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Potential assessment methods and objects for 3.4.9 include:
Examine: Configuration management policy; procedures addressing user installed software; configuration management plan; system security plan; system design documentation; system configuration settings and associated documentation; list of rules governing user-installed software; system monitoring records; system audit logs and records; continuous monitoring strategy; other relevant documents or records.
Interview: Personnel with responsibilities for governing user-installed software; personnel operating, using, or maintaining the system; personnel monitoring compliance with user-installed software policy; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes governing user-installed software on the system; mechanisms enforcing rules or methods for governing the installation of software by users; mechanisms monitoring policy compliance. | How is control 3.4.9 assessed? |
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Determine if: 3.4.9[a] a policy for controlling the installation of software by users is established. 3.4.9[b] installation of software by users is controlled based on the established policy. 3.4.9[c] installation of software by users is monitored. | What are the detailed objectives for assessing control 3.4.9? |
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Security Requirement 3.4.9: Control and monitor user-installed software. Assessment Objectives: Determine if: 3.4.9[a] a policy for controlling the installation of software by users is established. 3.4.9[b] installation of software by users is controlled based on the established policy. 3.4.9[c] installation of software by users is monitored. Potential Assessment Methods and Objects:
Examine: Configuration management policy; procedures addressing user installed software; configuration management plan; system security plan; system design documentation; system configuration settings and associated documentation; list of rules governing user-installed software; system monitoring records; system audit logs and records; continuous monitoring strategy; other relevant documents or records.
Interview: Personnel with responsibilities for governing user-installed software; personnel operating, using, or maintaining the system; personnel monitoring compliance with user-installed software policy; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes governing user-installed software on the system; mechanisms enforcing rules or methods for governing the installation of software by users; mechanisms monitoring policy compliance. | What is control 3.4.9 in NIST 800-171A? |
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Security Requirement 3.5.1: Identify information system users, processes acting on behalf of users, or devices. | What does control 3.5.1 entail? |
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Potential assessment methods and objects for 3.5.1 include:
Examine: Identification and authentication policy; procedures addressing user identification and authentication; system security plan, system design documentation; system configuration settings and associated documentation; system audit logs and records; list of system accounts; other relevant documents or records.
Interview: Personnel with system operations responsibilities; personnel with information security responsibilities; system or network administrators; personnel with account management responsibilities; system developers.
Test: MOrganizational processes for uniquely identifying and authenticating users; mechanisms supporting or implementing identification and authentication capability. | How is control 3.5.1 assessed? |
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Determine if: 3.5.1[a] Information system users are identified. 3.5.1[b] Processes acting on behalf of users are identified. 3.5.1[c] devices accessing the system are identified. | What are the detailed objectives for assessing control 3.5.1? |
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Security Requirement 3.5.1: Identify information system users, processes acting on behalf of users, or devices. Assessment Objectives: 3.5.1[a] Information system users are identified. 3.5.1[b] Processes acting on behalf of users are identified. 3.5.1[c] devices accessing the system are identified. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; procedures addressing user identification and authentication; system security plan, system design documentation; system configuration settings and associated documentation; system audit logs and records; list of system accounts; other relevant documents or records.
Interview: Personnel with system operations responsibilities; personnel with information security responsibilities; system or network administrators; personnel with account management responsibilities; system developers.
Test: MOrganizational processes for uniquely identifying and authenticating users; mechanisms supporting or implementing identification and authentication capability. | What is control 3.5.1 in NIST 800-171A? |
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Security Requirement 3.5.2: Authenticate (or verify) the identities of those users, processes, or devices as a prerequisite to allowing access to organizational information systems. | What does control 3.5.2 entail? |
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Potential assessment methods and objects for 3.5.2 include:
Examine: Identification and authentication policy; system security plan; procedures addressing authenticator management; procedures addressing user identification and authentication; system design documentation; list of system authenticator types; system configuration settings and associated documentation; change control records associated with managing system authenticators; system audit logs and records; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Mechanisms supporting or implementing authenticator management capability. | How is control 3.5.2 assessed? |
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Determine if: 3.5.2[a] the identity of each user is authenticated or verified as a prerequisite to system access. 3.5.2[b] the identity of each process acting on behalf of a user is authenticated or verified as a prerequisite to system access. 3.5.2[c] the identity of each device accessing or connecting to the system is authenticated or verified as a prerequisite to system access. | What are the detailed objectives for assessing control 3.5.2? |
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Security Requirement 3.5.2: Authenticate (or verify) the identities of those users, processes, or devices as a prerequisite to allowing access to organizational information systems. Assessment Objectives: Determine if: 3.5.2[a] the identity of each user is authenticated or verified as a prerequisite to system access. 3.5.2[b] the identity of each process acting on behalf of a user is authenticated or verified as a prerequisite to system access. 3.5.2[c] the identity of each device accessing or connecting to the system is authenticated or verified as a prerequisite to system access. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; system security plan; procedures addressing authenticator management; procedures addressing user identification and authentication; system design documentation; list of system authenticator types; system configuration settings and associated documentation; change control records associated with managing system authenticators; system audit logs and records; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Mechanisms supporting or implementing authenticator management capability. | What is control 3.5.2 in NIST 800-171A? |
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Security Requirement 3.5.3: Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts. | What does control 3.5.3 entail? |
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Potential assessment methods and objects for 3.5.3 include:
Examine: Identification and authentication policy; procedures addressing user identification and authentication; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; list of system accounts; other relevant documents or records.
