | Prevent Unauthorized Removal,"Prevent the removal of maintenance equipment containing organizational information by:
 (a) Verifying that there is no organizational information contained on the equipment;
 (b) Sanitizing or destroying the equipment;
 (c) Retaining the equipment within the facility; or
 (d) Obtaining an exemption from [Assignment: organization-defined personnel or roles] explicitly authorizing removal of the equipment from the facility.",Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards.,MA-3 (3) (d) [the information owner],MA-3 (3) (d) [the information owner],Yes, ,X,
MA-04,MAINTENANCE,Maintenance,MA-4,Yes,Nonlocal Maintenance,"a. Approve and monitor nonlocal maintenance and diagnostic activities;
 b. Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;
 c. Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions;
 d. Maintain records for nonlocal maintenance and diagnostic activities; and
 e. Terminate session and network connections when nonlocal maintenance is completed.","Nonlocal maintenance and diagnostic activities are conducted by individuals who communicate through either an external or internal network. Local maintenance and diagnostic activities are carried out by individuals who are physically present at the system location and not communicating across a network connection. Authentication techniques used to establish nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Strong authentication requires authenticators that are resistant to replay attacks and employ multi-factor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished, in part, by other controls. SP 800-63B provides additional guidance on strong authentication and authenticators.",,,Yes, ,,
MA-04 (03),MAINTENANCE,Maintenance,MA-4 (3),No,Nonlocal Maintenance | Comparable Security and Sanitization," (a) Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or
 (b) Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information); and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system.","Comparable security capability on systems, diagnostic tools, and equipment providing maintenance services implies that the implemented controls on those systems, tools, and equipment are at least as comprehensive as the controls on the system being serviced.",,Not Found,No,,,
MA-05,MAINTENANCE,Maintenance,MA-5,Yes,Maintenance Personnel,"a. Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;
 b. Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and
 c. Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.","Maintenance personnel refers to individuals who perform hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel—such as information technology manufacturers, vendors, systems integrators, and consultants—may require privileged access to organizational systems, such as when they are required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.",,,Yes, ,,
MA-05 (01),MAINTENANCE,Maintenance,MA-5 (1),Yes,Maintenance Personnel | Individuals Without Appropriate Access," (a) Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
 (1) Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and
 (2) Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
 (b) Develop and implement [Assignment: organization-defined alternate controls] in the event a system component cannot be sanitized, removed, or disconnected from the system.",Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems.,,,Yes,,,
MA-06,MAINTENANCE,Maintenance,MA-6,Yes,Timely Maintenance,Obtain maintenance support and/or spare parts for [Assignment: organization-defined system components] within [Assignment: organization-defined time period] of failure.,"Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place.",MA-6-2 [a timeframe to support advertised uptime and availability],MA-6-2 [a timeframe to support advertised uptime and availability],Yes,,X,
MP-01,MEDIA PROTECTION,Media Protection,MP-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] media protection policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the media protection policy and procedures; and
 c. Review and update the current media protection:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Media protection policy and procedures address the controls in the MP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of media protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to media protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","MP-1 (c) (1) [at least annually]
MP-1 (c) (2) [at least annually] [significant changes]","MP-1 (c) (1) [at least every 3 years] 
MP-1 (c) (2) [at least annually] [significant changes]",No, ,X,
MP-02,MEDIA PROTECTION,Media Protection,MP-2,Yes,Media Access,Restrict access to [Assignment: organization-defined types of digital and/or non-digital media] to [Assignment: organization-defined personnel or roles].,"System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact discs in the media library to individuals on the system development team is an example of restricting access to digital media.",MP-2-1 [all types of digital and/or non-digital media containing sensitive information],MP-2-1 [all types of digital and/or non-digital media containing sensitive information],Yes, ,X,
MP-03,MEDIA PROTECTION,Media Protection,MP-3,Yes,Media Marking,"a. Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
 b. Exempt [Assignment: organization-defined types of system media] from marking if the media remain within [Assignment: organization-defined controlled areas].","Security marking refers to the application or use of human-readable security attributes. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), flash drives, compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in 32 CFR 2002. Security markings are generally not required for media that contains information determined by organizations to be in the public domain or to be publicly releasable. Some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.","MP-3 (b)-1 [no removable media types]
MP-3 (b)-2 [organization-defined security safeguards not applicable]","MP-3 (b)-1 [no removable media types]
MP-3 (b)-2 [organization-defined security safeguards not applicable]",Yes,MP-3 (b) Guidance: Second parameter not-applicable,X,
MP-04,MEDIA PROTECTION,Media Protection,MP-4,Yes,Media Storage,"a. Physically control and securely store [Assignment: organization-defined types of digital and/or non-digital media] within [Assignment: organization-defined controlled areas]; and
 b. Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures.","System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. Fewer controls may be needed for media that contains information determined to be in the public domain, publicly releasable, or have limited adverse impacts on organizations, operations, or individuals if accessed by other than authorized personnel. In these situations, physical access controls provide adequate protection.","MP-4 (a)-1 [all types of digital and non-digital media with sensitive information] 
MP-4 (a)-2 [see additional FedRAMP requirements and guidance]","MP-4 (a)-1 [all types of digital and non-digital media with sensitive information] 
MP-4 (a)-2 [see additional FedRAMP requirements and guidance]",Yes,MP-4 (a) Requirement: The service provider defines controlled areas within facilities where the information and information system reside.,X,
MP-05,MEDIA PROTECTION,Media Protection,MP-5,Yes,Media Transport,"a. Protect and control [Assignment: organization-defined types of system media] during transport outside of controlled areas using [Assignment: organization-defined controls];
 b. Maintain accountability for system media during transport outside of controlled areas;
 c. Document activities associated with the transport of system media; and
 d. Restrict the activities associated with the transport of system media to authorized personnel.","System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state and magnetic), compact discs, and digital versatile discs. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records.","MP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption in compliance with Federal requirements and utilizes FIPS validated or NSA approved cryptography (see SC-13.); for non-digital media, secured in locked container]","MP-5 (a) [all media with sensitive information] [prior to leaving secure/controlled environment: for digital media, encryption in compliance with Federal requirements and utilizes FIPS validated or NSA approved cryptography (see SC-13.); for non-digital media, secured in locked container]",Yes,MP-5 (a) Requirement: The service provider defines security measures to protect digital and non-digital media in transport.  The security measures are approved and accepted by the JAB/AO.,X,
MP-06,MEDIA PROTECTION,Media Protection,MP-6,Yes,Media Sanitization,"a. Sanitize [Assignment: organization-defined system media] prior to disposal, release out of organizational control, or release for reuse using [Assignment: organization-defined sanitization techniques and procedures]; and
 b. Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.","Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media (e.g., paper and microfilm). The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques—including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction—prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods, recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media that contains information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media that contains classified information. NARA policies control the sanitization process for controlled unclassified information.",MP-6 (a)-2 [techniques and procedures IAW NIST SP 800-88 Section 4: Reuse and Disposal of Storage Media and Hardware],MP-6 (a)-2 [techniques and procedures IAW NIST SP 800-88 Section 4: Reuse and Disposal of Storage Media and Hardware],Yes, ,X,
MP-06 (01),MEDIA PROTECTION,Media Protection,MP-6 (1),No,"Media Sanitization | Review, Approve, Track, Document, and Verify","Review, approve, track, document, and verify media sanitization and disposal actions.","Organizations review and approve media to be sanitized to ensure compliance with records retention policies. Tracking and documenting actions include listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken and personnel who performed the verification, and the disposal actions taken. Organizations verify that the sanitization of the media was effective prior to disposal.",,Not Found,No,MP-6 (1)  Requirement: Must comply with NIST SP 800-88,,
MP-06 (02),MEDIA PROTECTION,Media Protection,MP-6 (2),No,Media Sanitization | Equipment Testing,Test sanitization equipment and procedures [Assignment: organization-defined frequency] to ensure that the intended sanitization is being achieved.,"Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities, including federal agencies or external service providers.",MP-6 (2) [at least every six (6) months],Not Found,No,MP-6 (2) Guidance: Equipment and procedures may be tested or validated for effectiveness,X,
MP-06 (03),MEDIA PROTECTION,Media Protection,MP-6 (3),No,Media Sanitization | Nondestructive Techniques,Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: [Assignment: organization-defined circumstances requiring sanitization of portable storage devices].,"Portable storage devices include external or removable hard disk drives (e.g., solid state, magnetic), optical discs, magnetic or optical tapes, flash memory devices, flash memory cards, and other external or removable disks. Portable storage devices can be obtained from untrustworthy sources and contain malicious code that can be inserted into or transferred to organizational systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when the devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices.",,Not Found,No,MP-6 (3)  Requirement: Must comply with NIST SP 800-88,,
MP-07,MEDIA PROTECTION,Media Protection,MP-7,Yes,Media Use,"a. [Selection: Restrict; Prohibit] the use of [Assignment: organization-defined types of system media] on [Assignment: organization-defined systems or system components] using [Assignment: organization-defined controls]; and
 b. Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.","System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact discs, digital versatile discs, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capabilities. In contrast to MP-2, which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting the use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports or disabling or removing the ability to insert, read, or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, such as by prohibiting the use of writeable, portable storage devices and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices.",,,Yes, ,,
PE-01,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] physical and environmental protection policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and
 c. Review and update the current physical and environmental protection:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Physical and environmental protection policy and procedures address the controls in the PE family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of physical and environmental protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to physical and environmental protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","PE-1 (c) (1) [at least annually]
PE-1 (c) (2) [at least annually] [significant changes]","PE-1 (c) (1) [at least every 3 years] 
PE-1 (c) (2) [at least annually] [significant changes]",No, ,X,
PE-02,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-2,Yes,Physical Access Authorizations,"a. Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;
 b. Issue authorization credentials for facility access;
 c. Review the access list detailing authorized facility access by individuals [Assignment: organization-defined frequency]; and
 d. Remove individuals from the facility access list when access is no longer required.","Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include ID badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations may not be necessary to access certain areas within facilities that are designated as publicly accessible.",PE-2 (c) [at least every ninety (90) days] ,PE-2 (c) [at least annually] ,No,,X,
PE-03,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-3,Yes,Physical Access Control,"a. Enforce physical access authorizations at [Assignment: organization-defined entry and exit points to the facility where the system resides] by:
 1. Verifying individual access authorizations before granting access to the facility; and
 2. Controlling ingress and egress to the facility using [Selection (one or more): [Assignment: organization-defined physical access control systems or devices]; guards];
 b. Maintain physical access audit logs for [Assignment: organization-defined entry or exit points];
 c. Control access to areas within the facility designated as publicly accessible by implementing the following controls: [Assignment: organization-defined physical access controls];
 d. Escort visitors and control visitor activity [Assignment: organization-defined circumstances requiring visitor escorts and control of visitor activity];
 e. Secure keys, combinations, and other physical access devices;
 f. Inventory [Assignment: organization-defined physical access devices] every [Assignment: organization-defined frequency]; and
 g. Change combinations and keys [Assignment: organization-defined frequency] and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated.","Physical access control applies to employees and visitors. Individuals with permanent physical access authorizations are not considered visitors. Physical access controls for publicly accessible areas may include physical access control logs/records, guards, or physical access devices and barriers to prevent movement from publicly accessible areas to non-public areas. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, biometric readers, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems that require supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components.","PE-3 (a) (2) [CSP defined physical access control systems/devices AND guards]
PE-3 (d) [in all circumstances within restricted access area where the information system resides]
PE-3 (f)-2 [at least annually]
PE-3 (g) [at least annually or earlier as required by a security relevant event.]
","PE-3 (a) (2) [CSP defined physical access control systems/devices AND guards]
PE-3 (d) [in all circumstances within restricted access area where the information system resides]
PE-3 (f)-2 [at least annually]
PE-3 (g) [at least annually or earlier as required by a security relevant event.]
",Yes, ,X,
PE-03 (01),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-3 (1),No,Physical Access Control | System Access,Enforce physical access authorizations to the system in addition to the physical access controls for the facility at [Assignment: organization-defined physical spaces containing one or more components of the system].,Control of physical access to the system provides additional physical security for those areas within facilities where there is a concentration of system components.,,Not Found,No, ,,
PE-04,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-4,Yes,Access Control for Transmission,Control physical access to [Assignment: organization-defined system distribution and transmission lines] within organizational facilities using [Assignment: organization-defined security controls].,"Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include disconnected or locked spare jacks, locked wiring closets, protection of cabling by conduit or cable trays, and wiretapping sensors.",,,Yes, ,,
PE-05,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-5,Yes,Access Control for Output Devices,Control physical access to output from [Assignment: organization-defined output devices] to prevent unauthorized individuals from obtaining the output.,"Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only, placing output devices in locations that can be monitored by personnel, installing monitor or screen filters, and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers.",,,Yes, ,,
PE-06,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-6,Yes,Monitoring Physical Access,"a. Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;
 b. Review physical access logs [Assignment: organization-defined frequency] and upon occurrence of [Assignment: organization-defined events or potential indications of events]; and
 c. Coordinate results of reviews and investigations with the organizational incident response capability.","Physical access monitoring includes publicly accessible areas within organizational facilities. Examples of physical access monitoring include the employment of guards, video surveillance equipment (i.e., cameras), and sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls, such as AU-2, if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours, repeated accesses to areas not normally accessed, accesses for unusual lengths of time, and out-of-sequence accesses.",PE-6 (b)-1 [at least monthly] ,PE-6 (b)-1 [at least monthly] ,Yes, ,X,
PE-06 (01),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-6 (1),Yes,Monitoring Physical Access | Intrusion Alarms and Surveillance Equipment,Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.,"Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards by triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, such as motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility.",,,Yes, ,,
PE-06 (04),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-6 (4),No,Monitoring Physical Access | Monitoring Physical Access to Systems,Monitor physical access to the system in addition to the physical access monitoring of the facility at [Assignment: organization-defined physical spaces containing one or more components of the system].,"Monitoring physical access to systems provides additional monitoring for those areas within facilities where there is a concentration of system components, including server rooms, media storage areas, and communications centers. Physical access monitoring can be coordinated with intrusion detection systems and system monitoring capabilities to provide comprehensive and integrated threat coverage for the organization.",,Not Found,No, ,,
PE-08,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-8,Yes,Visitor Access Records,"a. Maintain visitor access records to the facility where the system resides for [Assignment: organization-defined time period];
 b. Review visitor access records [Assignment: organization-defined frequency]; and
 c. Report anomalies in visitor access records to [Assignment: organization-defined personnel].","Visitor access records include the names and organizations of individuals visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purpose of visits, and the names and organizations of individuals visited. Access record reviews determine if access authorizations are current and are still required to support organizational mission and business functions. Access records are not required for publicly accessible areas.","PE-8 (a) [for a minimum of one (1) year]
PE-8 (b) [at least monthly]","PE-8 (a) [for a minimum of one (1) year]
PE-8 (b) [at least monthly]",Yes, ,X,
PE-08 (01),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-8 (1),No,Visitor Access Records | Automated Records Maintenance and Review,Maintain and review visitor access records using [Assignment: organization-defined automated mechanisms].,Visitor access records may be stored and maintained in a database management system that is accessible by organizational personnel. Automated access to such records facilitates record reviews on a regular basis to determine if access authorizations are current and still required to support organizational mission and business functions.,,Not Found,No,,,
PE-09,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-9,Yes,Power Equipment and Cabling,Protect power equipment and power cabling for the system from damage and destruction.,"Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations that are both internal and external to organizational facilities and environments of operation. Types of power equipment and cabling include internal cabling and uninterruptable power sources in offices or data centers, generators and power cabling outside of buildings, and power sources for self-contained components such as satellites, vehicles, and other deployable systems.",,,Yes, ,,
PE-10,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-10,Yes,Emergency Shutoff,"a. Provide the capability of shutting off power to [Assignment: organization-defined system or individual system components] in emergency situations;
 b. Place emergency shutoff switches or devices in [Assignment: organization-defined location by system or system component] to facilitate access for authorized personnel; and
 c. Protect emergency power shutoff capability from unauthorized activation.","Emergency power shutoff primarily applies to organizational facilities that contain concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery.",PE-10 (b) [near more than one egress point of the IT area and ensures it is labeled and protected by a cover to prevent accidental shut-off],PE-10 (b) [near more than one egress point of the IT area and ensures it is labeled and protected by a cover to prevent accidental shut-off],Yes, ,X,
PE-11,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-11,Yes,Emergency Power,Provide an uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the system; transition of the system to long-term alternate power] in the event of a primary power source loss.,"An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment, or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption, or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of a UPS is relatively short but provides sufficient time to start a standby power source, such as a backup generator, or properly shut down the system.",,,Yes, ,,
PE-11 (01),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-11 (1),No,Emergency Power | Alternate Power Supply — Minimal Operational Capability,Provide an alternate power supply for the system that is activated [Selection: manually; automatically] and that can maintain minimally required operational capability in the event of an extended loss of the primary power source.,Provision of an alternate power supply with minimal operating capability can be satisfied by accessing a secondary commercial power supply or other external power supply.,PE-11 (1) [automatically] ,Not Found,No, ,X,
PE-12,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-12,Yes,Emergency Lighting,Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.,"The provision of emergency lighting applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system fails or cannot be provided, organizations consider alternate processing sites for power-related contingencies.",,,Yes, ,,
PE-13,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-13,Yes,Fire Protection,Employ and maintain fire detection and suppression systems that are supported by an independent energy source.,"The provision of fire detection and suppression systems applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems and smoke detectors. An independent energy source is an energy source, such as a microgrid, that is separate, or can be separated, from the energy sources providing power for the other parts of the facility.",,,Yes, ,,
PE-13 (01),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-13 (1),Yes,Fire Protection | Detection Systems — Automatic Activation and Notification,Employ fire detection systems that activate automatically and notify [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders] in the event of a fire.,"Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances (e.g., to enter to facilities where access is restricted due to the classification or impact level of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire.","PE-13 (1) -1 [service provider building maintenance/physical security personnel]
PE-13 (1) -2 [service provider emergency responders with incident response responsibilities] ","PE-13 (1) -1 [service provider building maintenance/physical security personnel]
PE-13 (1) -2 [service provider emergency responders with incident response responsibilities] ",Yes, ,X,
PE-13 (02),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-13 (2),Yes,Fire Protection | Suppression Systems — Automatic Activation and Notification," (a) Employ fire suppression systems that activate automatically and notify [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders]; and
 (b) Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis.","Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances (e.g., to enter to facilities where access is restricted due to the impact level or classification of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire.",,,Yes, ,,
PE-14,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-14,Yes,Environmental Controls,"a. Maintain [Selection (one or more): temperature; humidity; pressure; radiation; [Assignment: organization-defined environmental control]] levels within the facility where the system resides at [Assignment: organization-defined acceptable levels]; and
 b. Monitor environmental control levels [Assignment: organization-defined frequency].","The provision of environmental controls applies primarily to organizational facilities that contain concentrations of system resources (e.g., data centers, mainframe computer rooms, and server rooms). Insufficient environmental controls, especially in very harsh environments, can have a significant adverse impact on the availability of systems and system components that are needed to support organizational mission and business functions.","PE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments]

