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CompliAIv4

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Determine if: 3.1.18[a] Mobile devices that process, store, or transmit CUI are identified. 3.1.18[b] Mobile device connections are authorized. 3.1.18[c] Mobile device connections are monitored and logged.
What are the detailed objectives for assessing control 3.1.18?
Security Requirement 3.1.18: Control connection of mobile devices. Assessment Objectives: 3.1.18[a] Mobile devices that process, store, or transmit CUI are identified. 3.1.18[b] Mobile device connections are authorized. 3.1.18[c] Mobile device connections are monitored and logged. Potential Assessment Methods and Objects: Examine: Access control policy; authorizations for mobile device connections to organizational systems; procedures addressing access control for mobile device usage (including restrictions); system design documentation; configuration management plan; system security plan; system audit logs and records; system configuration settings and associated documentation; other relevant documents or records. Interview: Personnel using mobile devices to access organizational systems; system or network administrators; personnel with information security responsibilities. Test: Access control capability authorizing mobile device connections to organizational systems.
What is control 3.1.18 in NIST 800-171A?
Security Requirement 3.1.19: Encrypt CUI on mobile devices and mobile computing platforms.
What does control 3.1.19 entail?
Potential assessment methods and objects for 3.1.19 include: Examine: Access control policy; procedures addressing access control for mobile devices; system design documentation; system configuration settings and associated documentation; encryption mechanisms and associated configuration documentation; system security plan; system audit logs and records; other relevant documents or records. Interview: Personnel with access control responsibilities for mobile devices; system or network administrators; personnel with information security responsibilities. Test: Encryption mechanisms protecting confidentiality of information on mobile devices.
How is control 3.1.19 assessed?
Determine if: 3.1.19[a] Mobile devices and mobile computing platforms that process, store, or transmit CUI are identified. 3.1.19[b] Encryption is employed to protect CUI on identified mobile devices and mobile computing platforms.
What are the detailed objectives for assessing control 3.1.19?
Security Requirement 3.1.19: Encrypt CUI on mobile devices and mobile computing platforms. Assessment Objectives: 3.1.19[a] Mobile devices and mobile computing platforms that process, store, or transmit CUI are identified. 3.1.19[b] Encryption is employed to protect CUI on identified mobile devices and mobile computing platforms. Potential Assessment Methods and Objects: Examine: Access control policy; procedures addressing access control for mobile devices; system design documentation; system configuration settings and associated documentation; encryption mechanisms and associated configuration documentation; system security plan; system audit logs and records; other relevant documents or records. Interview: Personnel with access control responsibilities for mobile devices; system or network administrators; personnel with information security responsibilities. Test: Encryption mechanisms protecting confidentiality of information on mobile devices.
What is control 3.1.19 in NIST 800-171A?
Security Requirement 3.1.20: Verify and control/limit connections to and use of external systems.
What does control 3.1.20 entail?
Potential assessment methods and objects for 3.1.20 include: Examine: Access control policy; procedures addressing connections to external systems; system security plan; system configuration settings and associated documentation; system design documentation; list of external systems that organization connects to; agreements on use of external systems; system audit logs and records; other relevant documents or records. Interview: [SELECT FROM: Personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems; system or network administrators; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms implementing terms and conditions on use of external systems].
How is control 3.1.20 assessed?
Determine if: 3.1.20[a] connections to external systems are identified. 3.1.20[b] the use of external systems is identified. 3.1.20[c] connections to external systems are verified. 3.1.20[d] the use of external systems is verified. 3.1.20[e] connections to external systems are controlled/limited. 3.1.20[f] the use of external systems is controlled/limited.
What are the detailed objectives for assessing control 3.1.20?
Security Requirement 3.1.20: Verify and control/limit connections to and use of external systems. Assessment Objectives: 3.1.20[a] connections to external systems are identified. 3.1.20[b] the use of external systems is identified. 3.1.20[c] connections to external systems are verified. 3.1.20[d] the use of external systems is verified. 3.1.20[e] connections to external systems are controlled/limited. 3.1.20[f] the use of external systems is controlled/limited. Potential Assessment Methods and Objects: Examine: Access control policy; procedures addressing connections to external systems; system security plan; system configuration settings and associated documentation; system design documentation; list of external systems that organization connects to; agreements on use of external systems; system audit logs and records; other relevant documents or records. Interview: [SELECT FROM: Personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems; system or network administrators; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms implementing terms and conditions on use of external systems].
What is control 3.1.20 in NIST 800-171A?
Security Requirement 3.1.21: Limit use of portable storage devices on external systems.
What does control 3.1.21 entail?
Potential assessment methods and objects for 3.1.21 include: Examine: [SELECT FROM: Access control policy; procedures addressing the use of external systems; system security plan; system configuration settings and associated documentation; system connection or processing agreements; account management documents; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external systems; system or network administrators; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms implementing restrictions on use of portable storage devices].
How is control 3.1.21 assessed?
Determine if: 3.1.21[a] the use of portable storage devices containing CUI on external systems is identified and documented. 3.1.21[b] limits on the use of portable storage devices containing CUI on external systems are defined. 3.1.21[c] the use of portable storage devices containing CUI on external systems is limited as defined.
What are the detailed objectives for assessing control 3.1.21?
Security Requirement 3.1.21: Limit use of portable storage devices on external systems. Assessment Objectives: 3.1.21[a] the use of portable storage devices containing CUI on external systems is identified and documented. 3.1.21[b] limits on the use of portable storage devices containing CUI on external systems are defined. 3.1.21[c] the use of portable storage devices containing CUI on external systems is limited as defined. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Access control policy; procedures addressing the use of external systems; system security plan; system configuration settings and associated documentation; system connection or processing agreements; account management documents; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external systems; system or network administrators; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms implementing restrictions on use of portable storage devices].