Interview: Personnel with system operations responsibilities; personnel with account management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing multifactor authentication capability. | How is control 3.5.3 assessed? |
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Determine if: 3.5.3[a] privileged accounts are identified. 3.5.3[b] multifactor authentication is implemented for local access to privileged accounts. 3.5.3[c] multifactor authentication is implemented for network access to privileged accounts. 3.5.3[d] multifactor authentication is implemented for network access to non-privileged accounts. | What are the detailed objectives for assessing control 3.5.3? |
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Security Requirement 3.5.3: Use multifactor authentication for local and network access to privileged accounts and for network access to non-privileged accounts. Assessment Objectives: Determine if: 3.5.3[a] privileged accounts are identified. 3.5.3[b] multifactor authentication is implemented for local access to privileged accounts. 3.5.3[c] multifactor authentication is implemented for network access to privileged accounts. 3.5.3[d] multifactor authentication is implemented for network access to non-privileged accounts. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; procedures addressing user identification and authentication; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; list of system accounts; other relevant documents or records.
Interview: Personnel with system operations responsibilities; personnel with account management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing multifactor authentication capability. | What is control 3.5.3 in NIST 800-171A? |
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Security Requirement 3.5.4: Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts. | What does control 3.5.4 entail? |
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Potential assessment methods and objects for 3.5.4 include:
Examine: Identification and authentication policy; procedures addressing user identification and authentication; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; list of privileged system accounts; other relevant documents or records.
Interview: Personnel with system operations responsibilities; personnel with account management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing identification and authentication capability or replay resistant authentication mechanisms. | How is control 3.5.4 assessed? |
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Determine if: Determine if replay-resistant authentication mechanisms are implemented for network account access to privileged and non-privileged accounts. | What are the detailed objectives for assessing control 3.5.4? |
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Security Requirement 3.5.4: Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts. Assessment Objectives: Determine if: Determine if replay-resistant authentication mechanisms are implemented for network account access to privileged and non-privileged accounts. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; procedures addressing user identification and authentication; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; list of privileged system accounts; other relevant documents or records.
Interview: Personnel with system operations responsibilities; personnel with account management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing identification and authentication capability or replay resistant authentication mechanisms. | What is control 3.5.4 in NIST 800-171A? |
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Security Requirement 3.5.5: Prevent reuse of identifiers for a defined period. | What does control 3.5.5 entail? |
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Potential assessment methods and objects for 3.5.5 include:
Examine: Identification and authentication policy; procedures addressing identifier management; procedures addressing account management; system security plan; system design documentation; system configuration settings and associated documentation; list of system accounts; list of identifiers generated from physical access control devices; other relevant documents or records.
Interview: Personnel with identifier management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing identifier management. | How is control 3.5.5 assessed? |
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Determine if: 3.5.5[a] a period within which identifiers cannot be reused is defined. 3.5.5[b] reuse of identifiers is prevented within the defined period. | What are the detailed objectives for assessing control 3.5.5? |
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Security Requirement 3.5.5: Prevent reuse of identifiers for a defined period. Assessment Objectives: Determine if: 3.5.5[a] a period within which identifiers cannot be reused is defined. 3.5.5[b] reuse of identifiers is prevented within the defined period. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; procedures addressing identifier management; procedures addressing account management; system security plan; system design documentation; system configuration settings and associated documentation; list of system accounts; list of identifiers generated from physical access control devices; other relevant documents or records.