PE-14 (b) [continuously]","PE-14 (a) [consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments]

PE-14 (b) [continuously]",Yes,PE-14 (a) Requirement:  The service provider measures temperature at server inlets and humidity levels by dew point.,X,
PE-14 (02),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-14 (2),No,Environmental Controls | Monitoring with Alarms and Notifications,Employ environmental control monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to [Assignment: organization-defined personnel or roles].,The alarm or notification may be an audible alarm or a visual message in real time to personnel or roles defined by the organization. Such alarms and notifications can help minimize harm to individuals and damage to organizational assets by facilitating a timely incident response.,,Not Found,No, ,,
PE-15,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-15,Yes,Water Damage Protection,"Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.","The provision of water damage protection primarily applies to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern without affecting entire organizations.",,,Yes, ,,
PE-15 (01),PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-15 (1),No,Water Damage Protection | Automation Support,Detect the presence of water near the system and alert [Assignment: organization-defined personnel or roles] using [Assignment: organization-defined automated mechanisms].,"Automated mechanisms include notification systems, water detection sensors, and alarms.",PE-15 (1)-1 [service provider building maintenance/physical security personnel],Not Found,No, ,X,
PE-16,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-16,Yes,Delivery and Removal,"a. Authorize and control [Assignment: organization-defined types of system components] entering and exiting the facility; and
 b. Maintain records of the system components.",Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries.,PE-16 (a) [all information system components],PE-16 (a) [all information system components],Yes, ,X,
PE-17,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-17,Yes,Alternate Work Site,"a. Determine and document the [Assignment: organization-defined alternate work sites] allowed for use by employees;
 b. Employ the following controls at alternate work sites: [Assignment: organization-defined controls];
 c. Assess the effectiveness of controls at alternate work sites; and
 d. Provide a means for employees to communicate with information security and privacy personnel in case of incidents.","Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at the sites. Implementing and assessing the effectiveness of organization-defined controls and providing a means to communicate incidents at alternate work sites supports the contingency planning activities of organizations.",,,Yes, ,,
PE-18,PHYSICAL AND ENVIRONMENTAL PROTECTION,Physical And Environmental Protection,PE-18,No,Location of System Components,Position system components within the facility to minimize potential damage from [Assignment: organization-defined physical and environmental hazards] and to minimize the opportunity for unauthorized access.,"Physical and environmental hazards include floods, fires, tornadoes, earthquakes, hurricanes, terrorism, vandalism, an electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. Organizations consider the location of entry points where unauthorized individuals, while not being granted access, might nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications using wireless packet sniffers or microphones, or unauthorized disclosure of information.",PE-18 [physical and environmental hazards identified during threat assessment],Not Found,No, ,X,
PL-01,PLANNING,Planning,PL-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] planning policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the planning policy and the associated planning controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the planning policy and procedures; and
 c. Review and update the current planning:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Planning policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to planning policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","PL-1 (c) (1) [at least annually]
PL-1 (c) (2) [at least annually] [significant changes]","PL-1 (c) (1) [at least every 3 years] 
PL-1 (c) (2) [at least annually] [significant changes]",No, ,X,
PL-02,PLANNING,Planning,PL-2,Yes,System Security and Privacy Plans,"a. Develop security and privacy plans for the system that:
 1. Are consistent with the organization’s enterprise architecture;
 2. Explicitly define the constituent system components;
 3. Describe the operational context of the system in terms of mission and business processes;
 4. Identify the individuals that fulfill system roles and responsibilities;
 5. Identify the information types processed, stored, and transmitted by the system;
 6. Provide the security categorization of the system, including supporting rationale;
 7. Describe any specific threats to the system that are of concern to the organization; 
 8. Provide the results of a privacy risk assessment for systems processing personally identifiable information;
 9. Describe the operational environment for the system and any dependencies on or connections to other systems or system components;
 10. Provide an overview of the security and privacy requirements for the system;
 11. Identify any relevant control baselines or overlays, if applicable;
 12. Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;
 13. Include risk determinations for security and privacy architecture and design decisions;
 14. Include security- and privacy-related activities affecting the system that require planning and coordination with [Assignment: organization-defined individuals or groups]; and
 15. Are reviewed and approved by the authorizing official or designated representative prior to plan implementation.
 b. Distribute copies of the plans and communicate subsequent changes to the plans to [Assignment: organization-defined personnel or roles];
 c. Review the plans [Assignment: organization-defined frequency]; 
 d. Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and
 e. Protect the plans from unauthorized disclosure and modification.","System security and privacy plans are scoped to the system and system components within the defined authorization boundary and contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security and privacy engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle (e.g., during capability determination, analysis of alternatives, requests for proposal, and design reviews). Section 2.1 describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls.
 Organizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment operations explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented.
 Security and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but can instead provide—explicitly or by reference—sufficient information to define what needs to be accomplished by those plans.
 Security- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include assessments, audits, inspections, hardware and software maintenance, acquisition and supply chain risk management, patch management, and contingency plan testing. Planning and coordination include emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included in other documents, as appropriate.","PL-2 (a) (14) [to include chief privacy and ISSO and/or similar role or designees]
PL-2 (b) [to include chief privacy and ISSO and/or similar role]
PL-2 (c) [at least annually]","PL-2 (a) (14) [to include chief privacy and ISSO and/or similar role or designees]
PL-2 (b) [to include chief privacy and ISSO and/or similar role]
PL-2 (c) [at least annually]",Yes, ,X,
PL-04,PLANNING,Planning,PL-4,Yes,Rules of Behavior,"a. Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;
 b. Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;
 c. Review and update the rules of behavior [Assignment: organization-defined frequency]; and
 d. Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge [Selection (one or more): [Assignment: organization-defined frequency]; when the rules are revised or updated].","Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see PS-6). Organizations consider rules of behavior based on individual user roles and responsibilities and differentiate between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in AC-8. The related controls section provides a list of controls that are relevant to organizational rules of behavior. PL-4b, the documented acknowledgment portion of the control, may be satisfied by the literacy training and awareness and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures and electronic agreement check boxes or radio buttons.","PL-4 (c) [at least annually]
PL-4 (d) [at least annually and when the rules are revised or changed]","PL-4 (c) [at least every 3 years]
PL-4 (d) [at least annually and when the rules are revised or changed]",No, ,X,
PL-04 (01),PLANNING,Planning,PL-4 (1),Yes,Rules of Behavior | Social Media and External Site/application Usage Restrictions,"Include in the rules of behavior, restrictions on:
 (a) Use of social media, social networking sites, and external sites/applications;
 (b) Posting organizational information on public websites; and
 (c) Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications.","Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of social media, social networking, and external sites when organizational personnel are using such sites for official duties or in the conduct of official business, when organizational information is involved in social media and social networking transactions, and when personnel access social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining non-public organizational information from social media and networking sites either directly or through inference. Non-public information includes personally identifiable information and system account information.",,,Yes, ,,
PL-08,PLANNING,Planning,PL-8,Yes,Security and Privacy Architectures,"a. Develop security and privacy architectures for the system that:
 1. Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;
 2. Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;
 3. Describe how the architectures are integrated into and support the enterprise architecture; and
 4. Describe any assumptions about, and dependencies on, external systems and services;
 b. Review and update the architectures [Assignment: organization-defined frequency] to reflect changes in the enterprise architecture; and
 c. Reflect planned architecture changes in security and privacy plans, Concept of Operations (CONOPS), criticality analysis, organizational procedures, and procurements and acquisitions.","The security and privacy architectures at the system level are consistent with the organization-wide security and privacy architectures described in PM-7, which are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, such as user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; supply chain risk management requirements; restoration priorities of information and system services; and other protection needs.
 SP 800-160-1 provides guidance on the use of security architectures as part of the system development life cycle process. OMB M-19-03 requires the use of the systems security engineering concepts described in SP 800-160-1 for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle, from analysis of alternatives through review of the proposed architecture in the RFP responses to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews).
 In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that the controls needed to support security and privacy requirements are identified and effectively implemented. In many circumstances, there may be no distinction between the security and privacy architecture for a system. In other circumstances, security objectives may be adequately satisfied, but privacy objectives may only be partially satisfied by the security requirements. In these cases, consideration of the privacy requirements needed to achieve satisfaction will result in a distinct privacy architecture. The documentation, however, may simply reflect the combined architectures.
 PL-8 is primarily directed at organizations to ensure that architectures are developed for the system and, moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, SA-17 is primarily directed at the external information technology product and system developers and integrators. SA-17, which is complementary to PL-8, is selected when organizations outsource the development of systems or components to external entities and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures.",PL-8 (b) [at least annually and when a significant change occurs],PL-8 (b) [at least annually and when a significant change occurs],Yes,"PL-8 (b) Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F.",X,
PL-10,PLANNING,Planning,PL-10,Yes,Baseline Selection,Select a control baseline for the system.,"Control baselines are predefined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines to either satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, and guidelines or address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals’ privacy, information, and information systems with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see PL-11). Federal control baselines are provided in SP 800-53B. The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in SP 800-53B are based on the requirements from FISMA and PRIVACT. The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization’s operations and assets, individuals, other organizations, or the Nation; and considering the results from system and organizational risk assessments. CNSSI 1253 provides guidance on control baselines for national security systems.",,,Yes,PL-10 Requirement: Select the appropriate FedRAMP Baseline,,
PL-11,PLANNING,Planning,PL-11,Yes,Baseline Tailoring,Tailor the selected control baseline by applying specified tailoring actions.,"The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific mission and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in SP 800-53B. Tailoring a control baseline is accomplished by identifying and designating common controls, applying scoping considerations, selecting compensating controls, assigning values to control parameters, supplementing the control baseline with additional controls as needed, and providing information for control implementation. The general tailoring actions in SP 800-53B can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in SP 800-53B in accordance with the security and privacy requirements from FISMA, PRIVACT, and OMB A-130. Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in SP 800-53B to specialize or customize the controls that represent the specific needs and concerns of those entities.",,,Yes,,,
PS-01,PERSONNEL SECURITY,Personnel Security,PS-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] personnel security policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the personnel security policy and procedures; and
 c. Review and update the current personnel security:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Personnel security policy and procedures for the controls in the PS family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personnel security policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","PS-1 (c) (1) [at least annually]
PS-1 (c) (2) [at least annually] [significant changes]","PS-1 (c) (1) [at least every 3 years] 
PS-1 (c) (2) [at least annually] [significant changes]",No, ,X,
PS-02,PERSONNEL SECURITY,Personnel Security,PS-2,Yes,Position Risk Designation,"a. Assign a risk designation to all organizational positions;
 b. Establish screening criteria for individuals filling those positions; and
 c. Review and update position risk designations [Assignment: organization-defined frequency].","Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service due to misconduct of an incumbent of a position and establishes the risk level of that position. The PDS assessment also determines if the duties and responsibilities of the position present the potential for position incumbents to bring about a material adverse effect on national security and the degree of that potential effect, which establishes the sensitivity level of a position. The results of the assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations that individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations, establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions.",PS-2 (c) [at least annually] ,PS-2 (c) [at least every three years] ,No,,X,
PS-03,PERSONNEL SECURITY,Personnel Security,PS-3,Yes,Personnel Screening,"a. Screen individuals prior to authorizing access to the system; and
 b. Rescreen individuals in accordance with [Assignment: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening].","Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems.","PS-3 (b) [for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance.