What is control 3.1.21 in NIST 800-171A?
Security Requirement 3.1.22: Control CUI posted or processed on publicly accessible systems.
What does control 3.1.22 entail?
Potential assessment methods and objects for 3.1.22 include: Examine: [SELECT FROM: Access control policy; procedures addressing publicly accessible content; system security plan; list of users authorized to post publicly accessible content on organizational systems; training materials and/or records; records of publicly accessible information reviews; records of response to nonpublic information on public websites; system audit logs and records; security awareness training records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for managing publicly accessible information posted on organizational systems; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms implementing management of publicly accessible content].
How is control 3.1.22 assessed?
Determine if: 3.1.22[a] individuals authorized to post or process information on publicly accessible systems are identified. 3.1.22[b] procedures to ensure CUI is not posted or processed on publicly accessible systems are identified. 3.1.22[c] a review process is in place prior to posting of any content to publicly accessible systems. 3.1.22[d] content on publicly accessible systems is reviewed to ensure that it does not include CUI. 3.1.22[e] mechanisms are in place to remove and address improper posting of CUI.
What are the detailed objectives for assessing control 3.1.22?
Security Requirement 3.1.22: Control CUI posted or processed on publicly accessible systems. Assessment Objectives: 3.1.22[a] individuals authorized to post or process information on publicly accessible systems are identified. 3.1.22[b] procedures to ensure CUI is not posted or processed on publicly accessible systems are identified. 3.1.22[c] a review process is in place prior to posting of any content to publicly accessible systems. 3.1.22[d] content on publicly accessible systems is reviewed to ensure that it does not include CUI. 3.1.22[e] mechanisms are in place to remove and address improper posting of CUI. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Access control policy; procedures addressing publicly accessible content; system security plan; list of users authorized to post publicly accessible content on organizational systems; training materials and/or records; records of publicly accessible information reviews; records of response to nonpublic information on public websites; system audit logs and records; security awareness training records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for managing publicly accessible information posted on organizational systems; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms implementing management of publicly accessible content].
What is control 3.1.22 in NIST 800-171A?
Security Requirement 3.2.1: Ensure that managers, system administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems.
What does control 3.2.1 entail?
Potential assessment methods and objects for 3.2.1 include: Examine: [SELECT FROM: Security awareness and training policy; procedures addressing security awareness training implementation; relevant codes of federal regulations; security awareness training curriculum; security awareness training materials; system security plan; training records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for security awareness training; personnel with information security responsibilities; personnel composing the general system user community; personnel with responsibilities for role-based awareness training]. Test: [SELECT FROM: Mechanisms managing security awareness training; mechanisms managing role-based security training].
How is control 3.2.1 assessed?
ASSESSMENT OBJECTIVE: Determine if: 3.2.1[a] security risks associated with organizational activities involving CUI are identified. 3.2.1[b] policies, standards, and procedures related to the security of the system are identified. 3.2.1[c] managers, systems administrators, and users of the system are made aware of the security risks associated with their activities. 3.2.1[d] managers, systems administrators, and users of the system are made aware of the applicable policies, standards, and procedures related to the security of the system.
What are the detailed objectives for assessing control 3.2.1?
Security Requirement 3.2.1: Ensure that managers, system administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems. ASSESSMENT OBJECTIVE: Determine if: 3.2.1[a] security risks associated with organizational activities involving CUI are identified. 3.2.1[b] policies, standards, and procedures related to the security of the system are identified. 3.2.1[c] managers, systems administrators, and users of the system are made aware of the security risks associated with their activities. 3.2.1[d] managers, systems administrators, and users of the system are made aware of the applicable policies, standards, and procedures related to the security of the system. Potential assessment methods and objects for 3.2.1 include: Examine: [SELECT FROM: Security awareness and training policy; procedures addressing security awareness training implementation; relevant codes of federal regulations; security awareness training curriculum; security awareness training materials; system security plan; training records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for security awareness training; personnel with information security responsibilities; personnel composing the general system user community; personnel with responsibilities for role-based awareness training]. Test: [SELECT FROM: Mechanisms managing security awareness training; mechanisms managing role-based security training].
What is control 3.2.1 in NIST 800-171A?
Security Requirement 3.2.2: Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities.
What does control 3.2.2 entail?
Potential assessment methods and objects for 3.2.2 include: Examine: [SELECT FROM: Security awareness and training policy; procedures addressing security training implementation; codes of federal regulations; security training curriculum; security training materials; system security plan; training records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for role-based security training; personnel with assigned system security roles and responsibilities; personnel with responsibilities for security awareness training; personnel with information security responsibilities; personnel representing the general system user community]. Test: [SELECT FROM: Mechanisms managing role-based security training; mechanisms managing security awareness training].
How is control 3.2.2 assessed?
Determine if: 3.2.2[a] information security-related duties, roles, and responsibilities are defined. 3.2.2[b] information security-related duties, roles, and responsibilities are assigned to designated personnel. 3.2.2[c] personnel are adequately trained to carry out their assigned information security-related duties, roles, and responsibilities.
What are the detailed objectives for assessing control 3.2.2?
Security Requirement 3.2.3: Provide security awareness training on recognizing and reporting potential indicators of insider threat.
What does control 3.2.3 entail?
Potential assessment methods and objects for 3.2.3 include: Examine: [SELECT FROM: Security awareness and training policy; procedures addressing security awareness training implementation; security awareness training curriculum; security awareness training materials; insider threat policy and procedures; system security plan; other relevant documents or records]. Interview: [SELECT FROM: Personnel that participate in security awareness training; personnel with responsibilities for basic security awareness training; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms managing insider threat training].