Interview: Personnel with identifier management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing identifier management. | What is control 3.5.5 in NIST 800-171A? |
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Security Requirement 3.5.6: Disable identifiers after a defined period of inactivity. | What does control 3.5.6 entail? |
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Potential assessment methods and objects for 3.5.6 include:
Examine:Identification and authentication policy; procedures addressing identifier management; procedures addressing account management; system security plan; system design documentation; system configuration settings and associated documentation; list of system accounts; list of identifiers generated from physical access control devices; other relevant documents or records.
Interview: Personnel with identifier management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing identifier management. | How is control 3.5.6 assessed? |
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Determine if: 3.5.6[a] a period of inactivity after which an identifier is disabled is defined.3.5.6[b] identifiers are disabled after the defined period of inactivity. | What are the detailed objectives for assessing control 3.5.6? |
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Security Requirement 3.5.6: Disable identifiers after a defined period of inactivity. Assessment Objectives: Determine if: 3.5.6[a] a period of inactivity after which an identifier is disabled is defined.3.5.6[b] identifiers are disabled after the defined period of inactivity. Potential Assessment Methods and Objects:
Examine:Identification and authentication policy; procedures addressing identifier management; procedures addressing account management; system security plan; system design documentation; system configuration settings and associated documentation; list of system accounts; list of identifiers generated from physical access control devices; other relevant documents or records.
Interview: Personnel with identifier management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing identifier management. | What is control 3.5.6 in NIST 800-171A? |
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Security Requirement 3.5.7: Enforce a minimum password complexity and change of characters when new passwords are created. | What does control 3.5.7 entail? |
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Potential assessment methods and objects for 3.5.7 include:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system configuration settings and associated documentation; system design documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | How is control 3.5.7 assessed? |
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Determine if: 3.5.7[a] password complexity requirements are defined. 3.5.7[b] password change of character requirements are defined. 3.5.7[c] minimum password complexity requirements as defined are enforced when new passwords are created. 3.5.7[d] minimum password change of character requirements as defined are enforced when new passwords are created. | What are the detailed objectives for assessing control 3.5.7? |
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Security Requirement 3.5.7: Enforce a minimum password complexity and change of characters when new passwords are created. Assessment Objectives: Determine if: 3.5.7[a] password complexity requirements are defined. 3.5.7[b] password change of character requirements are defined. 3.5.7[c] minimum password complexity requirements as defined are enforced when new passwords are created. 3.5.7[d] minimum password change of character requirements as defined are enforced when new passwords are created. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system configuration settings and associated documentation; system design documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | What is control 3.5.7 in NIST 800-171A? |
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Security Requirement 3.5.8: Prohibit password reuse for a specified number of generations. | What does control 3.5.8 entail? |
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Potential assessment methods and objects for 3.5.8 include:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system design documentation; system configuration settings and associated documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | How is control 3.5.8 assessed? |
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Determine if: 3.5.8[a] the number of generations during which a password cannot be reused is specified. 3.5.8[b] reuse of passwords is prohibited during the specified number of generations. | What are the detailed objectives for assessing control 3.5.8? |
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Security Requirement 3.5.8: Prohibit password reuse for a specified number of generations. Assessment Objectives: Determine if: 3.5.8[a] the number of generations during which a password cannot be reused is specified. 3.5.8[b] reuse of passwords is prohibited during the specified number of generations. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system design documentation; system configuration settings and associated documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | What is control 3.5.8 in NIST 800-171A? |
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Security Requirement 3.5.9: Allow temporary password use for system logons with an immediate change to a permanent password. | What does control 3.5.9 entail? |
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Potential assessment methods and objects for 3.5.9 include:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system configuration settings and associated documentation; system design documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | How is control 3.5.9 assessed? |
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Determine if an immediate change to a permanent password is required when a temporary password is used for system logon. | What are the detailed objectives for assessing control 3.5.9? |
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Security Requirement 3.5.9: Allow temporary password use for system logons with an immediate change to a permanent password. Assessment Objectives: Determine if an immediate change to a permanent password is required when a temporary password is used for system logon. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system configuration settings and associated documentation; system design documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | What is control 3.5.9 in NIST 800-171A? |
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Security Requirement 3.5.10: Store and transmit only cryptographically-protected passwords. | What does control 3.5.10 entail? |
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Potential assessment methods and objects for 3.5.10 include:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system configuration settings and associated documentation; system design documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | How is control 3.5.10 assessed? |
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Determine if: 3.5.10[a] passwords are cryptographically protected in storage. 3.5.10[b] passwords are cryptographically protected in transit. | What are the detailed objectives for assessing control 3.5.10? |
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Security Requirement 3.5.10: Store and transmit only cryptographically-protected passwords. Assessment Objectives: Determine if: 3.5.10[a] passwords are cryptographically protected in storage. 3.5.10[b] passwords are cryptographically protected in transit. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; password policy; procedures addressing authenticator management; system security plan; system configuration settings and associated documentation; system design documentation; password configurations and associated documentation; other relevant documents or records.