For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year.  There is no reinvestigation for other moderate risk positions or any low risk positions]","PS-3 (b) [for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance.

For moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year.  There is no reinvestigation for other moderate risk positions or any low risk positions]",Yes, ,X,
PS-03 (03),PERSONNEL SECURITY,Personnel Security,PS-3 (3),Yes,Personnel Screening | Information Requiring Special Protective Measures,"Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:
 (a) Have valid access authorizations that are demonstrated by assigned official government duties; and
 (b) Satisfy [Assignment: organization-defined additional personnel screening criteria].",Organizational information that requires special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements.,PS-3 (3) (b) [personnel screening criteria – as required by specific information],PS-3 (3) (b) [personnel screening criteria – as required by specific information],Yes, ,X,
PS-04,PERSONNEL SECURITY,Personnel Security,PS-4,Yes,Personnel Termination,"Upon termination of individual employment:
 a. Disable system access within [Assignment: organization-defined time period];
 b. Terminate or revoke any authenticators and credentials associated with the individual;
 c. Conduct exit interviews that include a discussion of [Assignment: organization-defined information security topics];
 d. Retrieve all security-related organizational system-related property; and
 e. Retain access to organizational information and systems formerly controlled by terminated individual.","System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals, including in cases related to the unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. The timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling the system accounts of individuals who are being terminated prior to the individuals being notified.",PS-4 (a) [one (1) hour],PS-4 (a) [four (4) hours],No,,X,
PS-04 (02),PERSONNEL SECURITY,Personnel Security,PS-4 (2),No,Personnel Termination | Automated Actions,Use [Assignment: organization-defined automated mechanisms] to [Selection (one or more): notify [Assignment: organization-defined personnel or roles] of individual termination actions; disable access to system resources].,"In organizations with many employees, not all personnel who need to know about termination actions receive the appropriate notifications, or if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to organizational personnel or roles when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including via telephone, electronic mail, text message, or websites. Automated mechanisms can also be employed to quickly and thoroughly disable access to system resources after an employee is terminated.",PS-4 (2)-2 Notify [access control personnel responsible for disabling access to the system],Not Found,No, ,X,
PS-05,PERSONNEL SECURITY,Personnel Security,PS-5,Yes,Personnel Transfer,"a. Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;
 b. Initiate [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time period following the formal transfer action];
 c. Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and
 d. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time period].","Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended duration as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts.","PS-5 (b)-2 [twenty-four (24) hours] 
PS-5 (d)-1 [including access control personnel responsible for the system]
PS-5 (d)-2 [twenty-four (24) hours]","PS-5 (b)-2 [twenty-four (24) hours] 
PS-5 (d)-1 [including access control personnel responsible for the system]
PS-5 (d)-2 [twenty-four (24) hours]",Yes,,X,
PS-06,PERSONNEL SECURITY,Personnel Security,PS-6,Yes,Access Agreements,"a. Develop and document access agreements for organizational systems;
 b. Review and update the access agreements [Assignment: organization-defined frequency]; and
 c. Verify that individuals requiring access to organizational information and systems: 
 1. Sign appropriate access agreements prior to being granted access; and
 2. Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or [Assignment: organization-defined frequency].","Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.","PS-6 (b) [at least annually]
PS-6 (c) (2) [at least annually and any time there is a change to the user's level of access]","PS-6 (b) [at least annually]
PS-6 (c) (2) [at least annually and any time there is a change to the user's level of access]",Yes, ,X,
PS-07,PERSONNEL SECURITY,Personnel Security,PS-7,Yes,External Personnel Security,"a. Establish personnel security requirements, including security roles and responsibilities for external providers;
 b. Require external providers to comply with personnel security policies and procedures established by the organization;
 c. Document personnel security requirements;
 d. Require external providers to notify [Assignment: organization-defined personnel or roles] of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within [Assignment: organization-defined time period]; and
 e. Monitor provider compliance with personnel security requirements.","External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations that provide system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure the appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and the nature of credentials or privileges associated with transferred or terminated individuals.","PS-7 (d)-1 [including access control personnel responsible for the system and/or facilities, as appropriate]
PS-7 (d)-2 [terminations: immediately; transfers: within twenty-four (24) hours]","PS-7 (d)-1 [including access control personnel responsible for the system and/or facilities, as appropriate]
PS-7 (d)-2 [within twenty-four (24) hours]",No, ,X,
PS-08,PERSONNEL SECURITY,Personnel Security,PS-8,Yes,Personnel Sanctions,"a. Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and
 b. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time period] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.","Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.","PS-8 (b)-1 [to include the ISSO and/or similar role within the organization]
PS-8 (b)-2 [24 hours]","PS-8 (b)-1 [to include the ISSO and/or similar role within the organization]
PS-8 (b)-2 [24 hours]",Yes, ,X,
PS-09,PERSONNEL SECURITY,Personnel Security,PS-9,Yes,Position Descriptions,Incorporate security and privacy roles and responsibilities into organizational position descriptions.,Specification of security and privacy roles in individual organizational position descriptions facilitates clarity in understanding the security or privacy responsibilities associated with the roles and the role-based security and privacy training requirements for the roles.,,,Yes,,,
RA-01,RISK ASSESSMENT,Risk Assessment,RA-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] risk assessment policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and
 c. Review and update the current risk assessment:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Risk assessment policy and procedures address the controls in the RA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of risk assessment policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to risk assessment policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","RA-1 (c) (1) [at least annually]
RA-1 (c) (2) [at least annually] [significant changes]","RA-1 (c) (1) [at least every 3 years] 
RA-1 (c) (2) [at least annually] [significant changes]",No, ,X,
RA-02,RISK ASSESSMENT,Risk Assessment,RA-2,Yes,Security Categorization,"a. Categorize the system and information it processes, stores, and transmits;
 b. Document the security categorization results, including supporting rationale, in the security plan for the system; and
 c. Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.","Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are compromised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes that is carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. CNSSI 1253 provides additional guidance on categorization for national security systems.
 Organizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with USA PATRIOT and Homeland Security Presidential Directives, potential national-level adverse impacts.
 Security categorization processes facilitate the development of inventories of information assets and, along with CM-8, mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure that the security categories remain accurate and relevant.",,,Yes, ,,
RA-03,RISK ASSESSMENT,Risk Assessment,RA-3,Yes,Risk Assessment,"a. Conduct a risk assessment, including:
 1. Identifying threats to and vulnerabilities in the system;
 2. Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and
 3. Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;
 b. Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;
 c. Document risk assessment results in [Selection: security and privacy plans; risk assessment report; [Assignment: organization-defined document]];
 d. Review risk assessment results [Assignment: organization-defined frequency];
 e. Disseminate risk assessment results to [Assignment: organization-defined personnel or roles]; and
 f. Update the risk assessment [Assignment: organization-defined frequency] or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.","Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation. Risk assessments also consider risk from external parties, including contractors who operate systems on behalf of the organization, individuals who access organizational systems, service providers, and outsourcing entities.
 Organizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including preparation, categorization, control selection, control implementation, control assessment, authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle.
 Risk assessments can also address information related to the system, including system design, the intended use of the system, testing results, and supply chain-related information or artifacts. Risk assessments can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination.","RA-3 (c) [security assessment report]
 
RA-3 (d) [at least annually and whenever a significant change occurs]
 
RA-3 (f) [annually]  ","RA-3 (c) [security assessment report]

RA-3 (d) [at least every three (3) years and when a significant change occurs]

RA-3 (f) [at least every three (3) years]",No,"RA-3 Guidance: Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F.
RA-3 (e) Requirement: Include all Authorizing Officials; for JAB authorizations to include FedRAMP.
",X,
RA-03 (01),RISK ASSESSMENT,Risk Assessment,RA-3 (1),Yes,Risk Assessment | Supply Chain Risk Assessment," (a) Assess supply chain risks associated with [Assignment: organization-defined systems, system components, and system services]; and
 (b) Update the supply chain risk assessment [Assignment: organization-defined frequency], when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.","Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and, therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.",,,Yes,,,
RA-05,RISK ASSESSMENT,Risk Assessment,RA-5,Yes,Vulnerability Monitoring and Scanning,"a. Monitor and scan for vulnerabilities in the system and hosted applications [Assignment: organization-defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system are identified and reported;
 b. Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
 1. Enumerating platforms, software flaws, and improper configurations;
 2. Formatting checklists and test procedures; and
 3. Measuring vulnerability impact; 
 c. Analyze vulnerability scan reports and results from vulnerability monitoring;
 d. Remediate legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk;
 e. Share information obtained from the vulnerability monitoring process and control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other systems; and
 f. Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned.","Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities—such as infrastructure components (e.g., switches, routers, guards, sensors), networked printers, scanners, and copiers—are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced and as new scanning methods are developed helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches, such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers. 
 Vulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP)-validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).
 Vulnerability monitoring includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation.
 Organizations may also employ the use of financial incentives (also known as bug bounties) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization’s needs. Bounties can be operated indefinitely or over a defined period of time and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points.","RA-5 (a) [monthly operating system/infrastructure; monthly web applications (including APIs) and databases]
RA-5 (d) [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery]","RA-5 (a) [monthly operating system/infrastructure; monthly web applications (including APIs) and databases]
RA-5 (d) [high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery]",Yes,"RA-5 Guidance: See the FedRAMP Documents page> Vulnerability Scanning Requirements 
https://www.FedRAMP.gov/documents/
RA-5 (a) Requirement: an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.
RA-5 (d) Requirement: If a vulnerability is listed among the CISA Known Exploited Vulnerability (KEV) Catalog (https://www.cisa.gov/known-exploited-vulnerabilities-catalog) the KEV remediation date supersedes the FedRAMP parameter requirement.
RA-5 (e) Requirement: to include all Authorizing Officials; for JAB authorizations to include FedRAMP