How is control 3.2.3 assessed?
Determine if: 3.2.3[a] potential indicators associated with insider threats are identified. 3.2.3[b] security awareness training on recognizing and reporting potential indicators of insider threat is provided to managers and employees
What are the detailed objectives for assessing control 3.2.3?
Security Requirement 3.2.1: Ensure that managers, system administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to the security of those systems. ASSESSMENT OBJECTIVE: Determine if: 3.2.1[a] security risks associated with organizational activities involving CUI are identified. 3.2.1[b] policies, standards, and procedures related to the security of the system are identified. 3.2.1[c] managers, systems administrators, and users of the system are made aware of the security risks associated with their activities. 3.2.1[d] managers, systems administrators, and users of the system are made aware of the applicable policies, standards, and procedures related to the security of the system. Potential assessment methods and objects for 3.2.1 include: Examine: [SELECT FROM: Security awareness and training policy; procedures addressing security awareness training implementation; relevant codes of federal regulations; security awareness training curriculum; security awareness training materials; system security plan; training records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for security awareness training; personnel with information security responsibilities; personnel composing the general system user community; personnel with responsibilities for role-based awareness training]. Test: [SELECT FROM: Mechanisms managing security awareness training; mechanisms managing role-based security training].
What is control 3.2.1 in NIST 800-171A?
Security Requirement 3.2.2: Ensure that personnel are trained to carry out their assigned information security-related duties and responsibilities. Assessment Objectives: Determine if: 3.2.2[a] information security-related duties, roles, and responsibilities are defined. 3.2.2[b] information security-related duties, roles, and responsibilities are assigned to designated personnel. 3.2.2[c] personnel are adequately trained to carry out their assigned information security-related duties, roles, and responsibilities. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Security awareness and training policy; procedures addressing security training implementation; codes of federal regulations; security training curriculum; security training materials; system security plan; training records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibilities for role-based security training; personnel with assigned system security roles and responsibilities; personnel with responsibilities for security awareness training; personnel with information security responsibilities; personnel representing the general system user community]. Test: [SELECT FROM: Mechanisms managing role-based security training; mechanisms managing security awareness training].
What is control 3.2.2 in NIST 800-171A?
Security Requirement 3.2.3: Provide security awareness training on recognizing and reporting potential indicators of insider threat. Assessment Objectives: Determine if: 3.2.3[a] potential indicators associated with insider threats are identified. 3.2.3[b] security awareness training on recognizing and reporting potential indicators of insider threat is provided to managers and employees. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Security awareness and training policy; procedures addressing security awareness training implementation; security awareness training curriculum; security awareness training materials; insider threat policy and procedures; system security plan; other relevant documents or records]. Interview: [SELECT FROM: Personnel that participate in security awareness training; personnel with responsibilities for basic security awareness training; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms managing insider threat training].
What is control 3.2.3 in NIST 800-171A?
Security Requirement 3.3.1: Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.
What does control 3.3.1 entail?
Potential assessment methods and objects for 3.3.1 include: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing auditable events; system security plan; system design documentation; system configuration settings and associated documentation; procedures addressing control of audit records; procedures addressing audit record generation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; personnel with audit review, analysis and reporting responsibilities; system or network administrators]. Test: [SELECT FROM: Mechanisms implementing system audit logging].
How is control 3.3.1 assessed?
Determine if: 3.3.1[a] audit logs needed (i.e., event types to be logged) to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity are specified. 3.3.1[b] the content of audit records needed to support monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity is defined. 3.3.1[c] audit records are created (generated). 3.3.1[d] audit records, once created, contain the defined content. 3.3.1[e] retention requirements for audit records are defined. 3.3.1[f] audit records are retained as defined.
What are the detailed objectives for assessing control 3.3.1?
Security Requirement 3.3.1: Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity. Assessment Objectives: Determine if: 3.3.1[a] audit logs needed (i.e., event types to be logged) to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity are specified. 3.3.1[b] the content of audit records needed to support monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity is defined. 3.3.1[c] audit records are created (generated). 3.3.1[d] audit records, once created, contain the defined content. 3.3.1[e] retention requirements for audit records are defined. 3.3.1[f] audit records are retained as defined. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing auditable events; system security plan; system design documentation; system configuration settings and associated documentation; procedures addressing control of audit records; procedures addressing audit record generation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; personnel with audit review, analysis and reporting responsibilities; system or network administrators]. Test: [SELECT FROM: Mechanisms implementing system audit logging].
What is control 3.3.1 in NIST 800-171A?
Security Requirement 3.3.2: Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions.
What does control 3.3.2 entail?
Potential assessment methods and objects for 3.3.2 include: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit records and event types; system security plan; system design documentation; system configuration settings and associated documentation; procedures addressing audit record generation; procedures addressing audit review, analysis, and reporting; reports of audit findings; system audit logs and records; system events; system incident reports; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Mechanisms implementing system audit logging].
How is control 3.3.2 assessed?
3.3.2[a] the content of the audit records needed to support the ability to uniquely trace users to their actions is defined. 3.3.2[b] audit records, once created, contain the defined content.
What are the detailed objectives for assessing control 3.3.2?
Security Requirement 3.3.2: Ensure that the actions of individual system users can be uniquely traced to those users so they can be held accountable for their actions. Assessment Objectives: 3.3.2[a] the content of the audit records needed to support the ability to uniquely trace users to their actions is defined. 3.3.2[b] audit records, once created, contain the defined content. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit records and event types; system security plan; system design documentation; system configuration settings and associated documentation; procedures addressing audit record generation; procedures addressing audit review, analysis, and reporting; reports of audit findings; system audit logs and records; system events; system incident reports; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Mechanisms implementing system audit logging].