Interview: Personnel with authenticator management responsibilities; personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing password-based authenticator management capability. | What is control 3.5.10 in NIST 800-171A? |
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Security Requirement 3.5.11: Obscure feedback of authentication information. | What does control 3.5.11 entail? |
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Potential assessment methods and objects for 3.5.11 include:
Examine: Identification and authentication policy; procedures addressing authenticator feedback; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records.
Interview: Personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing the obscuring of feedback of authentication information during authentication. | How is control 3.5.11 assessed? |
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Assessment objectives for 3.5.11: Determine if authentication information is obscured during the authentication process. | What are the detailed objectives for assessing control 3.5.11? |
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Security Requirement 3.5.11: Obscure feedback of authentication information. Assessment Objectives: Determine if authentication information is obscured during the authentication process. Potential Assessment Methods and Objects:
Examine: Identification and authentication policy; procedures addressing authenticator feedback; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records.
Interview: Personnel with information security responsibilities; system or network administrators; system developers.
Test: Mechanisms supporting or implementing the obscuring of feedback of authentication information during authentication. | What is control 3.5.11 in NIST 800-171A? |
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Security Requirement 3.6.1: Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities. | What does control 3.6.1 entail? |
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Potential assessment methods and objects for 3.6.1 include:
Examine: Incident response policy; contingency planning policy; procedures addressing incident handling; procedures addressing incident response assistance; incident response plan; contingency plan; system security plan; procedures addressing incident response training; incident response training curriculum; incident response training materials; incident response training records; other relevant documents or records.
Personnel with incident handling responsibilities; personnel with contingency planning responsibilities; personnel with incident response training and operational responsibilities; personnel with incident response assistance and support responsibilities; personnel with access to incident response support and assistance capability; personnel with information security responsibilities.
Interview: Incident response team members.
Test: Incident-handling capability for the organization; organizational processes for incident response assistance; mechanisms supporting or implementing incident response assistance. | How is control 3.6.1 assessed? |
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Assessment objectives for 3.6.1: 3.6.1[a] an operational incident-handling capability is established. 3.6.1[b] the operational incident-handling capability includes preparation. 3.6.1[c] the operational incident-handling capability includes detection. 3.6.1[d] the operational incident-handling capability includes analysis. 3.6.1[e] the operational incident-handling capability includes containment. 3.6.1[f] the operational incident-handling capability includes recovery. 3.6.1[g] the operational incident-handling capability includes user response activities. | What are the detailed objectives for assessing control 3.6.1? |
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Security Requirement 3.6.1: Establish an operational incident-handling capability for organizational systems that includes preparation, detection, analysis, containment, recovery, and user response activities. Assessment Objectives: 3.6.1[a] an operational incident-handling capability is established. 3.6.1[b] the operational incident-handling capability includes preparation. 3.6.1[c] the operational incident-handling capability includes detection. 3.6.1[d] the operational incident-handling capability includes analysis. 3.6.1[e] the operational incident-handling capability includes containment. 3.6.1[f] the operational incident-handling capability includes recovery. 3.6.1[g] the operational incident-handling capability includes user response activities. Potential Assessment Methods and Objects:
Examine: Incident response policy; contingency planning policy; procedures addressing incident handling; procedures addressing incident response assistance; incident response plan; contingency plan; system security plan; procedures addressing incident response training; incident response training curriculum; incident response training materials; incident response training records; other relevant documents or records.
Personnel with incident handling responsibilities; personnel with contingency planning responsibilities; personnel with incident response training and operational responsibilities; personnel with incident response assistance and support responsibilities; personnel with access to incident response support and assistance capability; personnel with information security responsibilities.
Interview: Incident response team members.
Test: Incident-handling capability for the organization; organizational processes for incident response assistance; mechanisms supporting or implementing incident response assistance. | What is control 3.6.1 in NIST 800-171A? |
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Security Requirement 3.6.2: Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization. | What does control 3.6.2 entail? |
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Potential assessment methods and objects for 3.6.2 include:
Examine: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; system security plan; other relevant documents or records.
Interview: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities.