RA-5 Guidance: Informational findings from a scanner are detailed as a returned result that holds no vulnerability risk or severity and for FedRAMP does not require an entry onto the POA&M or entry onto the RET during any assessment phase.
Warning findings, on the other hand, are given a risk rating (low, moderate, high or critical) by the scanning solution and should be treated like any other finding with a risk or severity rating for tracking purposes onto either the POA&M or RET depending on when the findings originated (during assessments or during monthly continuous monitoring). If a warning is received during scanning, but further validation turns up no actual issue then this item should be categorized as a false positive. If this situation presents itself during an assessment phase (initial assessment, annual assessment or any SCR), follow guidance on how to report false positives in the Security Assessment Report (SAR). If this situation happens during monthly continuous monitoring, a deviation request will need to be submitted per the FedRAMP Vulnerability Deviation Request Form.
Warnings are commonly associated with scanning solutions that also perform compliance scans, and if the scanner reports a “warning” as part of the compliance scanning of a CSO, follow guidance surrounding the tracking of compliance findings during either the assessment phases (initial assessment, annual assessment or any SCR) or monthly continuous monitoring as it applies. Guidance on compliance scan findings can be found by searching on “Tracking of Compliance Scans” in FAQs.
",X,
RA-05 (02),RISK ASSESSMENT,Risk Assessment,RA-5 (2),Yes,Vulnerability Monitoring and Scanning | Update Vulnerabilities to Be Scanned,Update the system vulnerabilities to be scanned [Selection (one or more): [Assignment: organization-defined frequency]; prior to a new scan; when new vulnerabilities are identified and reported].,"Due to the complexity of modern software, systems, and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner.","RA-5 (2) [within 24 hours prior to
running scans]","RA-5 (2) [within 24 hours prior to
running scans]",Yes, ,X,
RA-05 (03),RISK ASSESSMENT,Risk Assessment,RA-5 (3),Yes,Vulnerability Monitoring and Scanning | Breadth and Depth of Coverage,Define the breadth and depth of vulnerability scanning coverage.,"The breadth of vulnerability scanning coverage can be expressed as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design that the organization intends to monitor (e.g., component, module, subsystem, element). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. Scanning tools and how the tools are configured may affect the depth and coverage. Multiple scanning tools may be needed to achieve the desired depth and coverage. SP 800-53A provides additional information on the breadth and depth of coverage.",,,Yes, ,,
RA-05 (04),RISK ASSESSMENT,Risk Assessment,RA-5 (4),No,Vulnerability Monitoring and Scanning | Discoverable Information,Determine information about the system that is discoverable and take [Assignment: organization-defined corrective actions].,"Discoverable information includes information that adversaries could obtain without compromising or breaching the system, such as by collecting information that the system is exposing or by conducting extensive web searches. Corrective actions include notifying appropriate organizational personnel, removing designated information, or changing the system to make the designated information less relevant or attractive to adversaries. This enhancement excludes intentionally discoverable information that may be part of a decoy capability (e.g., honeypots, honeynets, or deception nets) deployed by the organization.",RA-5 (4) [notify appropriate service provider personnel and follow procedures for organization and service provider-defined corrective actions],Not Found,No, ,X,
RA-05 (05),RISK ASSESSMENT,Risk Assessment,RA-5 (5),Yes,Vulnerability Monitoring and Scanning | Privileged Access,Implement privileged access authorization to [Assignment: organization-defined system components] for [Assignment: organization-defined vulnerability scanning activities].,"In certain situations, the nature of the vulnerability scanning may be more intrusive, or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.","RA-5 (5)-1 [all components that support authentication] 
RA-5 (5)-2 [all scans]","RA-5 (5)-1 [all components that support authentication] 
RA-5 (5)-2 [all scans]",Yes, ,X,
RA-05 (08),RISK ASSESSMENT,Risk Assessment,RA-5 (8),No,Vulnerability Monitoring and Scanning | Review Historic Audit Logs,Review historic audit logs to determine if a vulnerability identified in a [Assignment: organization-defined system] has been previously exploited within an [Assignment: organization-defined time period].,"Reviewing historic audit logs to determine if a recently detected vulnerability in a system has been previously exploited by an adversary can provide important information for forensic analyses. Such analyses can help identify, for example, the extent of a previous intrusion, the trade craft employed during the attack, organizational information exfiltrated or modified, mission or business capabilities affected, and the duration of the attack.",,Not Found,No,RA-5 (8) Requirement: This enhancement is required for all high (or critical) vulnerability scan findings.,,
RA-05 (11),RISK ASSESSMENT,Risk Assessment,RA-5 (11),Yes,Vulnerability Monitoring and Scanning | Public Disclosure Program,Establish a public reporting channel for receiving reports of vulnerabilities in organizational systems and system components.,The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and the disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity but may request a specific time period to properly remediate the vulnerability.,,,Yes,,,
RA-07,RISK ASSESSMENT,Risk Assessment,RA-7,Yes,Risk Response,"Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance.","Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls, accepting risk with appropriate justification or rationale, sharing or transferring risk, or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so that a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk, and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.",,,Yes,,,
RA-09,RISK ASSESSMENT,Risk Assessment,RA-9,Yes,Criticality Analysis,"Identify critical system components and functions by performing a criticality analysis for [Assignment: organization-defined systems, system components, or system services] at [Assignment: organization-defined decision points in the system development life cycle].","Not all system components, functions, or services necessarily require significant protections. For example, criticality analysis is a key tenet of supply chain risk management and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders, regulations, directives, policies, standards, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system. 
 The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities that such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system that contains the components and functions.
 Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, such as by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in RA-2.",,,Yes,,,
SA-01,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] system and services acquisition policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and
 c. Review and update the current system and services acquisition:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","System and services acquisition policy and procedures address the controls in the SA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and services acquisition policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and services acquisition policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","SA-1 (c) (1) [at least annually]
SA-1 (c) (2) [at least annually] [significant changes]","SA-1 (c) (1) [at least every 3 years] 
SA-1 (c) (2) [at least annually] [significant changes]",No, ,X,
SA-02,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-2,Yes,Allocation of Resources,"a. Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;
 b. Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and
 c. Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation.","Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain-related risks throughout the system development life cycle.",,,Yes, ,,
SA-03,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-3,Yes,System Development Life Cycle,"a. Acquire, develop, and manage the system using [Assignment: organization-defined system development life cycle] that incorporates information security and privacy considerations;
 b. Define and document information security and privacy roles and responsibilities throughout the system development life cycle;
 c. Identify individuals having information security and privacy roles and responsibilities; and
 d. Integrate the organizational information security and privacy risk management process into system development life cycle activities.","A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical mission and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include qualified personnel (e.g., senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers) in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals with key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. 
 The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with the risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, service providers), acquisition and supply chain risk management functions and controls play significant roles in the effective management of the system during the life cycle.",,,Yes, ,,
SA-04,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-4,Yes,Acquisition Process,"Include the following requirements, descriptions, and criteria, explicitly or by reference, using [Selection (one or more): standardized contract language; [Assignment: organization-defined contract language]] in the acquisition contract for the system, system component, or system service:
 a. Security and privacy functional requirements;
 b. Strength of mechanism requirements;
 c. Security and privacy assurance requirements;
 d. Controls needed to satisfy the security and privacy requirements.
 e. Security and privacy documentation requirements;
 f. Requirements for protecting security and privacy documentation;
 g. Description of the system development environment and environment in which the system is intended to operate;
 h. Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and
 i. Acceptance criteria.","Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in SA-2. The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, and methodologies as well as the evidence from development and assessment activities that provide grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. SP 800-160-1 describes the process of requirements engineering as part of the system development life cycle.
 Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and for reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical, administrative, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle.
 Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings that specify allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as the criteria for any organizational acquisition or procurement.",,,Yes,"SA-4 Requirement: The service provider must comply with Federal Acquisition Regulation (FAR) Subpart 7.103, and Section 889 of the John S. McCain National Defense Authorization Act (NDAA) for Fiscal Year 2019 (Pub. L. 115-232), and FAR Subpart 4.21, which implements Section 889 (as well as any added updates related to FISMA to address security concerns in the system acquisitions process).

SA-4 Guidance: The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred.
See https://www.niap-ccevs.org/Product/index.cfm or https://www.commoncriteriaportal.org/products/. ",,
SA-04 (01),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-4 (1),Yes,Acquisition Process | Functional Properties of Controls,"Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.","Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.",,,Yes, ,,
SA-04 (02),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-4 (2),Yes,Acquisition Process | Design and Implementation Information for Controls,"Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; [Assignment: organization-defined design and implementation information]] at [Assignment: organization-defined level of detail].","Organizations may require different levels of detail in the documentation for the design and implementation of controls in organizational systems, system components, or system services based on mission and business requirements, requirements for resiliency and trustworthiness, and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system.",SA-4 (2)-1 [at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]],SA-4 (2)-1 [at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram; [organization-defined design/implementation information]],Yes, ,X,
SA-04 (05),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-4 (5),No,"Acquisition Process | System, Component, and Service Configurations","Require the developer of the system, system component, or system service to:
 (a) Deliver the system, component, or service with [Assignment: organization-defined security configurations] implemented; and
 (b) Use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.","Examples of security configurations include the U.S. Government Configuration Baseline (USGCB), Security Technical Implementation Guides (STIGs), and any limitations on functions, ports, protocols, and services. Security characteristics can include requiring that default passwords have been changed.",SA-4 (5) (a) The service provider shall use the DoD STIGs to establish configuration settings; Center for Internet Security up to Level 2 (CIS Level 2) guidelines shall be used if STIGs are not available; Custom baselines shall be used if CIS is not available.,Not Found,No,,X,
SA-04 (09),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-4 (9),Yes,"Acquisition Process | Functions, Ports, Protocols, and Services in Use","Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.","The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design stages) allows organizations to influence the design of the system, system component, or system service. This early involvement in the system development life cycle helps organizations avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources.",,,Yes, ,,
SA-04 (10),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-4 (10),Yes,Acquisition Process | Use of Approved PIV Products,Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.,Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multi-factor authentication in systems and organizations.,,,Yes, ,,
SA-05,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-5,Yes,System Documentation,"a. Obtain or develop administrator documentation for the system, system component, or system service that describes:
 1. Secure configuration, installation, and operation of the system, component, or service; 
 2. Effective use and maintenance of security and privacy functions and mechanisms; and
 3. Known vulnerabilities regarding configuration and use of administrative or privileged functions;
 b. Obtain or develop user documentation for the system, system component, or system service that describes:
 1. User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;
 2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and
 3. User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;
 c. Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take [Assignment: organization-defined actions] in response; and
 d. Distribute documentation to [Assignment: organization-defined personnel or roles].","System documentation helps personnel understand the implementation and operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used to support the management of supply chain risk, incident response, and other functions. Personnel or roles that require documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or the lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation.","SA-5 (d) [at a minimum, the ISSO (or similar role within the organization)]","SA-5 (d) [at a minimum, the ISSO (or similar role within the organization)]",Yes, ,X,
SA-08,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-8,Yes,Security and Privacy Engineering Principles,"Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: [Assignment: organization-defined systems security and privacy engineering principles].","Systems security and privacy engineering principles are closely related to and implemented throughout the system development life cycle (see SA-3). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems.
 The application of systems security and privacy engineering principles helps organizations develop trustworthy, secure, and resilient systems and reduces the susceptibility to disruptions, hazards, threats, and the creation of privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk.
 Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks, including incorporating tamper-resistant hardware into a design.",,,Yes, ,,
SA-09,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-9,Yes,External System Services,"a. Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: [Assignment: organization-defined controls];
 b. Define and document organizational oversight and user roles and responsibilities with regard to external system services; and
 c. Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: [Assignment: organization-defined processes, methods, and techniques].","External system services are provided by an external provider, and the organization has no direct control over the implementation of the required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust vary based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so that the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define the expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.","SA-9 (a) [Appropriate FedRAMP Security Controls Baseline (s) if Federal information is processed or stored within the external system]
SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]","SA-9 (a) [Appropriate FedRAMP Security Controls Baseline (s) if Federal information is processed or stored within the external system]
SA-9 (c) [Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]",Yes, ,X,
SA-09 (01),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-9 (1),Yes,External System Services | Risk Assessments and Organizational Approvals," (a) Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and
 (b) Verify that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined personnel or roles].","Information security services include the operation of security devices, such as firewalls or key management services as well as incident monitoring, analysis, and response. Risks assessed can include system, mission or business, security, privacy, or supply chain risks.",,,Yes, ,,
SA-09 (02),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-9 (2),Yes,"External System Services | Identification of Functions, Ports, Protocols, and Services","Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: [Assignment: organization-defined external system services].","Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols.",SA-9 (2) [all external systems where Federal information is processed or stored],SA-9 (2) [all external systems where Federal information is processed or stored],Yes, ,X,
SA-09 (05),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-9 (5),Yes,"External System Services | Processing, Storage, and Service Location",Restrict the location of [Selection (one or more): information processing; information or data; system services] to [Assignment: organization-defined locations] based on [Assignment: organization-defined requirements or conditions].,"The location of information processing, information and data storage, or system services can have a direct impact on the ability of organizations to successfully execute their mission and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria that organizations use. For example, organizations may desire that data or information storage locations be restricted to certain locations to help facilitate incident response activities in case of information security incidents or breaches. Incident response activities, including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate.","SA-9 (5)-1 [information processing, information or data, AND system services]
SA-9 (5)-2 [U.S./U.S. Territories or geographic locations where there is U.S. jurisdiction]
SA-9 (5)-3 [all High impact data, systems, or services]","SA-9 (5)-1 [information processing, information or data, AND system services]",No,,X,
SA-10,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-10,Yes,Developer Configuration Management,"Require the developer of the system, system component, or system service to:
 a. Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation; disposal];
 b. Document, manage, and control the integrity of changes to [Assignment: organization-defined configuration items under configuration management];
 c. Implement only organization-approved changes to the system, component, or service;
 d. Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and
 e. Track security flaws and flaw resolution within the system, component, or service and report findings to [Assignment: organization-defined personnel].","Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.
 The configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle.","SA-10 (a) [development, implementation, AND operation]","SA-10 (a) [development, implementation, AND operation]",Yes,"SA-10 (e)  Requirement: track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.
",X,
SA-11,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-11,Yes,Developer Testing and Evaluation,"Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:
 a. Develop and implement a plan for ongoing security and privacy control assessments;
 b. Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation [Assignment: organization-defined frequency] at [Assignment: organization-defined depth and coverage];
 c. Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;
 d. Implement a verifiable flaw remediation process; and
 e. Correct flaws identified during testing and evaluation.","Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes—including upgrading or replacing applications, operating systems, and firmware—may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches.
 Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components; the degree of rigor to be applied; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation.",,,Yes, ,,
SA-11 (01),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-11 (1),Yes,Developer Testing and Evaluation | Static Code Analysis,"Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.","Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code as well as for the incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and enforce secure coding practices. It is most effective when used early in the development process, when each code change can automatically be scanned for potential weaknesses. Static code analysis can provide clear remediation guidance and identify defects for developers to fix. Evidence of the correct implementation of static analysis can include aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.",,,Yes,"SA-11 (1) Requirement: The service provider must document its methodology for reviewing newly developed code for the Service in its Continuous Monitoring Plan.