What is control 3.3.2 in NIST 800-171A?
Security Requirement 3.3.3: Review and update logged events.
What does control 3.3.3 entail?
Potential assessment methods and objects for 3.3.3 include: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit records and event types; system security plan; list of organization-defined event types to be logged; reviewed and updated records of logged event types; system audit logs and records; system incident reports; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms supporting review and update of logged event types].
How is control 3.3.3 assessed?
Determine if: 3.3.3[a] a process for determining when to review logged events is defined. 3.3.3[b] event types being logged are reviewed in accordance with the defined review process. 3.3.3[c] event types being logged are updated based on the review.
What are the detailed objectives for assessing control 3.3.3?
Security Requirement 3.3.3: Review and update logged events. Assessment Objectives: Determine if: 3.3.3[a] a process for determining when to review logged events is defined. 3.3.3[b] event types being logged are reviewed in accordance with the defined review process. 3.3.3[c] event types being logged are updated based on the review. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit records and event types; system security plan; list of organization-defined event types to be logged; reviewed and updated records of logged event types; system audit logs and records; system incident reports; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms supporting review and update of logged event types].
What is control 3.3.3 in NIST 800-171A?
Security Requirement 3.3.4: Alert in the event of an audit logging process failure.
What does control 3.3.4 entail?
Potential assessment methods and objects for 3.3.4 include: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing response to audit logging processing failures; system design documentation; system security plan; system configuration settings and associated documentation; list of personnel to be notified in case of an audit logging processing failure; system incident reports; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms implementing system response to audit logging processing failures].
How is control 3.3.4 assessed?
Determine if: 3.3.4[a] personnel or roles to be alerted in the event of an audit logging process failure are identified. 3.3.4[b] types of audit logging process failures for which alert will be generated are defined. 3.3.4[c] identified personnel or roles are alerted in the event of an audit logging process failure.
What are the detailed objectives for assessing control 3.3.4?
Security Requirement 3.3.4: Alert in the event of an audit logging process failure. Assessment Objectives: Determine if: 3.3.4[a] personnel or roles to be alerted in the event of an audit logging process failure are identified. 3.3.4[b] types of audit logging process failures for which alert will be generated are defined. 3.3.4[c] identified personnel or roles are alerted in the event of an audit logging process failure. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing response to audit logging processing failures; system design documentation; system security plan; system configuration settings and associated documentation; list of personnel to be notified in case of an audit logging processing failure; system incident reports; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms implementing system response to audit logging processing failures].
What is control 3.3.4 in NIST 800-171A?
Security Requirement 3.3.5: Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity.
What does control 3.3.5 entail?
Potential assessment methods and objects for 3.3.5 include: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit record review, analysis, and reporting; system security plan; system design documentation; system configuration settings and associated documentation; procedures addressing investigation of and response to suspicious activities; system audit logs and records across different repositories; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit record review, analysis, and reporting responsibilities; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms supporting analysis and correlation of audit records; mechanisms integrating audit review, analysis and reporting].
How is control 3.3.5 assessed?
Determine if: 3.3.5[a] audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity are defined. 3.3.5[b] defined audit record review, analysis, and reporting processes are correlated.
What are the detailed objectives for assessing control 3.3.5?
Security Requirement 3.3.5: Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity. Assessment Objectives: Determine if: 3.3.5[a] audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity are defined. 3.3.5[b] defined audit record review, analysis, and reporting processes are correlated. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit record review, analysis, and reporting; system security plan; system design documentation; system configuration settings and associated documentation; procedures addressing investigation of and response to suspicious activities; system audit logs and records across different repositories; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit record review, analysis, and reporting responsibilities; personnel with information security responsibilities]. Test: [SELECT FROM: Mechanisms supporting analysis and correlation of audit records; mechanisms integrating audit review, analysis and reporting].
What is control 3.3.5 in NIST 800-171A?
Security Requirement 3.3.6: Provide audit record reduction and report generation to support on-demand analysis and reporting.
What does control 3.3.6 entail?
Potential assessment methods and objects for 3.3.6 include: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit record reduction and report generation; system design documentation; system security plan; system configuration settings and associated documentation; audit record reduction, review, analysis, and reporting tools; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit record reduction and report generation responsibilities; personnel with information security responsibilities]. Test: [SELECT FROM: Audit record reduction and report generation capability].
How is control 3.3.6 assessed?
Determine if: 3.3.6[a] an audit record reduction capability that supports on-demand analysis is provided. 3.3.6[b] a report generation capability that supports on-demand reporting is provided.
What are the detailed objectives for assessing control 3.3.6?
Security Requirement 3.3.6: Provide audit record reduction and report generation to support on-demand analysis and reporting. Assessment Objectives: Determine if: 3.3.6[a] an audit record reduction capability that supports on-demand analysis is provided. 3.3.6[b] a report generation capability that supports on-demand reporting is provided. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing audit record reduction and report generation; system design documentation; system security plan; system configuration settings and associated documentation; audit record reduction, review, analysis, and reporting tools; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit record reduction and report generation responsibilities; personnel with information security responsibilities]. Test: [SELECT FROM: Audit record reduction and report generation capability].
What is control 3.3.6 in NIST 800-171A?
Security Requirement 3.3.7: Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records.
What does control 3.3.7 entail?