Test: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting. | How is control 3.6.2 assessed? |
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Assessment objectives for 3.6.2: 3.6.2[a] Incidents are tracked. 3.6.2[b] Incidents are documented. 3.6.2[c] authorities to whom incidents are to be reported are identified. 3.6.2[d] organizational officials to whom incidents are to be reported are identified. 3.6.2[e] identified authorities are notified of incidents. 3.6.2[f] identified organizational officials are notified of incidents. | What are the detailed objectives for assessing control 3.6.2? |
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Security Requirement 3.6.2: Track, document, and report incidents to designated officials and/or authorities both internal and external to the organization. Assessment Objectives: 3.6.2[a] Incidents are tracked. 3.6.2[b] Incidents are documented. 3.6.2[c] authorities to whom incidents are to be reported are identified. 3.6.2[d] organizational officials to whom incidents are to be reported are identified. 3.6.2[e] identified authorities are notified of incidents. 3.6.2[f] identified organizational officials are notified of incidents. Potential Assessment Methods and Objects:
Examine: Incident response policy; procedures addressing incident monitoring; incident response records and documentation; procedures addressing incident reporting; incident reporting records and documentation; incident response plan; system security plan; other relevant documents or records.
Interview: Personnel with incident monitoring responsibilities; personnel with incident reporting responsibilities; personnel who have or should have reported incidents; personnel (authorities) to whom incident information is to be reported; personnel with information security responsibilities.
Test: Incident monitoring capability for the organization; mechanisms supporting or implementing tracking and documenting of system security incidents; organizational processes for incident reporting; mechanisms supporting or implementing incident reporting. | What is control 3.6.2 in NIST 800-171A? |
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Security Requirement 3.6.3: Test the organizational incident response capability. | What does control 3.6.3 entail? |
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Potential assessment methods and objects for 3.6.3 include:
Examine: Incident response policy; contingency planning policy; procedures addressing incident response testing; procedures addressing contingency plan testing; incident response testing material; incident response test results; incident response test plan; incident response plan; contingency plan; system security plan; other relevant documents or records.
Interview: Personnel with incident response testing responsibilities; personnel with information security responsibilities; personnel with responsibilities for testing plans related to incident response.
Test: Mechanisms and processes for incident response. | How is control 3.6.3 assessed? |
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Assessment objectives for 3.6.3: Determine if the incident response capability is tested. | What are the detailed objectives for assessing control 3.6.3? |
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Security Requirement 3.6.3: Test the organizational incident response capability. Assessment objectives for 3.6.3: Determine if the incident response capability is tested. Potential Assessment Methods and Objects:
Examine: Incident response policy; contingency planning policy; procedures addressing incident response testing; procedures addressing contingency plan testing; incident response testing material; incident response test results; incident response test plan; incident response plan; contingency plan; system security plan; other relevant documents or records.
Interview: Personnel with incident response testing responsibilities; personnel with information security responsibilities; personnel with responsibilities for testing plans related to incident response.
Test: Mechanisms and processes for incident response. | What is control 3.6.3 in NIST 800-171A? |
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Security Requirement 3.7.1: Perform maintenance on organizational systems. | What does control 3.7.1 entail? |
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Potential assessment methods and objects for 3.7.1 include:
Examine: System maintenance policy; procedures addressing controlled system maintenance; maintenance records; manufacturer or vendor maintenance specifications; equipment sanitization records; media sanitization records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities; personnel responsible for media sanitization; system or network administrators.
Test: Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for systems; organizational processes for sanitizing system components; mechanisms supporting or implementing controlled maintenance; mechanisms implementing sanitization of system components. | How is control 3.7.1 assessed? |
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Determine if system maintenance is performed. | What are the detailed objectives for assessing control 3.7.1? |
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Security Requirement 3.7.1: Perform maintenance on organizational systems. Assessment Objectives: Determine if system maintenance is performed. Potential Assessment Methods and Objects:
Examine: System maintenance policy; procedures addressing controlled system maintenance; maintenance records; manufacturer or vendor maintenance specifications; equipment sanitization records; media sanitization records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities; personnel responsible for media sanitization; system or network administrators.
Test: Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for systems; organizational processes for sanitizing system components; mechanisms supporting or implementing controlled maintenance; mechanisms implementing sanitization of system components. | What is control 3.7.1 in NIST 800-171A? |
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Security Requirement 3.7.2: Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance. | What does control 3.7.2 entail? |
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Potential assessment methods and objects for 3.7.2 include:
Examine: System maintenance policy; procedures addressing system maintenance tools and media; maintenance records; system maintenance tools and associated documentation; maintenance tool inspection records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities.