If Static code analysis cannot be performed (for example, when the source code is not available), then dynamic code analysis must be performed (see SA-11 (8))

",,
SA-11 (02),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-11 (2),Yes,Developer Testing and Evaluation | Threat Modeling and Vulnerability Analyses,"Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that: 
 (a) Uses the following contextual information: [Assignment: organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels];
 (b) Employs the following tools and methods: [Assignment: organization-defined tools and methods];
 (c) Conducts the modeling and analyses at the following level of rigor: [Assignment: organization-defined breadth and depth of modeling and analyses]; and
 (d) Produces evidence that meets the following acceptance criteria: [Assignment: organization-defined acceptance criteria].","Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and that vulnerabilities created because of those changes have been reviewed and mitigated.",,,Yes, ,,
SA-15,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-15,Yes,"Development Process, Standards, and Tools","a. Require the developer of the system, system component, or system service to follow a documented development process that:
 1. Explicitly addresses security and privacy requirements;
 2. Identifies the standards and tools used in the development process;
 3. Documents the specific tool options and tool configurations used in the development process; and
 4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and
 b. Review the development process, standards, tools, tool options, and tool configurations [Assignment: organization-defined frequency] to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: [Assignment: organization-defined security and privacy requirements].",Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.,"SA-15 (b)-1 [frequency as before first use and annually thereafter]
SA-15 (b)-2 [FedRAMP Security Authorization requirements]","SA-15 (b)-1 [frequency at least annually]
SA-15 (b)-2 [FedRAMP Security Authorization requirements]",No, ,X,
SA-15 (03),SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-15 (3),Yes,"Development Process, Standards, and Tools | Criticality Analysis","Require the developer of the system, system component, or system service to perform a criticality analysis:
 (a) At the following decision points in the system development life cycle: [Assignment: organization-defined decision points in the system development life cycle]; and
 (b) At the following level of rigor: [Assignment: organization-defined breadth and depth of criticality analysis].","Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, source code, and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses.",,,Yes,,,
SA-16,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-16,No,Developer-provided Training,"Require the developer of the system, system component, or system service to provide the following training on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms: [Assignment: organization-defined training].","Developer-provided training applies to external and internal (in-house) developers. Training personnel is essential to ensuring the effectiveness of the controls implemented within organizational systems. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Organizations can also request training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security and privacy functions, controls, and mechanisms.",,Not Found,No, ,,
SA-17,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-17,No,Developer Security and Privacy Architecture and Design,"Require the developer of the system, system component, or system service to produce a design specification and security and privacy architecture that:
 a. Is consistent with the organization’s security and privacy architecture that is an integral part the organization’s enterprise architecture;
 b. Accurately and completely describes the required security and privacy functionality, and the allocation of controls among physical and logical components; and
 c. Expresses how individual security and privacy functions, mechanisms, and services work together to provide required security and privacy capabilities and a unified approach to protection.","Developer security and privacy architecture and design are directed at external developers, although they could also be applied to internal (in-house) development. In contrast, PL-8 is directed at internal developers to ensure that organizations develop a security and privacy architecture that is integrated with the enterprise architecture. The distinction between SA-17 and PL-8 is especially important when organizations outsource the development of systems, system components, or system services and when there is a requirement to demonstrate consistency with the enterprise architecture and security and privacy architecture of the organization. ISO 15408-2, ISO 15408-3, and SP 800-160-1 provide information on security architecture and design, including formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing.",,Not Found,No, ,,
SA-21,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-21,No,Developer Screening,"Require that the developer of [Assignment: organization-defined system, system component, or system service]:
 a. Has appropriate access authorizations as determined by assigned [Assignment: organization-defined official government duties]; and
 b. Satisfies the following additional personnel screening criteria: [Assignment: organization-defined additional personnel screening criteria].","Developer screening is directed at external developers. Internal developer screening is addressed by PS-3. Because the system, system component, or system service may be used in critical activities essential to the national or economic security interests of the United States, organizations have a strong interest in ensuring that developers are trustworthy. The degree of trust required of developers may need to be consistent with that of the individuals who access the systems, system components, or system services once deployed. Authorization and personnel screening criteria include clearances, background checks, citizenship, and nationality. Developer trustworthiness may also include a review and analysis of company ownership and relationships that the company has with entities that may potentially affect the quality and reliability of the systems, components, or services being developed. Satisfying the required access authorizations and personnel screening criteria includes providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements.",,Not Found,No,,,
SA-22,SYSTEM AND SERVICES ACQUISITION,System And Services Acquisition,SA-22,Yes,Unsupported System Components,"a. Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or
 b. Provide the following options for alternative sources for continued support for unsupported components [Selection (one or more): in-house support; [Assignment: organization-defined support from external providers]].","Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. An example of unsupported components includes when vendors no longer provide critical software patches or product updates, which can result in an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capabilities where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.
 Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business functions. If necessary, organizations can establish in-house support by developing customized patches for critical software components or, alternatively, obtain the services of external providers who provide ongoing support for the designated unsupported components through contractual relationships. Such contractual relationships can include open-source software value-added vendors. The increased risk of using unsupported system components can be mitigated, for example, by prohibiting the connection of such components to public or uncontrolled networks, or implementing other forms of isolation.",,,Yes,,,
SC-01,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] system and communications protection policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and
 c. Review and update the current system and communications protection:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","System and communications protection policy and procedures address the controls in the SC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and communications protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and communications protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","SC-1 (c) (1) [at least annually]
SC-1 (c) (2) [at least annually] [significant changes]","SC-1 (c) (1) [at least every 3 years] 
SC-1 (c) (2) [at least annually] [significant changes]",No, ,X,
SC-02,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-2,Yes,Separation of System and User Functionality,"Separate user functionality, including user interface services, from system management functionality.","System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations may separate system management functions from user functions by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in SA-8, including SA-8 (1), SA-8 (3), SA-8 (4), SA-8 (10), SA-8 (12), SA-8 (13), SA-8 (14), and SA-8 (18).",,,Yes, ,,
SC-03,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-3,No,Security Function Isolation,Isolate security functions from nonsecurity functions.,"Security functions are isolated from nonsecurity functions by means of an isolation boundary implemented within a system via partitions and domains. The isolation boundary controls access to and protects the integrity of the hardware, software, and firmware that perform system security functions. Systems implement code separation in many ways, such as through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that protect the code on disk and address space protections that protect executing code. Systems can restrict access to security functions using access control mechanisms and by implementing least privilege capabilities. While the ideal is for all code within the defined security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions as an exception. The isolation of security functions from nonsecurity functions can be achieved by applying the systems security engineering design principles in SA-8, including SA-8 (1), SA-8 (3), SA-8 (4), SA-8 (10), SA-8 (12), SA-8 (13), SA-8 (14), and SA-8 (18).",,Not Found,No, ,,
SC-04,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-4,Yes,Information in Shared System Resources,Prevent unauthorized and unintended information transfer via shared system resources.,"Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. Information in shared system resources also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. Information in shared system resources does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles.",,,Yes, ,,
SC-05,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-5,Yes,Denial-of-service Protection,"a. [Selection: Protect against; Limit] the effects of the following types of denial-of-service events: [Assignment: organization-defined types of denial-of-service events]; and
 b. Employ the following controls to achieve the denial-of-service objective: [Assignment: organization-defined controls by type of denial-of-service event].","Denial-of-service events may occur due to a variety of internal and external causes, such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a wide range of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial-of-service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by or the source of denial-of-service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial-of-service events.","SC-5 (a)-1 [Protect against] 
SC-5 (a)-2 [at a minimum: ICMP (ping) flood, SYN flood, slowloris, buffer overflow attack, and volume attack]","SC-5 (a)-1 [Protect against] 
SC-5 (a)-2 [at a minimum: ICMP (ping) flood, SYN flood, slowloris, buffer overflow attack, and volume attack]",Yes, ,X,
SC-07,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7,Yes,Boundary Protection,"a. Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system;
 b. Implement subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and
 c. Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.","Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis, virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. SP 800-189 provides additional information on source address validation techniques to prevent ingress and egress of traffic with spoofed addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions. Boundary protection may be implemented as a common control for all or part of an organizational network such that the boundary to be protected is greater than a system-specific boundary (i.e., an authorization boundary).",,,Yes,"SC-7 (b) Guidance:   SC-7 (b) should be met by subnet isolation.  A subnetwork (subnet) is a physically or logically segmented section of a larger network defined at TCP/IP Layer 3, to both minimize traffic and, important for a FedRAMP Authorization, add a crucial layer of network isolation. Subnets are distinct from VLANs (Layer 2), security groups, and VPCs and are specifically required to satisfy SC-7 part b and other controls.  See the FedRAMP Subnets White Paper (https://www.fedramp.gov/assets/resources/documents/FedRAMP_subnets_white_paper.pdf) for additional information.",,
SC-07 (03),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (3),Yes,Boundary Protection | Access Points,Limit the number of external network connections to the system.,"Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection DHS TIC initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system.",,,Yes, ,,
SC-07 (04),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (4),Yes,Boundary Protection | External Telecommunications Services," (a) Implement a managed interface for each external telecommunication service;
 (b) Establish a traffic flow policy for each managed interface;
 (c) Protect the confidentiality and integrity of the information being transmitted across each interface;
 (d) Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;
 (e) Review exceptions to the traffic flow policy [Assignment: organization-defined frequency] and remove exceptions that are no longer supported by an explicit mission or business need;
 (f) Prevent unauthorized exchange of control plane traffic with external networks;
 (g) Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and
 (h) Filter unauthorized control plane traffic from external networks.","External telecommunications services can provide data and/or voice communications services. Examples of control plane traffic include Border Gateway Protocol (BGP) routing, Domain Name System (DNS), and management protocols. See SP 800-189 for additional information on the use of the resource public key infrastructure (RPKI) to protect BGP routes and detect unauthorized BGP announcements.",SC-7 (4) (e) [at least every ninety (90) days or whenever there is a change in the threat environment that warrants a review of the exceptions],SC-7 (4) (e) [at least every 180 days or whenever there is a change in the threat environment that warrants a review of the exceptions],No, ,X,
SC-07 (05),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (5),Yes,Boundary Protection | Deny by Default — Allow by Exception,Deny network communications traffic by default and allow network communications traffic by exception [Selection (one or more): at managed interfaces; for [Assignment: organization-defined systems]].,"Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system.",SC-7 (5) [any systems],SC-7 (5) [any systems],Yes,"SC-7 (5) Guidance: For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing
",X,
SC-07 (07),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (7),Yes,Boundary Protection | Split Tunneling for Remote Devices,Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using [Assignment: organization-defined safeguards].,"Split tunneling is the process of allowing a remote user or device to establish a non-remote connection with a system and simultaneously communicate via some other connection to a resource in an external network. This method of network access enables a user to access remote devices and simultaneously, access uncontrolled networks. Split tunneling might be desirable by remote users to communicate with local system resources, such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information. Split tunneling can be prevented by disabling configuration settings that allow such capability in remote devices and by preventing those configuration settings from being configurable by users. Prevention can also be achieved by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. A virtual private network (VPN) can be used to securely provision a split tunnel. A securely provisioned VPN includes locking connectivity to exclusive, managed, and named environments, or to a specific set of pre-approved addresses, without user control.",,,Yes, ,,
SC-07 (08),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (8),Yes,Boundary Protection | Route Traffic to Authenticated Proxy Servers,Route [Assignment: organization-defined internal communications traffic] to [Assignment: organization-defined external networks] through authenticated proxy servers at managed interfaces.,"External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers that provide access to the Internet. Proxy servers can support the logging of Transmission Control Protocol sessions and the blocking of specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for man-in-the-middle attacks (depending on the implementation).",SC-7 (8)-2 [any network outside of organizational control and any network outside the authorization boundary],SC-7 (8)-2 [any network outside of organizational control and any network outside the authorization boundary],Yes, ,X,
SC-07 (10),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (10),No,Boundary Protection | Prevent Exfiltration," (a) Prevent the exfiltration of information; and
 (b) Conduct exfiltration tests [Assignment: organization-defined frequency].","Prevention of exfiltration applies to both the intentional and unintentional exfiltration of information. Techniques used to prevent the exfiltration of information from systems may be implemented at internal endpoints, external boundaries, and across managed interfaces and include adherence to protocol formats, monitoring for beaconing activity from systems, disconnecting external network interfaces except when explicitly needed, employing traffic profile analysis to detect deviations from the volume and types of traffic expected, call backs to command and control centers, conducting penetration testing, monitoring for steganography, disassembling and reassembling packet headers, and using data loss and data leakage prevention tools. Devices that enforce strict adherence to protocol formats include deep packet inspection firewalls and Extensible Markup Language (XML) gateways. The devices verify adherence to protocol formats and specifications at the application layer and identify vulnerabilities that cannot be detected by devices that operate at the network or transport layers. The prevention of exfiltration is similar to data loss prevention or data leakage prevention and is closely associated with cross-domain solutions and system guards that enforce information flow requirements.", ,Not Found,No,,,
SC-07 (12),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (12),Yes,Boundary Protection | Host-based Protection,Implement [Assignment: organization-defined host-based boundary protection mechanisms] at [Assignment: organization-defined system components].,"Host-based boundary protection mechanisms include host-based firewalls. System components that employ host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices.","SC-7 (12)-1 [Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall] ","SC-7 (12)-1 [Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall] ",Yes, ,X,
SC-07 (18),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (18),Yes,Boundary Protection | Fail Secure,Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device.,"Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways that reside on protected subnetworks (commonly referred to as demilitarized zones). Failures of boundary protection devices cannot lead to or cause information external to the devices to enter the devices nor can failures permit unauthorized information releases.",,,Yes, ,,
SC-07 (20),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (20),No,Boundary Protection | Dynamic Isolation and Segregation,Provide the capability to dynamically isolate [Assignment: organization-defined system components] from other system components.,The capability to dynamically isolate certain internal system components is useful when it is necessary to partition or separate system components of questionable origin from components that possess greater trustworthiness. Component isolation reduces the attack surface of organizational systems. Isolating selected system components can also limit the damage from successful attacks when such attacks occur.,,Not Found,No, ,,
SC-07 (21),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-7 (21),No,Boundary Protection | Isolation of System Components,Employ boundary protection mechanisms to isolate [Assignment: organization-defined system components] supporting [Assignment: organization-defined missions and/or business functions].,"Organizations can isolate system components that perform different mission or business functions. Such isolation limits unauthorized information flows among system components and provides the opportunity to deploy greater levels of protection for selected system components. Isolating system components with boundary protection mechanisms provides the capability for increased protection of individual system components and to more effectively control information flows between those components. Isolating system components provides enhanced protection that limits the potential harm from hostile cyber-attacks and errors. The degree of isolation varies depending upon the mechanisms chosen. Boundary protection mechanisms include routers, gateways, and firewalls that separate system components into physically separate networks or subnetworks; cross-domain devices that separate subnetworks; virtualization techniques; and the encryption of information flows among system components using distinct encryption keys.",,Not Found,No, ,,
SC-08,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-8,Yes,Transmission Confidentiality and Integrity,Protect the [Selection (one or more): confidentiality; integrity] of transmitted information.,"Protecting the confidentiality and integrity of transmitted information applies to internal and external networks as well as any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical or logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a wireline or fiber-optics telecommunications system that includes terminals and adequate electromagnetic, acoustical, electrical, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques.
 Organizations that rely on commercial providers who offer transmission services as commodity services rather than as fully dedicated services may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunications service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls.",SC-8 [confidentiality AND integrity],SC-8 [confidentiality AND integrity],Yes,"SC-8 Guidance:
For each instance of data in transit, confidentiality AND integrity should be through cryptography as specified in SC-8 (1),  physical means as specified in SC-8 (5), or in combination.