Potential assessment methods and objects for 3.3.7 include: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing time stamp generation; system design documentation; system security plan; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms implementing time stamp generation; mechanisms implementing internal information system clock synchronization].
How is control 3.3.7 assessed?
Determine if: 3.3.7[a] internal system clocks are used to generate time stamps for audit records. 3.3.7[b] an authoritative source with which to compare and synchronize internal system clocks is specified. 3.3.7[c] internal system clocks used to generate time stamps for audit records are compared to and synchronized with the specified authoritative time source.
What are the detailed objectives for assessing control 3.3.7?
Security Requirement 3.3.7: Provide a system capability that compares and synchronizes internal system clocks with an authoritative source to generate time stamps for audit records. Assessment Objectives: Determine if: 3.3.7[a] internal system clocks are used to generate time stamps for audit records. 3.3.7[b] an authoritative source with which to compare and synchronize internal system clocks is specified. 3.3.7[c] internal system clocks used to generate time stamps for audit records are compared to and synchronized with the specified authoritative time source. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; procedures addressing time stamp generation; system design documentation; system security plan; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms implementing time stamp generation; mechanisms implementing internal information system clock synchronization].
What is control 3.3.7 in NIST 800-171A?
Security Requirement 3.3.8: Protect audit information and audit logging tools from unauthorized access, modification, and deletion.
What does control 3.3.8 entail?
Potential assessment methods and objects for 3.3.8 include: Examine: [SELECT FROM: Audit and accountability policy; access control policy and procedures; procedures addressing protection of audit information; system security plan; system design documentation; system configuration settings and associated documentation, system audit logs and records; audit logging tools; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms implementing audit information protection].
How is control 3.3.8 assessed?
Determine if: 3.3.8[a] audit information is protected from unauthorized access. 3.3.8[b] audit information is protected from unauthorized modification. 3.3.8[c] audit information is protected from unauthorized deletion. 3.3.8[d] audit logging tools are protected from unauthorized access. 3.3.8[e] audit logging tools are protected from unauthorized modification. 3.3.8[f] audit logging tools are protected from unauthorized deletion.
What are the detailed objectives for assessing control 3.3.8?
Security Requirement 3.3.8: Protect audit information and audit logging tools from unauthorized access, modification, and deletion. Assessment Objectives: Determine if: 3.3.8[a] audit information is protected from unauthorized access. 3.3.8[b] audit information is protected from unauthorized modification. 3.3.8[c] audit information is protected from unauthorized deletion. 3.3.8[d] audit logging tools are protected from unauthorized access. 3.3.8[e] audit logging tools are protected from unauthorized modification. 3.3.8[f] audit logging tools are protected from unauthorized deletion. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; access control policy and procedures; procedures addressing protection of audit information; system security plan; system design documentation; system configuration settings and associated documentation, system audit logs and records; audit logging tools; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms implementing audit information protection].
What is control 3.3.8 in NIST 800-171A?
Security Requirement 3.3.9: Limit management of audit logging functionality to a subset of privileged users.
What does control 3.3.9 entail?
Potential assessment methods and objects for 3.3.9 include: Examine: [SELECT FROM: Audit and accountability policy; access control policy and procedures; procedures addressing protection of audit information; system security plan; system design documentation; system configuration settings and associated documentation; access authorizations; system-generated list of privileged users with access to management of audit logging functionality; access control list; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms managing access to audit logging functionality].
How is control 3.3.9 assessed?
Determine if: 3.3.9[a] a subset of privileged users granted access to manage audit logging functionality is defined. 3.3.9[b] management of audit logging functionality is limited to the defined subset of privileged users.
What are the detailed objectives for assessing control 3.3.9?
Security Requirement 3.3.9: Limit management of audit logging functionality to a subset of privileged users. Assessment Objectives: Determine if: 3.3.9[a] a subset of privileged users granted access to manage audit logging functionality is defined. 3.3.9[b] management of audit logging functionality is limited to the defined subset of privileged users. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Audit and accountability policy; access control policy and procedures; procedures addressing protection of audit information; system security plan; system design documentation; system configuration settings and associated documentation; access authorizations; system-generated list of privileged users with access to management of audit logging functionality; access control list; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers]. Test: [SELECT FROM: Mechanisms managing access to audit logging functionality].
What is control 3.3.9 in NIST 800-171A?
Security Requirement 3.4.1: Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles.
What does control 3.4.1 entail?
Potential assessment methods and objects for 3.4.1 include: Examine: [SELECT FROM: Configuration management policy; procedures addressing the baseline configuration of the system; procedures addressing system inventory; system security plan; configuration management plan; system inventory records; inventory review and update records; enterprise architecture documentation; system design documentation; system architecture and configuration documentation; system configuration settings and associated documentation; change control records; system component installation records; system component removal records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with configuration management responsibilities; personnel with responsibilities for establishing the system inventory; personnel with responsibilities for updating the system inventory; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for managing baseline configurations; mechanisms supporting configuration control of the baseline configuration; organizational processes for developing and documenting an inventory of system components; organizational processes for updating inventory of system components; mechanisms supporting or implementing the system inventory; mechanisms implementing updating of the system inventory].
How is control 3.4.1 assessed?
Determine if: 3.4.1[a] a baseline configuration is established. 3.4.1[b] the baseline configuration includes hardware, software, firmware, and documentation. 3.4.1[c] the baseline configuration is maintained (reviewed and updated) throughout the system development life cycle. 3.4.1[d] a system inventory is established. 3.4.1[e] the system inventory includes hardware, software, firmware, and documentation. 3.4.1[f] the inventory is maintained (reviewed and updated) throughout the system development life cycle.
What are the detailed objectives for assessing control 3.4.1?