Test: Organizational processes for approving, controlling, and monitoring maintenance tools; mechanisms supporting or implementing approval, control, and monitoring of maintenance tools; organizational processes for inspecting maintenance tools; mechanisms supporting or implementing inspection of maintenance tools; organizational process for inspecting media for malicious code; mechanisms supporting or implementing inspection of media used for maintenance. | How is control 3.7.2 assessed? |
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Assessment objectives for 3.7.2: 3.7.2[a] tools used to conduct system maintenance are controlled. 3.7.2[b] techniques used to conduct system maintenance are controlled. 3.7.2[c] mechanisms used to conduct system maintenance are controlled. 3.7.2[d] personnel used to conduct system maintenance are controlled. | What are the detailed objectives for assessing control 3.7.2? |
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Security Requirement 3.7.2: Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance. Assessment objectives for 3.7.2: 3.7.2[a] tools used to conduct system maintenance are controlled. 3.7.2[b] techniques used to conduct system maintenance are controlled. 3.7.2[c] mechanisms used to conduct system maintenance are controlled. 3.7.2[d] personnel used to conduct system maintenance are controlled. Potential Assessment Methods and Objects:
Examine: System maintenance policy; procedures addressing system maintenance tools and media; maintenance records; system maintenance tools and associated documentation; maintenance tool inspection records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities.
Test: Organizational processes for approving, controlling, and monitoring maintenance tools; mechanisms supporting or implementing approval, control, and monitoring of maintenance tools; organizational processes for inspecting maintenance tools; mechanisms supporting or implementing inspection of maintenance tools; organizational process for inspecting media for malicious code; mechanisms supporting or implementing inspection of media used for maintenance. | What is control 3.7.2 in NIST 800-171A? |
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Security Requirement 3.7.3: Ensure equipment removed for off-site maintenance is sanitized of any CUI. | What does control 3.7.3 entail? |
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Potential assessment methods and objects for 3.7.3 include:
Examine: System maintenance policy; procedures addressing controlled system maintenance; maintenance records; manufacturer or vendor maintenance specifications; equipment sanitization records; media sanitization records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities; personnel responsible for media sanitization; system or network administrators.
Test: Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for systems; organizational processes for sanitizing system components; mechanisms supporting or implementing controlled maintenance; mechanisms implementing sanitization of system components. | How is control 3.7.3 assessed? |
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Determine if equipment to be removed from organizational spaces for off-site maintenance is sanitized of any CUI. | What are the detailed objectives for assessing control 3.7.3? |
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Security Requirement 3.7.3: Ensure equipment removed for off-site maintenance is sanitized of any CUI. Assessment Objectives: Determine if equipment to be removed from organizational spaces for off-site maintenance is sanitized of any CUI. Potential Assessment Methods and Objects:
Examine: System maintenance policy; procedures addressing controlled system maintenance; maintenance records; manufacturer or vendor maintenance specifications; equipment sanitization records; media sanitization records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities; personnel responsible for media sanitization; system or network administrators.
Test: Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for systems; organizational processes for sanitizing system components; mechanisms supporting or implementing controlled maintenance; mechanisms implementing sanitization of system components. | What is control 3.7.3 in NIST 800-171A? |
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Security Requirement 3.7.4: Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems. | What does control 3.7.4 entail? |
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Potential assessment methods and objects for 3.7.4 include:
Examine: System maintenance policy; procedures addressing system maintenance tools; system maintenance tools and associated documentation; maintenance records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities.
Test: Organizational process for inspecting media for malicious code; mechanisms supporting or implementing inspection of media used for maintenance. | How is control 3.7.4 assessed? |
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Determine if media containing diagnostic and test programs are checked for malicious code before being used in organizational systems that process, store, or transmit CUI. | What are the detailed objectives for assessing control 3.7.4? |
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Security Requirement 3.7.4: Check media containing diagnostic and test programs for malicious code before the media are used in organizational systems. Assessment Objectives: Determine if media containing diagnostic and test programs are checked for malicious code before being used in organizational systems that process, store, or transmit CUI. Potential Assessment Methods and Objects:
Examine: System maintenance policy; procedures addressing system maintenance tools; system maintenance tools and associated documentation; maintenance records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities.