For clarity, this control applies to all data in transit. Examples include the following data flows:
 - Crossing the system boundary
 - Between compute instances - including containers
 - From a compute instance to storage
 - Replication between availability zones
 - Transmission of backups to storage
 - From a load balancer to a compute instance
 - Flows from management tools required for their work – e.g. log collection, scanning, etc.

The following applies only when choosing SC-8 (5) in lieu of SC-8 (1).
FedRAMP-Defined Assignment / Selection Parameters 
SC-8 (5)-1 [a hardened or alarmed carrier Protective Distribution System (PDS) when outside of Controlled Access Area (CAA)]
SC-8 (5)-2 [prevent unauthorized disclosure of information AND detect changes to information] 

SC-8 Guidance:
SC-8 (5) applies when physical protection has been selected as the method to protect confidentiality and integrity. For physical protection, data in transit must be in either a Controlled Access Area (CAA), or a Hardened or alarmed PDS.

Hardened or alarmed PDS: Shall be as defined in SECTION X - CATEGORY 2 PDS INSTALLATION GUIDANCE of CNSSI No.7003, titled PROTECTED DISTRIBUTION SYSTEMS (PDS). Per the CNSSI No. 7003 Section VIII, PDS must originate and terminate in a Controlled Access Area (CAA). 

Controlled Access Area (CAA): Data will be considered physically protected, and in a CAA if it meets Section 2.3 of the DHS’s Recommended Practice: Improving Industrial Control System Cybersecurity with Defense-in-Depth Strategies. CSPs can meet Section 2.3 of the DHS’ recommended practice by satisfactory implementation of the following controls PE-2 (1), PE-2 (2), PE-2 (3), PE-3 (2), PE-3 (3), PE-6 (2), and PE-6 (3).

Note: When selecting SC-8 (5), the above SC-8(5), and the above referenced PE controls must be added to the SSP.

CNSSI No.7003 can be accessed here:
https://www.dcsa.mil/Portals/91/documents/ctp/nao/CNSSI_7003_PDS_September_2015.pdf 

DHS Recommended Practice: Improving Industrial Control System Cybersecurity with Defense-in-Depth Strategies can be accessed here:
https://us-cert.cisa.gov/sites/default/files/FactSheets/NCCIC%20ICS_FactSheet_Defense_in_Depth_Strategies_S508C.pdf ",X,
SC-08 (01),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-8 (1),Yes,Transmission Confidentiality and Integrity | Cryptographic Protection,Implement cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission.,"Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have applications in digital signatures, checksums, and message authentication codes.",SC-8 (1) [prevent unauthorized disclosure of information AND detect changes to information] ,SC-8 (1) [prevent unauthorized disclosure of information AND detect changes to information] ,Yes,"SC-8 (1) Requirement: Please ensure SSP Section 10.3 Cryptographic Modules Implemented for Data At Rest (DAR) and Data In Transit (DIT) is fully populated for reference in this control.

SC-8 (1) Guidance:
See M-22-09, including ""Agencies encrypt all DNS requests and HTTP traffic within their environment""

SC-8 (1) applies when encryption has been selected as the method to protect confidentiality and integrity. Otherwise refer to SC-8 (5). SC-8 (1) is strongly encouraged.

SC-8 (1) Guidance: Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.)

SC-8 (1) Guidance: When leveraging encryption from the underlying IaaS/PaaS: While some IaaS/PaaS services provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.   ",X,
SC-10,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-10,Yes,Network Disconnect,Terminate the network connection associated with a communications session at the end of the session or after [Assignment: organization-defined time period] of inactivity.,Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses.,SC-10  [no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions],SC-10 [no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions],No, ,X,
SC-12,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-12,Yes,Cryptographic Key Establishment and Management,"Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: [Assignment: organization-defined requirements for key generation, distribution, storage, access, and destruction].","Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and specify appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. NIST CMVP and NIST CAVP provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment.",SC-12 [In accordance with Federal requirements],SC-12 [In accordance with Federal requirements],Yes,"SC-12 Guidance: See references in NIST 800-53 documentation.

SC-12 Guidance: Must meet applicable Federal Cryptographic Requirements. See References Section of control.

SC-12 Guidance: Wildcard certificates may be used internally within the system, but are not permitted for external customer access to the system.",X,
SC-12 (01),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-12 (1),No,Cryptographic Key Establishment and Management | Availability,Maintain availability of information in the event of the loss of cryptographic keys by users.,Escrowing of encryption keys is a common practice for ensuring availability in the event of key loss. A forgotten passphrase is an example of losing a cryptographic key.,,Not Found,No,,,
SC-13,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-13,Yes,Cryptographic Protection,"a. Determine the [Assignment: organization-defined cryptographic uses]; and
 b. Implement the following types of cryptography required for each specified cryptographic use: [Assignment: organization-defined types of cryptography for each specified cryptographic use].","Cryptography can be employed to support a variety of security solutions, including the protection of classified information and controlled unclassified information, the provision and implementation of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.",SC-13 (b) [FIPS-validated or NSA-approved cryptography],SC-13 (b) [FIPS-validated or NSA-approved cryptography],Yes,"SC-13 Guidance:
This control applies to all use of cryptography. In addition to encryption, this includes functions such as hashing, random number generation, and key generation. Examples include the following:
 - Encryption of data
 - Decryption of data
 - Generation of one time passwords (OTPs) for MFA
 - Protocols such as TLS, SSH, and HTTPS

The requirement for FIPS 140 validation, as well as timelines for acceptance of FIPS 140-2, and 140-3 can be found at the NIST Cryptographic Module Validation Program (CMVP).
https://csrc.nist.gov/projects/cryptographic-module-validation-program 

SC-13 Guidance: For NSA-approved cryptography, the National Information Assurance Partnership (NIAP) oversees a national program to evaluate Commercial IT Products for Use in National Security Systems. The NIAP Product Compliant List can be found at the following location:
https://www.niap-ccevs.org/Product/index.cfm 

SC-13 Guidance: When leveraging encryption from underlying IaaS/PaaS: While some IaaS/PaaS provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured. 

SC-13 Guidance:
Moving to non-FIPS CM or product is acceptable when:
- FIPS validated version has a known vulnerability
- Feature with vulnerability is in use
- Non-FIPS version fixes the vulnerability
- Non-FIPS version is submitted to NIST for FIPS validation
- POA&M is added to track approval, and deployment when ready

SC-13 Guidance: At a minimum, this control applies to cryptography in use for the following controls: AU-9(3), CP-9(8), IA-2(6), IA-5(1), MP-5, SC-8(1), and SC-28(1).",X,
SC-15,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-15,Yes,Collaborative Computing Devices and Applications,"a. Prohibit remote activation of collaborative computing devices and applications with the following exceptions: [Assignment: organization-defined exceptions where remote activation is to be allowed]; and
 b. Provide an explicit indication of use to users physically present at the devices.","Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. The explicit indication of use includes signals to users when collaborative computing devices and applications are activated.",SC-15 (a) [no exceptions for computing devices],SC-15 (a) [no exceptions for computing devices],Yes,SC-15 Requirement: The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.,X,
SC-17,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-17,Yes,Public Key Infrastructure Certificates,"a. Issue public key certificates under an [Assignment: organization-defined certificate policy] or obtain public key certificates from an approved service provider; and
 b. Include only approved trust anchors in trust stores or certificate stores managed by the organization.","Public key infrastructure (PKI) certificates are certificates with visibility external to organizational systems and certificates related to the internal operations of systems, such as application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates.",,,Yes, ,,
SC-18,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-18,Yes,Mobile Code,"a. Define acceptable and unacceptable mobile code and mobile code technologies; and
 b. Authorize, monitor, and control the use of mobile code within the system.","Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java applets, JavaScript, HTML5, WebGL, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source.",,,Yes, ,,
SC-20,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-20,Yes,Secure Name/address Resolution Service (authoritative Source),"a. Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and
 b. Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.","Providing authoritative source information enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security Extensions (DNSSEC) digital signatures and cryptographic keys. Authoritative data includes DNS resource records. The means for indicating the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data.",,,Yes,"SC-20 Requirement:
Control Description should include how DNSSEC is implemented on authoritative DNS servers to supply valid responses to external DNSSEC requests.

SC-20 Requirement: Authoritative DNS servers must be geolocated in accordance with SA-9 (5).

SC-20 Guidance: SC-20 applies to use of external authoritative DNS to access a CSO from outside the boundary.

SC-20 Guidance:
External authoritative DNS servers may be located outside an authorized environment. Positioning these servers inside an authorized boundary is encouraged.

SC-20 Guidance: CSPs are recommended to self-check DNSSEC configuration through one of many available analyzers such as Sandia National Labs (https://dnsviz.net)",,
SC-21,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-21,Yes,Secure Name/address Resolution Service (recursive or Caching Resolver),Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.,"Each client of name resolution services either performs this validation on its own or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host and service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data.",,,Yes,"SC-21 Requirement:
Control description should include how DNSSEC is implemented on recursive DNS servers to make DNSSEC requests when resolving DNS requests from internal components to domains external to the CSO boundary.
- If the reply is signed, and fails DNSSEC, do not use the reply
- If the reply is unsigned:
   -- CSP chooses the policy to apply

SC-21 Requirement:
Internal recursive DNS servers must be located inside an authorized environment. It is typically within the boundary, or leveraged from an underlying IaaS/PaaS.

SC-21 Guidance: Accepting an unsigned reply is acceptable

SC-21 Guidance:
SC-21 applies to use of internal recursive DNS to access a domain outside the boundary by a component inside the boundary.
- DNSSEC resolution to access a component inside the boundary is excluded.",,
SC-22,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-22,Yes,Architecture and Provisioning for Name/address Resolution Service,Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation.,"Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers—one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks, including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles (e.g., by address ranges and explicit lists).",,,Yes, ,,
SC-23,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-23,Yes,Session Authenticity,Protect the authenticity of communications sessions.,"Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against man-in-the-middle attacks, session hijacking, and the insertion of false information into sessions.",,,Yes, ,,
SC-24,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-24,No,Fail in Known State,Fail to a [Assignment: organization-defined known system state] for the following failures on the indicated components while preserving [Assignment: organization-defined system state information] in failure: [Assignment: list of organization-defined types of system failures on organization-defined system components].,"Failure in a known state addresses security concerns in accordance with the mission and business needs of organizations. Failure in a known state prevents the loss of confidentiality, integrity, or availability of information in the event of failures of organizational systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving system state information facilitates system restart and return to the operational mode with less disruption of mission and business processes.",,Not Found,No,,,
SC-28,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-28,Yes,Protection of Information at Rest,Protect the [Selection (one or more): confidentiality; integrity] of the following information at rest: [Assignment: organization-defined information at rest].,"Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather on the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information that requires protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authentication information. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing write-once-read-many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure offline storage in lieu of online storage.",SC-28 [confidentiality AND integrity],SC-28 [confidentiality AND integrity],Yes,"SC-28 Guidance: The organization supports the capability to use cryptographic mechanisms to protect information at rest. 

SC-28 Guidance: When leveraging encryption from underlying IaaS/PaaS: While some IaaS/PaaS services provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.  