Security Requirement 3.4.1: Establish and maintain baseline configurations and inventories of organizational systems (including hardware, software, firmware, and documentation) throughout the respective system development life cycles. Assessment Objectives: 3.4.1[a] a baseline configuration is established. 3.4.1[b] the baseline configuration includes hardware, software, firmware, and documentation. 3.4.1[c] the baseline configuration is maintained (reviewed and updated) throughout the system development life cycle. 3.4.1[d] a system inventory is established. 3.4.1[e] the system inventory includes hardware, software, firmware, and documentation. 3.4.1[f] the inventory is maintained (reviewed and updated) throughout the system development life cycle. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Configuration management policy; procedures addressing the baseline configuration of the system; procedures addressing system inventory; system security plan; configuration management plan; system inventory records; inventory review and update records; enterprise architecture documentation; system design documentation; system architecture and configuration documentation; system configuration settings and associated documentation; change control records; system component installation records; system component removal records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with configuration management responsibilities; personnel with responsibilities for establishing the system inventory; personnel with responsibilities for updating the system inventory; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for managing baseline configurations; mechanisms supporting configuration control of the baseline configuration; organizational processes for developing and documenting an inventory of system components; organizational processes for updating inventory of system components; mechanisms supporting or implementing the system inventory; mechanisms implementing updating of the system inventory].
What is control 3.4.1 in NIST 800-171A?
Security Requirement 3.4.2: Establish and enforce security configuration settings for information technology products employed in organizational systems.
What does control 3.4.2 entail?
Potential assessment methods and objects for 3.4.2 include: Examine: [SELECT FROM: Configuration management policy; baseline configuration; procedures addressing configuration settings for the system; configuration management plan; system security plan; system design documentation; system configuration settings and associated documentation; security configuration checklists; evidence supporting approved deviations from established configuration settings; change control records; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with security configuration management responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for managing configuration settings; mechanisms that implement, monitor, and/or control system configuration settings; mechanisms that identify and/or document deviations from established configuration settings; processes for managing baseline configurations; mechanisms supporting configuration control of baseline configurations].
How is control 3.4.2 assessed?
Determine if: 3.4.2[a] security configuration settings for information technology products employed in the system are established and included in the baseline configuration. 3.4.2[b] security configuration settings for information technology products employed in the system are enforced.
What are the detailed objectives for assessing control 3.4.2?
Security Requirement 3.4.2: Establish and enforce security configuration settings for information technology products employed in organizational systems. Assessment Objectives: 3.4.2[a] security configuration settings for information technology products employed in the system are established and included in the baseline configuration. 3.4.2[b] security configuration settings for information technology products employed in the system are enforced. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Configuration management policy; baseline configuration; procedures addressing configuration settings for the system; configuration management plan; system security plan; system design documentation; system configuration settings and associated documentation; security configuration checklists; evidence supporting approved deviations from established configuration settings; change control records; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with security configuration management responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for managing configuration settings; mechanisms that implement, monitor, and/or control system configuration settings; mechanisms that identify and/or document deviations from established configuration settings; processes for managing baseline configurations; mechanisms supporting configuration control of baseline configurations].
What is control 3.4.2 in NIST 800-171A?
Security Requirement 3.4.3: Track, review, approve/disapprove, and audit changes to organizational systems.
What does control 3.4.3 entail?
Potential assessment methods and objects for 3.4.3 include: Examine: [SELECT FROM: Configuration management policy; procedures addressing system configuration change control; configuration management plan; system architecture and configuration documentation; system security plan; change control records; system audit logs and records; change control audit and review reports; agenda/minutes from configuration change control oversight meetings; other relevant documents or records]. Interview: [SELECT FROM: Personnel with configuration change control responsibilities; personnel with information security responsibilities; system or network administrators; members of change control board or similar]. Test: [SELECT FROM: Organizational processes for configuration change control; mechanisms that implement configuration change control].
How is control 3.4.3 assessed?
Determine if: 3.4.3[a] changes to the system are tracked. 3.4.3[b] changes to the system are reviewed. 3.4.3[c] changes to the system are approved or disapproved. 3.4.3[d] changes to the system are logged.
What are the detailed objectives for assessing control 3.4.3?
Security Requirement 3.4.3: Track, review, approve/disapprove, and audit changes to organizational systems. Assessment Objectives: 3.4.3[a] changes to the system are tracked. 3.4.3[b] changes to the system are reviewed. 3.4.3[c] changes to the system are approved or disapproved. 3.4.3[d] changes to the system are logged. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Configuration management policy; procedures addressing system configuration change control; configuration management plan; system architecture and configuration documentation; system security plan; change control records; system audit logs and records; change control audit and review reports; agenda/minutes from configuration change control oversight meetings; other relevant documents or records]. Interview: [SELECT FROM: Personnel with configuration change control responsibilities; personnel with information security responsibilities; system or network administrators; members of change control board or similar]. Test: [SELECT FROM: Organizational processes for configuration change control; mechanisms that implement configuration change control].
What is control 3.4.3 in NIST 800-171A?
Security Requirement 3.4.4: Analyze the security impact of changes prior to implementation.
What does control 3.4.4 entail?
Potential assessment methods and objects for 3.4.4 include: Examine: [SELECT FROM: Configuration management policy; procedures addressing security impact analysis for system changes; configuration management plan; security impact analysis documentation; system security plan; analysis tools and associated outputs; change control records; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibility for conducting security impact analysis; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for security impact analysis].
How is control 3.4.4 assessed?
Determine if the security impact of changes to the system is analyzed prior to implementation.
What are the detailed objectives for assessing control 3.4.4?