Test: Organizational process for inspecting media for malicious code; mechanisms supporting or implementing inspection of media used for maintenance. | What is control 3.7.4 in NIST 800-171A? |
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Security Requirement 3.7.5: Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete. | What does control 3.7.5 entail? |
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Potential assessment methods and objects for 3.7.5 include:
Examine: System maintenance policy; procedures addressing nonlocal system maintenance; system security plan; system design documentation; system configuration settings and associated documentation; maintenance records; diagnostic records; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for managing nonlocal maintenance; mechanisms implementing, supporting, and managing nonlocal maintenance; mechanisms for strong authentication of nonlocal maintenance diagnostic sessions; mechanisms for terminating nonlocal maintenance sessions and network connections. | How is control 3.7.5 assessed? |
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Determine if: 3.7.5[a] multifactor authentication is used to establish nonlocal maintenance sessions via external network connections. 3.7.5[b] nonlocal maintenance sessions established via external network connections are terminated when nonlocal maintenance is complete. | What are the detailed objectives for assessing control 3.7.5? |
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Security Requirement 3.7.5: Require multifactor authentication to establish nonlocal maintenance sessions via external network connections and terminate such connections when nonlocal maintenance is complete. Assessment Objectives: Determine if: 3.7.5[a] multifactor authentication is used to establish nonlocal maintenance sessions via external network connections. 3.7.5[b] nonlocal maintenance sessions established via external network connections are terminated when nonlocal maintenance is complete. Potential Assessment Methods and Objects:
Examine: System maintenance policy; procedures addressing nonlocal system maintenance; system security plan; system design documentation; system configuration settings and associated documentation; maintenance records; diagnostic records; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for managing nonlocal maintenance; mechanisms implementing, supporting, and managing nonlocal maintenance; mechanisms for strong authentication of nonlocal maintenance diagnostic sessions; mechanisms for terminating nonlocal maintenance sessions and network connections. | What is control 3.7.5 in NIST 800-171A? |
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Security Requirement 3.7.6: Supervise the maintenance activities of maintenance personnel without required access authorization. | What does control 3.7.6 entail? |
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Potential assessment methods and objects for 3.7.6 include:
Examine: System maintenance policy; procedures addressing maintenance personnel; service provider contracts; service-level agreements; list of authorized personnel; maintenance records; access control records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities.
Test: Organizational processes for authorizing and managing maintenance personnel; mechanisms supporting or implementing authorization of maintenance personnel. | How is control 3.7.6 assessed? |
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Determine if maintenance personnel without required access authorization are supervised during maintenance activities. | What are the detailed objectives for assessing control 3.7.6? |
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Security Requirement 3.7.6: Supervise the maintenance activities of maintenance personnel without required access authorization. Assessment Objectives: Determine if maintenance personnel without required access authorization are supervised during maintenance activities. Potential Assessment Methods and Objects:
Examine: System maintenance policy; procedures addressing maintenance personnel; service provider contracts; service-level agreements; list of authorized personnel; maintenance records; access control records; system security plan; other relevant documents or records.
Interview: Personnel with system maintenance responsibilities; personnel with information security responsibilities.
Test: Organizational processes for authorizing and managing maintenance personnel; mechanisms supporting or implementing authorization of maintenance personnel. | What is control 3.7.6 in NIST 800-171A? |
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Security Requirement 3.8.1: Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital. | What does control 3.8.1 entail? |
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Potential assessment methods and objects for 3.8.1 include:
Examine: System media protection policy; procedures addressing media storage; procedures addressing media access restrictions; access control policy and procedures; physical and environmental protection policy and procedures; system security plan; media storage facilities; access control records; other relevant documents or records.
Interview: Personnel with system media protection responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for restricting information media; mechanisms supporting or implementing media access restrictions. | How is control 3.8.1 assessed? |
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Determine if: 3.8.1[a] paper media containing CUI is physically controlled. 3.8.1[b] digital media containing CUI is physically controlled. 3.8.1[c] paper media containing CUI is securely stored. 3.8.1[d] digital media containing CUI is securely stored. | What are the detailed objectives for assessing control 3.8.1? |
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Security Requirement 3.8.1: Protect (i.e., physically control and securely store) system media containing CUI, both paper and digital. Assessment Objectives: Determine if: 3.8.1[a] paper media containing CUI is physically controlled. 3.8.1[b] digital media containing CUI is physically controlled. 3.8.1[c] paper media containing CUI is securely stored. 3.8.1[d] digital media containing CUI is securely stored. Potential Assessment Methods and Objects:
Examine: System media protection policy; procedures addressing media storage; procedures addressing media access restrictions; access control policy and procedures; physical and environmental protection policy and procedures; system security plan; media storage facilities; access control records; other relevant documents or records.