SC-28 Guidance: Note that this enhancement requires the use of cryptography in accordance with SC-13.",X,
SC-28 (01),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-28 (1),Yes,Protection of Information at Rest | Cryptographic Protection,Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on [Assignment: organization-defined system components or media]: [Assignment: organization-defined information].,"The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields.",SC-28 (1)-1 [all information system components storing Federal data or system data that must be protected at the High or Moderate impact levels],SC-28 (1)-1 [all information system components storing Federal data or system data that must be protected at the High or Moderate impact levels],Yes,"SC-28 (1) Guidance: 
Organizations should select a mode of protection that is targeted towards the relevant threat scenarios. 
Examples:
A. Organizations may apply full disk encryption (FDE) to a mobile device where the primary threat is loss of the device while storage is locked. 
B. For a database application housing data for a single customer, encryption at the file system level would often provide more protection than FDE against the more likely threat of an intruder on the operating system accessing the storage.
C. For a database application housing data for multiple customers, encryption with unique keys for each customer at the database record level may be more appropriate.
",X,
SC-39,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-39,Yes,Process Isolation,Maintain a separate execution domain for each executing system process.,"Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies.",,,Yes, ,,
SC-45,SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-45,Yes,System Time Synchronization,Synchronize system clocks within and between systems and system components.,"Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes that involve certificates and time-of-day restrictions as part of access control. Denial of service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, such as clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities—such as access control and identification and authentication—depending on the nature of the mechanisms used to support the capabilities.",,,Yes,,,
SC-45 (01),SYSTEM AND COMMUNICATIONS PROTECTION,System And Communications Protection,SC-45 (1),Yes,System Time Synchronization | Synchronization with Authoritative Time Source," (a) Compare the internal system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source]; and
 (b) Synchronize the internal system clocks to the authoritative time source when the time difference is greater than [Assignment: organization-defined time period].",Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network.,"SC-45 (1) (a) [At least hourly] [http://tf.nist.gov/tf-cgi/servers.cgi] 
SC-45 (1) (b) [any difference]","SC-45 (1) (a) [At least hourly] [http://tf.nist.gov/tf-cgi/servers.cgi] 
SC-45 (1) (b) [any difference]",Yes,"SC-45 (1) Requirement: The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.
SC-45 (1) Requirement: The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.
SC-45 (1) Guidance: Synchronization of system clocks improves the accuracy of log analysis.
",X,
SI-01,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] system and information integrity policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and
 c. Review and update the current system and information integrity:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","System and information integrity policy and procedures address the controls in the SI family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and information integrity policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and information integrity policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","SI-1 (c) (1) [at least annually]
SI-1 (c) (2) [at least annually] [significant changes]","SI-1 (c) (1) [at least every 3 years] 
SI-1 (c) (2) [at least annually] [significant changes]",No, ,X,
SI-02,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-2,Yes,Flaw Remediation,"a. Identify, report, and correct system flaws;
 b. Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;
 c. Install security-relevant software and firmware updates within [Assignment: organization-defined time period] of the release of the updates; and
 d. Incorporate flaw remediation into the organizational configuration management process.","The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified.
 Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system, the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw), the organizational risk tolerance, the mission supported by the system, or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, such as when implementing simple malicious code signature updates. In testing decisions, organizations consider whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.",SI-2 (c) [within thirty (30) days of release of updates],SI-2 (c) [within thirty (30) days of release of updates],Yes, ,X,
SI-02 (02),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-2 (2),Yes,Flaw Remediation | Automated Flaw Remediation Status,Determine if system components have applicable security-relevant software and firmware updates installed using [Assignment: organization-defined automated mechanisms] [Assignment: organization-defined frequency].,Automated mechanisms can track and determine the status of known flaws for system components.,"SI-2 (2)-2 [at least monthly] 
","SI-2 (2)-2 [at least monthly] 
",Yes, ,X,
SI-02 (03),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-2 (3),Yes,Flaw Remediation | Time to Remediate Flaws and Benchmarks for Corrective Actions," (a) Measure the time between flaw identification and flaw remediation; and
 (b) Establish the following benchmarks for taking corrective actions: [Assignment: organization-defined benchmarks].","Organizations determine the time it takes on average to correct system flaws after such flaws have been identified and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited.",,,Yes, ,,
SI-03,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-3,Yes,Malicious Code Protection,"a. Implement [Selection (one or more): signature based; non-signature based] malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;
 b. Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;
 c. Configure malicious code protection mechanisms to:
 1. Perform periodic scans of the system [Assignment: organization-defined frequency] and real-time scans of files from external sources at [Selection (one or more): endpoint; network entry and exit points] as the files are downloaded, opened, or executed in accordance with organizational policy; and
 2. [Selection (one or more): block malicious code; quarantine malicious code; take [Assignment: organization-defined action]]; and send alert to [Assignment: organization-defined personnel or roles] in response to malicious code detection; and
 d. Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system.","System entry and exit points include firewalls, remote access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code.
 Malicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do not yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing the execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software as well as custom-built software and could include logic bombs, backdoors, and other types of attacks that could affect organizational mission and business functions.
 In situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine that, in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, the detection of malicious downloads, or the detection of maliciousness when attempting to open or execute files.","SI-3 (a) [signature based and non-signature based]
SI-3 (c) (1)-1 [at least weekly] 
SI-3 (c) (1)-2 [to include endpoints and network entry and exit points]
SI-3 (c) (2)-1 [to include blocking and quarantining malicious code]
SI-3 (c) (2)-2 [administrator or defined security personnel near-realtime]","SI-3 (a) [signature based and non-signature based]
SI-3 (c) (1)-1 [at least weekly] 
SI-3 (c) (1)-2 [to include endpoints and network entry and exit points]
SI-3 (c) (2)-1 [to include blocking and quarantining malicious code]
SI-3 (c) (2)-2 [administrator or defined security personnel near-realtime]",Yes, ,X,
SI-04,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4,Yes,System Monitoring,"a. Monitor the system to detect:
 1. Attacks and indicators of potential attacks in accordance with the following monitoring objectives: [Assignment: organization-defined monitoring objectives]; and
 2. Unauthorized local, network, and remote connections;
 b. Identify unauthorized use of the system through the following techniques and methods: [Assignment: organization-defined techniques and methods];
 c. Invoke internal monitoring capabilities or deploy monitoring devices:
 1. Strategically within the system to collect organization-determined essential information; and
 2. At ad hoc locations within the system to track specific types of transactions of interest to the organization;
 d. Analyze detected events and anomalies;
 e. Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;
 f. Obtain legal opinion regarding system monitoring activities; and
 g. Provide [Assignment: organization-defined system monitoring information] to [Assignment: organization-defined personnel or roles] [Selection (one or more): as needed; [Assignment: organization-defined frequency]].","System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at external interfaces to the system. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capabilities are achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software.
 Depending on the security architecture, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries as well as at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms that support critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls SC-7 and AC-17. The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hypertext Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs, and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., AC-2g, AC-2 (7), AC-2 (12) (a), AC-17 (1), AU-13, AU-13 (1), AU-13 (2), CM-3f, CM-6d, MA-3a, MA-4a, SC-5 (3) (b), SC-7a, SC-7 (24) (b), SC-18b, SC-43b). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.",,,Yes,SI-4 Guidance: See US-CERT Incident Response Reporting Guidelines. ,,
SI-04 (01),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (1),Yes,System Monitoring | System-wide Intrusion Detection System,Connect and configure individual intrusion detection tools into a system-wide intrusion detection system.,"Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capabilities. The information contained in one intrusion detection tool can be shared widely across the organization, making the system-wide detection capability more robust and powerful.",,,Yes, ,,
SI-04 (02),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (2),Yes,System Monitoring | Automated Tools and Mechanisms for Real-time Analysis,Employ automated tools and mechanisms to support near real-time analysis of events.,"Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or security information and event management (SIEM) technologies that provide real-time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.",,,Yes, ,,
SI-04 (04),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (4),Yes,System Monitoring | Inbound and Outbound Communications Traffic," (a) Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic;
 (b) Monitor inbound and outbound communications traffic [Assignment: organization-defined frequency] for [Assignment: organization-defined unusual or unauthorized activities or conditions].","Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic includes internal traffic that indicates the presence of malicious code or unauthorized use of legitimate code or credentials within organizational systems or propagating among system components, signaling to external systems, and the unauthorized exporting of information. Evidence of malicious code or unauthorized use of legitimate code or credentials is used to identify potentially compromised systems or system components.",SI-4 (4) (b)-1 [continuously],SI-4 (4) (b)-1 [continuously],Yes, ,X,
SI-04 (05),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (5),Yes,System Monitoring | System-generated Alerts,Alert [Assignment: organization-defined personnel or roles] when the following system-generated indications of compromise or potential compromise occur: [Assignment: organization-defined compromise indicators].,"Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, information owners/stewards, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. In contrast to alerts generated by the system, alerts generated by organizations in SI-4 (12) focus on information sources external to the system, such as suspicious activity reports and reports on potential insider threats.",,,Yes,SI-4 (5) Guidance: In accordance with the incident response plan.,,
SI-04 (10),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (10),No,System Monitoring | Visibility of Encrypted Communications,Make provisions so that [Assignment: organization-defined encrypted communications traffic] is visible to [Assignment: organization-defined system monitoring tools and mechanisms].,"Organizations balance the need to encrypt communications traffic to protect data confidentiality with the need to maintain visibility into such traffic from a monitoring perspective. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.",,Not Found,No,SI-4 (10) Requirement: The service provider must support Agency requirements to comply with M-21-31 (https://www.whitehouse.gov/wp-content/uploads/2021/08/M-21-31-Improving-the-Federal-Governments-Investigative-and-Remediation-Capabilities-Related-to-Cybersecurity-Incidents.pdf) and M-22-09 (https://www.whitehouse.gov/wp-content/uploads/2022/01/M-22-09.pdf).,,
SI-04 (11),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (11),No,System Monitoring | Analyze Communications Traffic Anomalies,Analyze outbound communications traffic at the external interfaces to the system and selected [Assignment: organization-defined interior points within the system] to discover anomalies.,"Organization-defined interior points include subnetworks and subsystems. Anomalies within organizational systems include large file transfers, long-time persistent connections, attempts to access information from unexpected locations, the use of unusual protocols and ports, the use of unmonitored network protocols (e.g., IPv6 usage during IPv4 transition), and attempted communications with suspected malicious external addresses.",,Not Found,No, ,,
SI-04 (12),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (12),No,System Monitoring | Automated Organization-generated Alerts,Alert [Assignment: organization-defined personnel or roles] using [Assignment: organization-defined automated mechanisms] when the following indications of inappropriate or unusual activities with security or privacy implications occur: [Assignment: organization-defined activities that trigger alerts].,"Organizational personnel on the system alert notification list include system administrators, mission or business owners, system owners, senior agency information security officer, senior agency official for privacy, system security officers, or privacy officers. Automated organization-generated alerts are the security alerts generated by organizations and transmitted using automated means. The sources for organization-generated alerts are focused on other entities such as suspicious activity reports and reports on potential insider threats. In contrast to alerts generated by the organization, alerts generated by the system in SI-4 (5) focus on information sources that are internal to the systems, such as audit records.",,Not Found,No,,,
SI-04 (14),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (14),No,System Monitoring | Wireless Intrusion Detection,Employ a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises or breaches to the system.,"Wireless signals may radiate beyond organizational facilities. Organizations proactively search for unauthorized wireless connections, including the conduct of thorough scans for unauthorized wireless access points. Wireless scans are not limited to those areas within facilities containing systems but also include areas outside of facilities to verify that unauthorized wireless access points are not connected to organizational systems.",,Not Found,No, ,,
SI-04 (16),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (16),Yes,System Monitoring | Correlate Monitoring Information,Correlate information from monitoring tools and mechanisms employed throughout the system.,"Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation—including malicious code protection software, host monitoring, and network monitoring—can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding the capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the use of information generated by those tools and mechanisms can help organizations develop, operate, and maintain effective monitoring programs. The correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).",,,Yes, ,,
SI-04 (18),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (18),Yes,System Monitoring | Analyze Traffic and Covert Exfiltration,Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: [Assignment: organization-defined interior points within the system].,Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography., , ,Yes,,,
SI-04 (19),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (19),No,System Monitoring | Risk for Individuals,Implement [Assignment: organization-defined additional monitoring] of individuals who have been identified by [Assignment: organization-defined sources] as posing an increased level of risk.,"Indications of increased risk from individuals can be obtained from different sources, including personnel records, intelligence agencies, law enforcement organizations, and other sources. The monitoring of individuals is coordinated with the management, legal, security, privacy, and human resource officials who conduct such monitoring. Monitoring is conducted in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.",,Not Found,No,,,
SI-04 (20),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (20),No,System Monitoring | Privileged Users,Implement the following additional monitoring of privileged users: [Assignment: organization-defined additional monitoring].,"Privileged users have access to more sensitive information, including security-related information, than the general user population. Access to such information means that privileged users can potentially do greater damage to systems and organizations than non-privileged users. Therefore, implementing additional monitoring on privileged users helps to ensure that organizations can identify malicious activity at the earliest possible time and take appropriate actions.",,Not Found,No,,,
SI-04 (22),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (22),No,System Monitoring | Unauthorized Network Services," (a) Detect network services that have not been authorized or approved by [Assignment: organization-defined authorization or approval processes]; and
 (b) [Selection (one or more): Audit; Alert [Assignment: organization-defined personnel or roles]] when detected.",Unauthorized or unapproved network services include services in service-oriented architectures that lack organizational verification or validation and may therefore be unreliable or serve as malicious rogues for valid services.,,Not Found,No, ,,
SI-04 (23),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-4 (23),Yes,System Monitoring | Host-based Devices,Implement the following host-based monitoring mechanisms at [Assignment: organization-defined system components]: [Assignment: organization-defined host-based monitoring mechanisms].,"Host-based monitoring collects information about the host (or system in which it resides). System components in which host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors.",,,Yes, ,,
SI-05,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-5,Yes,"Security Alerts, Advisories, and Directives","a. Receive system security alerts, advisories, and directives from [Assignment: organization-defined external organizations] on an ongoing basis;
 b. Generate internal security alerts, advisories, and directives as deemed necessary;
 c. Disseminate security alerts, advisories, and directives to: [Selection (one or more): [Assignment: organization-defined personnel or roles]; [Assignment: organization-defined elements within the organization]; [Assignment: organization-defined external organizations]]; and
 d. Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance.","The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the Federal Government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations.","SI-5 (a) [to include US-CERT and Cybersecurity and Infrastructure Security Agency (CISA) Directives]
SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]","SI-5 (a) [to include US-CERT and Cybersecurity and Infrastructure Security Agency (CISA) Directives]
SI-5 (c) [to include system security personnel and administrators with configuration/patch-management responsibilities]",Yes,SI-5 Requirement: Service Providers must address the CISA Emergency and Binding Operational Directives applicable to their cloud service offering per FedRAMP guidance.  This includes listing the applicable directives and stating compliance status.,X,
SI-05 (01),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-5 (1),No,"Security Alerts, Advisories, and Directives | Automated Alerts and Advisories",Broadcast security alert and advisory information throughout the organization using [Assignment: organization-defined automated mechanisms].,"The significant number of changes to organizational systems and environments of operation requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational mission and business functions. Based on information provided by security alerts and advisories, changes may be required at one or more of the three levels related to the management of risk, including the governance level, mission and business process level, and the information system level.",,Not Found,No, ,,
SI-06,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-6,Yes,Security and Privacy Function Verification,"a. Verify the correct operation of [Assignment: organization-defined security and privacy functions];
 b. Perform the verification of the functions specified in SI-6a [Selection (one or more): [Assignment: organization-defined system transitional states]; upon command by user with appropriate privilege; [Assignment: organization-defined frequency]];
 c. Alert [Assignment: organization-defined personnel or roles] to failed security and privacy verification tests; and
 d. [Selection (one or more): Shut the system down; Restart the system; [Assignment: organization-defined alternative action (s)]] when anomalies are discovered.","Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy or that privacy attributes are applied or used as expected.","SI-6 (b) -1 [to include upon system startup and/or restart] -2 [at least monthly]
SI-6 (c) [to include system administrators and security personnel]","SI-6 (b) -1 [to include upon system startup and/or restart] -2 [at least monthly]
SI-6 (c) [to include system administrators and security personnel]",Yes, ,X,
SI-07,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-7,Yes,"Software, Firmware, and Information Integrity","a. Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: [Assignment: organization-defined software, firmware, and information]; and
 b. Take the following actions when unauthorized changes to the software, firmware, and information are detected: [Assignment: organization-defined actions].","Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components, such as kernels or drivers), middleware, and applications. Firmware interfaces include Unified Extensible Firmware Interface (UEFI) and Basic Input/Output System (BIOS). Information includes personally identifiable information and metadata that contains security and privacy attributes associated with information. Integrity-checking mechanisms—including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools—can automatically monitor the integrity of systems and hosted applications.",,,Yes, ,,
SI-07 (01),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-7 (1),Yes,"Software, Firmware, and Information Integrity | Integrity Checks","Perform an integrity check of [Assignment: organization-defined software, firmware, and information] [Selection (one or more): at startup; at [Assignment: organization-defined transitional states or security-relevant events]; [Assignment: organization-defined frequency]].","Security-relevant events include the identification of new threats to which organizational systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort.","SI-7 (1)-2 [selection to include security relevant events]  
SI-7 (1)-3 [at least monthly]","SI-7 (1)-2 [selection to include security relevant events]  
SI-7 (1)-3 [at least monthly]",Yes, ,X,
SI-07 (02),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-7 (2),No,"Software, Firmware, and Information Integrity | Automated Notifications of Integrity Violations",Employ automated tools that provide notification to [Assignment: organization-defined personnel or roles] upon discovering discrepancies during integrity verification.,"The employment of automated tools to report system and information integrity violations and to notify organizational personnel in a timely matter is essential to effective risk response. Personnel with an interest in system and information integrity violations include mission and business owners, system owners, senior agency information security official, senior agency official for privacy, system administrators, software developers, systems integrators, information security officers, and privacy officers.",SI-7 (2) [to include the ISSO and/or similar role within the organization],Not Found,No, ,X,
SI-07 (05),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-7 (5),No,"Software, Firmware, and Information Integrity | Automated Response to Integrity Violations",Automatically [Selection (one or more): shut the system down; restart the system; implement [Assignment: organization-defined controls]] when integrity violations are discovered.,"Organizations may define different integrity-checking responses by type of information, specific information, or a combination of both. Types of information include firmware, software, and user data. Specific information includes boot firmware for certain types of machines. The automatic implementation of controls within organizational systems includes reversing the changes, halting the system, or triggering audit alerts when unauthorized modifications to critical security files occur.",,Not Found,No, ,,
SI-07 (07),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-7 (7),Yes,"Software, Firmware, and Information Integrity | Integration of Detection and Response",Incorporate the detection of the following unauthorized changes into the organizational incident response capability: [Assignment: organization-defined security-relevant changes to the system].,"Integrating detection and response helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important for being able to identify and discern adversary actions over an extended time period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or the unauthorized elevation of system privileges.",,,Yes, ,,
SI-07 (15),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-7 (15),No,"Software, Firmware, and Information Integrity | Code Authentication",Implement cryptographic mechanisms to authenticate the following software or firmware components prior to installation: [Assignment: organization-defined software or firmware components].,Cryptographic authentication includes verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code. Organizations that employ cryptographic mechanisms also consider cryptographic key management solutions.,SI-7 (15) [to include all software and firmware inside the boundary],Not Found,No,,X,
SI-08,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-8,Yes,Spam Protection,"a. Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and
 b. Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.","System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions.",,,Yes,"SI-8 Guidance: 
When CSO sends email on behalf of the government as part of the business offering, Control Description should include implementation of Domain-based Message Authentication, Reporting & Conformance (DMARC) on the sending domain for outgoing messages as described in DHS Binding Operational Directive (BOD) 18-01.
https://cyber.dhs.gov/bod/18-01/ 