Security Requirement 3.4.4: Analyze the security impact of changes prior to implementation. Assessment Objectives: Determine if the security impact of changes to the system is analyzed prior to implementation. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Configuration management policy; procedures addressing security impact analysis for system changes; configuration management plan; security impact analysis documentation; system security plan; analysis tools and associated outputs; change control records; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with responsibility for conducting security impact analysis; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for security impact analysis].
What is control 3.4.4 in NIST 800-171A?
Security Requirement 3.4.5: Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems.
What does control 3.4.5 entail?
Potential assessment methods and objects for 3.4.5 include: Examine: [SELECT FROM: Configuration management policy; procedures addressing access restrictions for changes to the system; system security plan; configuration management plan; system design documentation; system architecture and configuration documentation; system configuration settings and associated documentation; logical access approvals; physical access approvals; access credentials; change control records; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with logical access control responsibilities; personnel with physical access control responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for managing access restrictions associated with changes to the system; mechanisms supporting, implementing, and enforcing access restrictions associated with changes to the system].
How is control 3.4.5 assessed?
Determine if: 3.4.5[a] physical access restrictions associated with changes to the system are defined. 3.4.5[b] physical access restrictions associated with changes to the system are documented. 3.4.5[c] physical access restrictions associated with changes to the system are approved. 3.4.5[d] physical access restrictions associated with changes to the system are enforced. 3.4.5[e] logical access restrictions associated with changes to the system are defined. 3.4.5[f] logical access restrictions associated with changes to the system are documented. 3.4.5[g] logical access restrictions associated with changes to the system are approved. 3.4.5[h] logical access restrictions associated with changes to the system are enforced.
What are the detailed objectives for assessing control 3.4.5?
Security Requirement 3.4.5: Define, document, approve, and enforce physical and logical access restrictions associated with changes to organizational systems. Assessment Objectives: Determine if: 3.4.5[a] physical access restrictions associated with changes to the system are defined. 3.4.5[b] physical access restrictions associated with changes to the system are documented. 3.4.5[c] physical access restrictions associated with changes to the system are approved. 3.4.5[d] physical access restrictions associated with changes to the system are enforced. 3.4.5[e] logical access restrictions associated with changes to the system are defined. 3.4.5[f] logical access restrictions associated with changes to the system are documented. 3.4.5[g] logical access restrictions associated with changes to the system are approved. 3.4.5[h] logical access restrictions associated with changes to the system are enforced. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Configuration management policy; procedures addressing access restrictions for changes to the system; system security plan; configuration management plan; system design documentation; system architecture and configuration documentation; system configuration settings and associated documentation; logical access approvals; physical access approvals; access credentials; change control records; system audit logs and records; other relevant documents or records]. Interview: [SELECT FROM: Personnel with logical access control responsibilities; personnel with physical access control responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes for managing access restrictions associated with changes to the system; mechanisms supporting, implementing, and enforcing access restrictions associated with changes to the system].
What is control 3.4.5 in NIST 800-171A?
Security Requirement 3.4.6: Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities.
What does control 3.4.6 entail?
Potential assessment methods and objects for 3.4.6 include: Examine: [SELECT FROM: Configuration management policy; configuration management plan; procedures addressing least functionality in the system; system security plan; system design documentation; system configuration settings and associated documentation; security configuration checklists; other relevant documents or records]. Interview: [SELECT FROM: Personnel with security configuration management responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes prohibiting or restricting functions, ports, protocols, or services; mechanisms implementing restrictions or prohibition of functions, ports, protocols, or services].
How is control 3.4.6 assessed?
Determine if: 3.4.6[a] essential system capabilities are defined based on the principle of least functionality. 3.4.6[b] the system is configured to provide only the defined essential capabilities.
What are the detailed objectives for assessing control 3.4.6?
Security Requirement 3.4.6: Employ the principle of least functionality by configuring organizational systems to provide only essential capabilities. Assessment Objectives: 3.4.6[a] essential system capabilities are defined based on the principle of least functionality. 3.4.6[b] the system is configured to provide only the defined essential capabilities. Potential Assessment Methods and Objects: Examine: [SELECT FROM: Configuration management policy; configuration management plan; procedures addressing least functionality in the system; system security plan; system design documentation; system configuration settings and associated documentation; security configuration checklists; other relevant documents or records]. Interview: [SELECT FROM: Personnel with security configuration management responsibilities; personnel with information security responsibilities; system or network administrators]. Test: [SELECT FROM: Organizational processes prohibiting or restricting functions, ports, protocols, or services; mechanisms implementing restrictions or prohibition of functions, ports, protocols, or services].
What is control 3.4.6 in NIST 800-171A?
Security Requirement 3.4.7: Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, and services.
What does control 3.4.7 entail?
Potential assessment methods and objects for 3.4.7 include: Examine: Configuration management policy; procedures addressing least functionality in the system; configuration management plan; system security plan; system design documentation; security configuration checklists; system configuration settings and associated documentation; specifications for preventing software program execution; documented reviews of programs, functions, ports, protocols, and/or services; change control records; system audit logs and records; other relevant documents or records. Interview: Personnel with responsibilities for reviewing programs, functions, ports, protocols, and services on the system; personnel with information security responsibilities; system or network administrators; system developers. Test: Organizational processes for reviewing and disabling nonessential programs, functions, ports, protocols, or services; mechanisms implementing review and handling of nonessential programs, functions, ports, protocols, or services; organizational processes preventing program execution on the system; organizational processes for software program usage and restrictions; mechanisms supporting or implementing software program usage and restrictions; mechanisms preventing program execution on the system.
How is control 3.4.7 assessed?