Interview: Personnel with system media protection responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for restricting information media; mechanisms supporting or implementing media access restrictions. | What is control 3.8.1 in NIST 800-171A? |
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Security Requirement 3.8.2: Limit access to CUI on system media to authorized users. | What does control 3.8.2 entail? |
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Potential assessment methods and objects for 3.8.2 include:
Examine: System media protection policy; procedures addressing media storage; physical and environmental protection policy and procedures; access control policy and procedures; system security plan; system media; designated controlled areas; other relevant documents or records.
Interview: Personnel with system media protection and storage responsibilities; personnel with information security responsibilities.
Test: Organizational processes for storing media; mechanisms supporting or implementing secure media storage and media protection. | How is control 3.8.2 assessed? |
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Determine if access to CUI on system media is limited to authorized users. | What are the detailed objectives for assessing control 3.8.2? |
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Security Requirement 3.8.2: Limit access to CUI on system media to authorized users. Assessment Objectives: Determine if access to CUI on system media is limited to authorized users. Potential Assessment Methods and Objects:
Examine: System media protection policy; procedures addressing media storage; physical and environmental protection policy and procedures; access control policy and procedures; system security plan; system media; designated controlled areas; other relevant documents or records.
Interview: Personnel with system media protection and storage responsibilities; personnel with information security responsibilities.
Test: Organizational processes for storing media; mechanisms supporting or implementing secure media storage and media protection. | What is control 3.8.2 in NIST 800-171A? |
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Security Requirement 3.8.3: Sanitize or destroy system media containing CUI before disposal or release for reuse. | What does control 3.8.3 entail? |
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Potential assessment methods and objects for 3.8.3 include:
Examine: System media protection policy; procedures addressing media sanitization and disposal; applicable standards and policies addressing media sanitization; system security plan; media sanitization records; system audit logs and records; system design documentation; system configuration settings and associated documentation; other relevant documents or records.
Interview: Personnel with media sanitization responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for media sanitization; mechanisms supporting or implementing media sanitization. | How is control 3.8.3 assessed? |
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Determine if: 3.8.3[a] system media containing CUI is sanitized or destroyed before disposal. 3.8.3[b] system media containing CUI is sanitized before it is released for reuse. | What are the detailed objectives for assessing control 3.8.3? |
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Security Requirement 3.8.3: Sanitize or destroy media containing CUI before disposal or release for reuse. Assessment Objectives: Determine if: 3.8.3[a] system media containing CUI is sanitized or destroyed before disposal. 3.8.3[b] system media containing CUI is sanitized before it is released for reuse. Potential Assessment Methods and Objects:
Examine: System media protection policy; procedures addressing media sanitization and disposal; applicable standards and policies addressing media sanitization; system security plan; media sanitization records; system audit logs and records; system design documentation; system configuration settings and associated documentation; other relevant documents or records.
Interview: Personnel with media sanitization responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for media sanitization; mechanisms supporting or implementing media sanitization. | What is control 3.8.3 in NIST 800-171A? |
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Security Requirement 3.8.4: Mark media with necessary CUI markings and distribution limitations. | What does control 3.8.4 entail? |
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Potential assessment methods and objects for 3.8.4 include:
Examine: System media protection policy; procedures addressing media marking; physical and environmental protection policy and procedures; system security plan; list of system media marking security attributes; designated controlled areas; other relevant documents or records.
Interview: Personnel with system media protection and marking responsibilities; personnel with information security responsibilities.
Test: Organizational processes for marking information media; mechanisms supporting or implementing media marking. | How is control 3.8.4 assessed? |
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Determine if: 3.8.4[a] media containing CUI is marked with applicable CUI markings. 3.8.4[b] media containing CUI is marked with distribution limitations. | What are the detailed objectives for assessing control 3.8.4? |
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Security Requirement 3.8.4: Security Requirement 3.8.4: Mark media with necessary CUI markings and distribution limitations. Assessment Objectives: Determine if: 3.8.4[a] media containing CUI is marked with applicable CUI markings. 3.8.4[b] media containing CUI is marked with distribution limitations. Potential Assessment Methods and Objects:
Examine: System media protection policy; procedures addressing media marking; physical and environmental protection policy and procedures; system security plan; list of system media marking security attributes; designated controlled areas; other relevant documents or records.
Interview: Personnel with system media protection and marking responsibilities; personnel with information security responsibilities.
Test: Organizational processes for marking information media; mechanisms supporting or implementing media marking. | What is control 3.8.4 in NIST 800-171A? |
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Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas. | What does control 3.8.5 entail? |
Subsets and Splits