SI-8 Guidance: CSPs should confirm DMARC configuration (where appropriate) to ensure that policy=reject and the rua parameter includes reports@dmarc.cyber.dhs.gov.  DMARC compliance should be documented in the SI-08 control implementation solution description, and list the FROM: domain(s) that will be seen by email recipients.",,
SI-08 (02),SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-8 (2),Yes,Spam Protection | Automatic Updates,Automatically update spam protection mechanisms [Assignment: organization-defined frequency].,Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capabilities.,,,Yes, ,,
SI-10,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-10,Yes,Information Input Validation,Check the validity of the following information inputs: [Assignment: organization-defined information inputs to the system].,"Checking the valid syntax and semantics of system inputs—including character set, length, numerical range, and acceptable values—verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of 387, abc, or %K% are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing them to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevents attacks such as cross-site scripting and a variety of injection attacks.",,,Yes,SI-10 Requirement: Validate all information inputs and document any exceptions,,
SI-11,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-11,Yes,Error Handling,"a. Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and
 b. Reveal error messages only to [Assignment: organization-defined personnel or roles].","Organizations consider the structure and content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information, such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information.",SI-11 (b) [to include the ISSO and/or similar role within the organization],SI-11 (b) [to include the ISSO and/or similar role within the organization],Yes, ,X,
SI-12,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-12,Yes,Information Management and Retention,"Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements.","Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, AC-6 (9), AT-4, AU-12, CA-2, CA-3, CA-5, CA-6, CA-7, CA-8, CA-9, CM-2, CM-3, CM-4, CM-6, CM-8, CM-9, CM-12, CM-13, CP-2, IR-6, IR-8, MA-2, MA-4, PE-2, PE-8, PE-16, PE-17, PL-2, PL-4, PL-7, PL-8, PM-5, PM-8, PM-9, PM-18, PM-21, PM-27, PM-28, PM-30, PM-31, PS-2, PS-6, PS-7, PT-2, PT-3, PT-7, RA-2, RA-3, RA-5, RA-8, SA-4, SA-5, SA-8, SA-10, SI-4, SR-2, SR-4, SR-8.",,,Yes, ,,
SI-16,SYSTEM AND INFORMATION INTEGRITY,System And Information Integrity,SI-16,Yes,Memory Protection,Implement the following controls to protect the system memory from unauthorized code execution: [Assignment: organization-defined controls].,Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism.,,,Yes, ,,
SR-01,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-1,Yes,Policy and Procedures,"a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] supply chain risk management policy that:
 (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
 (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
 2. Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;
 b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and
 c. Review and update the current supply chain risk management:
 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and
 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].","Supply chain risk management policy and procedures address the controls in the SR family as well as supply chain-related controls in other families that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of supply chain risk management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to supply chain risk management policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.","SR-1 (a) [to include chief privacy and ISSO and/or similar role or designees]
SR-1 (c) (1) [at least annually]
SR-1 (c) (2) [at least annually] [significant changes]","SR-1 (a) [to include chief privacy and ISSO and/or similar role or designees]
SR-1 (c) (1) [at least every 3 years] 
SR-1 (c) (2) [at least annually] [significant changes]",No,,X,
SR-02,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-2,Yes,Supply Chain Risk Management Plan,"a. Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of the following systems, system components or system services: [Assignment: organization-defined systems, system components, or system services];
 b. Review and update the supply chain risk management plan [Assignment: organization-defined frequency] or as required, to address threat, organizational or environmental changes; and
 c. Protect the supply chain risk management plan from unauthorized disclosure and modification.","The dependence on products, systems, and services from external providers, as well as the nature of the relationships with those providers, present an increasing level of risk to an organization. Threat actions that may increase security or privacy risks include unauthorized production, the insertion or use of counterfeits, tampering, theft, insertion of malicious software and hardware, and poor manufacturing and development practices in the supply chain. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking that requires a coordinated effort across an organization to build trust relationships and communicate with internal and external stakeholders. Supply chain risk management (SCRM) activities include identifying and assessing risks, determining appropriate risk response actions, developing SCRM plans to document response actions, and monitoring performance against plans. The SCRM plan (at the system-level) is implementation specific, providing policy implementation, requirements, constraints and implications. It can either be stand-alone, or incorporated into system security and privacy plans. The SCRM plan addresses managing, implementation, and monitoring of SCRM controls and the development/sustainment of systems across the SDLC to support mission and business functions.
 Because supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a technology, service, system component, or system is fit for purpose, and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations focus their resources on the most critical mission and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy, secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see SA-8).",SR-2 (b) [at least annually],SR-2 (b) [at least annually],Yes,,X,
SR-02 (01),SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-2 (1),Yes,Supply Chain Risk Management Plan | Establish SCRM Team,"Establish a supply chain risk management team consisting of [Assignment: organization-defined personnel, roles, and responsibilities] to lead and support the following SCRM activities: [Assignment: organization-defined supply chain risk management activities].","To implement supply chain risk management plans, organizations establish a coordinated, team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with internal and external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, business continuity, and other relevant functions. Members of the SCRM team are involved in various aspects of the SDLC and, collectively, have an awareness of and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or be included as part of an organizational risk management team.",,,Yes,,,
SR-03,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-3,Yes,Supply Chain Controls and Processes,"a. Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of [Assignment: organization-defined system or system component] in coordination with [Assignment: organization-defined supply chain personnel];
 b. Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: [Assignment: organization-defined supply chain controls]; and
 c. Document the selected and implemented supply chain processes and controls in [Selection: security and privacy plans; supply chain risk management plan; [Assignment: organization-defined document]].","Supply chain elements include organizations, entities, or tools employed for the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain.",,,Yes,"SR-3 Requirement: CSO must document and maintain the supply chain custody, including replacement devices, to ensure the integrity of the devices before being introduced to the boundary. ",,
SR-05,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-5,Yes,"Acquisition Strategies, Tools, and Methods","Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: [Assignment: organization-defined acquisition strategies, contract tools, and procurement methods].","The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls, promote transparency into their processes and security and privacy practices, provide contract language that addresses the prohibition of tainted or counterfeit components, and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements.",,,Yes,,,
SR-06,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-6,Yes,Supplier Assessments and Reviews,"Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide [Assignment: organization-defined frequency].","An assessment and review of supplier risk includes security and supply chain risk management processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate or required to share assessment and review results with other organizations in accordance with any applicable rules, policies, or inter-organizational agreements or contracts.",SR-6 [at least annually],SR-6 [at least annually],Yes,SR-6 Requirement: CSOs must ensure that their supply chain vendors build and test their systems in alignment with NIST SP 800-171 or a commensurate security and compliance framework. CSOs must ensure that vendors are compliant with physical facility access and logical access controls to supplied products.  ,X,
SR-08,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-8,Yes,Notification Agreements,"Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the [Selection (one or more): notification of supply chain compromises; results of assessments or audits; [Assignment: organization-defined information]].",The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes.,SR-8-1 [notification of supply chain compromises and results of assessment or audits],SR-8-1 [notification of supply chain compromises and results of assessment or audits],Yes,SR-8 Requirement: CSOs must ensure and document how they receive notifications from their supply chain vendor of newly discovered vulnerabilities including zero-day vulnerabilities.,X,
SR-09,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-9,No,Tamper Resistance and Detection,"Implement a tamper protection program for the system, system component, or system service.","Anti-tamper technologies, tools, and techniques provide a level of protection for systems, system components, and services against many threats, including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use.",,Not Found,No,SR-9 Requirement: CSOs must ensure vendors provide authenticity of software and patches supplied to the service provider including documenting the safeguards in place. ,,
SR-09 (01),SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-9 (1),No,Tamper Resistance and Detection | Multiple Stages of System Development Life Cycle,"Employ anti-tamper technologies, tools, and techniques throughout the system development life cycle.","The system development life cycle includes research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal. Organizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations use obfuscation and self-checking to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. The customization of systems and system components can make substitutions easier to detect and therefore limit damage.",,Not Found,No,,,
SR-10,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-10,Yes,Inspection of Systems or Components,"Inspect the following systems or system components [Selection (one or more): at random; at [Assignment: organization-defined frequency], upon [Assignment: organization-defined indications of need for inspection]] to detect tampering: [Assignment: organization-defined systems or system components].","The inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components removed from organization-controlled areas. Indications of a need for inspection include changes in packaging, specifications, factory location, or entity in which the part is purchased, and when individuals return from travel to high-risk locations.",,,Yes,,,
SR-11,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-11,Yes,Component Authenticity,"a. Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and
 b. Report counterfeit system components to [Selection (one or more): source of counterfeit component; [Assignment: organization-defined external reporting organizations]; [Assignment: organization-defined personnel or roles]].","Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policies and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA.",,,Yes,SR-11 Requirement: CSOs must ensure that their supply chain vendors provide authenticity of software and patches and the vendor must have a plan to protect the development pipeline. ,,
SR-11 (01),SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-11 (1),Yes,Component Authenticity | Anti-counterfeit Training,"Train [Assignment: organization-defined personnel or roles] to detect counterfeit system components (including hardware, software, and firmware).",None.,,,Yes,,,
SR-11 (02),SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-11 (2),Yes,Component Authenticity | Configuration Control for Component Service and Repair,Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: [Assignment: organization-defined system components].,None.,SR-11 (2) [all],SR-11 (2) [all],Yes,,X,
SR-12,SUPPLY CHAIN RISK MANAGEMENT FAMILY,Supply Chain Risk Management Family,SR-12,Yes,Component Disposal,"Dispose of [Assignment: organization-defined data, documentation, tools, or system components] using the following techniques and methods: [Assignment: organization-defined techniques and methods].","Data, documentation, tools, or system components can be disposed of at any time during the system development life cycle (not only in the disposal or retirement phase of the life cycle). For example, disposal can occur during research and development, design, prototyping, or operations/maintenance and include methods such as disk cleaning, removal of cryptographic keys, partial reuse of components. Opportunities for compromise during disposal affect physical and logical data, including system documentation in paper-based or digital files; shipping and delivery documentation; memory sticks with software code; or complete routers or servers that include permanent media, which contain sensitive or proprietary information. Additionally, proper disposal of system components helps to prevent such components from entering the gray market.",,,Yes,,,