Determine if: 3.4.7[a] essential programs are defined. 3.4.7[b] the use of nonessential programs is defined. 3.4.7[c] the use of nonessential programs is restricted, disabled, or prevented as defined. 3.4.7[d] essential functions are defined. 3.4.7[e] the use of nonessential functions is defined. 3.4.7[f] the use of nonessential functions is restricted, disabled, or prevented as defined. 3.4.7[g] essential ports are defined. 3.4.7[h] the use of nonessential ports is defined. 3.4.7[i] the use of nonessential ports is restricted, disabled, or prevented as defined. 3.4.7[j] essential protocols are defined. 3.4.7[k] the use of nonessential protocols is defined. 3.4.7[l] the use of nonessential protocols is restricted, disabled, or prevented as defined. 3.4.7[m] essential services are defined. 3.4.7[n] the use of nonessential services is defined. 3.4.7[o] the use of nonessential services is restricted, disabled, or prevented as defined.
What are the detailed objectives for assessing control 3.4.7?
Security Requirement 3.4.7: Prevent unauthorized and unintended information transfer via shared system resources. Assessment Objectives: Determine if: 3.4.7[a] essential programs are defined. 3.4.7[b] the use of nonessential programs is defined. 3.4.7[c] the use of nonessential programs is restricted, disabled, or prevented as defined. 3.4.7[d] essential functions are defined. 3.4.7[e] the use of nonessential functions is defined. 3.4.7[f] the use of nonessential functions is restricted, disabled, or prevented as defined. 3.4.7[g] essential ports are defined. 3.4.7[h] the use of nonessential ports is defined. 3.4.7[i] the use of nonessential ports is restricted, disabled, or prevented as defined. 3.4.7[j] essential protocols are defined. 3.4.7[k] the use of nonessential protocols is defined. 3.4.7[l] the use of nonessential protocols is restricted, disabled, or prevented as defined. 3.4.7[m] essential services are defined. 3.4.7[n] the use of nonessential services is defined. 3.4.7[o] the use of nonessential services is restricted, disabled, or prevented as defined. Potential Assessment Methods and Objects: Examine: Configuration management policy; procedures addressing least functionality in the system; configuration management plan; system security plan; system design documentation; security configuration checklists; system configuration settings and associated documentation; specifications for preventing software program execution; documented reviews of programs, functions, ports, protocols, and/or services; change control records; system audit logs and records; other relevant documents or records. Interview: Personnel with responsibilities for reviewing programs, functions, ports, protocols, and services on the system; personnel with information security responsibilities; system or network administrators; system developers. Test: Organizational processes for reviewing and disabling nonessential programs, functions, ports, protocols, or services; mechanisms implementing review and handling of nonessential programs, functions, ports, protocols, or services; organizational processes preventing program execution on the system; organizational processes for software program usage and restrictions; mechanisms supporting or implementing software program usage and restrictions; mechanisms preventing program execution on the system.
What is control 3.4.7 in NIST 800-171A?
Security Requirement 3.4.8: Apply deny-by-exception (blacklist) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelist) policy to allow the use of authorized software.
What does control 3.4.8 entail?
Potential assessment methods and objects for 3.4.8 include: Examine: Configuration management policy; procedures addressing least functionality in the system; system security plan; configuration management plan; system design documentation; system configuration settings and associated documentation; list of software programs not authorized to execute on the system; list of software programs authorized to execute on the system; security configuration checklists; review and update records associated with list of authorized or unauthorized software programs; change control records; system audit logs and records; other relevant documents or records. Interview: Personnel with responsibilities for identifying software authorized or not authorized to execute on the system; personnel with information security responsibilities; system or network administrators. Test: Organizational process for identifying, reviewing, and updating programs authorized or not authorized to execute on the system; process for implementing blacklisting or whitelisting; mechanisms supporting or implementing blacklisting or whitelisting.
How is control 3.4.8 assessed?
Determine if: 3.4.8[a] a policy specifying whether whitelisting or blacklisting is to be implemented is specified. 3.4.8[b] the software allowed to execute under whitelisting or denied use under blacklisting is specified. 3.4.8[c] whitelisting to allow the execution of authorized software or blacklisting to prevent the use of unauthorized software is implemented as specified.
What are the detailed objectives for assessing control 3.4.8?
Security Requirement 3.4.8: Apply deny-by-exception (blacklist) policy to prevent the use of unauthorized software or deny-all, permit-by-exception (whitelist) policy to allow the use of authorized software. Assessment Objectives: Determine if: 3.4.8[a] a policy specifying whether whitelisting or blacklisting is to be implemented is specified. 3.4.8[b] the software allowed to execute under whitelisting or denied use under blacklisting is specified. 3.4.8[c] whitelisting to allow the execution of authorized software or blacklisting to prevent the use of unauthorized software is implemented as specified. Potential Assessment Methods and Objects: Examine: Configuration management policy; procedures addressing least functionality in the system; system security plan; configuration management plan; system design documentation; system configuration settings and associated documentation; list of software programs not authorized to execute on the system; list of software programs authorized to execute on the system; security configuration checklists; review and update records associated with list of authorized or unauthorized software programs; change control records; system audit logs and records; other relevant documents or records. Interview: Personnel with responsibilities for identifying software authorized or not authorized to execute on the system; personnel with information security responsibilities; system or network administrators. Test: Organizational process for identifying, reviewing, and updating programs authorized or not authorized to execute on the system; process for implementing blacklisting or whitelisting; mechanisms supporting or implementing blacklisting or whitelisting.
What is control 3.4.8 in NIST 800-171A?
Security Requirement 3.4.9: Control and monitor user-installed software.
What does control 3.4.9 entail?