{"catalog":{"description":"FedRAMP Revision 5 Moderate resolved baseline. The data within is OSCAL compliant and is sourced to the OSCAL stored at https://github.com/GSA/fedramp-automation/tree/master/dist/content/rev5/baselines/xml and commited on March 7, 2024. The regulation date published and date modified is taken from the official human readable version of the SSP document.","category":"","externalId":"","datePublished":"2024-07-31T04:00:00","originator":0,"regulationDateModified":"2024-02-15T05:00:00","uuid":"4e7256cb-0dbb-4575-89c1-b2d9aff9e9e0","abstract":"This publication provides a catalog of security and privacy controls for information systems and organizations to protect organizational operations and assets, individuals, other organizations, and the Nation from a diverse set of threats and risks, including hostile attacks, human errors, natural disasters, structural failures, foreign intelligence entities, and privacy risks. The controls are flexible and customizable and implemented as part of an organization-wide process to manage risk. The controls address diverse requirements derived from mission and business needs, laws, executive orders, directives, regulations, policies, standards, and guidelines. Finally, the consolidated control catalog addresses security and privacy from a functionality perspective (i.e., the strength of functions and mechanisms provided by the controls) and from an assurance perspective (i.e., the measure of confidence in the security or privacy capability provided by the controls). Addressing functionality and assurance helps to ensure that information technology products and the systems that rely on those products are sufficiently trustworthy.","url":"https://www.fedramp.gov/","defaultName":"fedramp_r5_moderate_oscal_compliant","title":"FedRAMP R5 Moderate Baseline (OSCAL Compliant)","lastRevisionDate":"2024-07-31T04:00:00","regulationDatePublished":"2023-06-30T04:00:00","keywords":"Assurance; availability; computer security; confidentiality; control; cybersecurity; FISMA; information security; information system; integrity; personally identifiable information; Privacy Act; privacy controls; privacy functions; privacy requirements; Risk Management Framework; security controls; security functions; security requirements; system; system security","requireUniqueControlId":true,"sourceOscalURL":"","securityControls":[{"objectives":[{"objectiveType":"","otherId":"ac-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, AC-1(a) }}:</li><ul><li>1. {{ insert: param, AC-1(a)(1) }} access control policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the access control policy and the associated access controls;</li></ul>","uuid":"50a62344-9d43-4d00-967e-1114701d2d29"},{"objectiveType":"","otherId":"ac-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, AC-1(b) }} to manage the development, documentation, and dissemination of the access control policy and procedures; and</li></ul>","uuid":"76ab69c9-efc6-41d4-b418-4e38e8772f5c"},{"objectiveType":"","otherId":"ac-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current access control:</li><ul><li>1. Policy {{ insert: param, AC-1(c)(1)-1 }} and following {{ insert: param, AC-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, AC-1(c)(2)-1 }} and following {{ insert: param, AC-1(c)(2)-2 }}.</li></ul>","uuid":"19c58147-1b94-421b-b5a5-3ac358f7745c"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, AC-1(a) }}:</li><ul><li>1. {{ insert: param, AC-1(a)(1) }} access control policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the access control policy and the associated access controls;</li></ul><li>b. Designate an {{ insert: param, AC-1(b) }} to manage the development, documentation, and dissemination of the access control policy and procedures; and</li><li>c. Review and update the current access control:</li><ul><li>1. Policy {{ insert: param, AC-1(c)(1)-1 }} and following {{ insert: param, AC-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, AC-1(c)(2)-1 }} and following {{ insert: param, AC-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Access control policy and procedures address the controls in the AC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of access control policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to access control policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"b34c723c-c90e-4a96-be03-2934ff76ff86","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"24b8b418-fa36-473a-8b44-44e6fbaa5c3d","otherId":"ac-1_prm_1","parameterId":"AC-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"ddddeaee-1209-4243-9b4e-956a6d7d29f9","otherId":"ac-01_odp.03","parameterId":"AC-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the access control policy and procedures is defined;","uuid":"8d8d875f-d22e-47d8-b1b5-b5953b5ef7da","otherId":"ac-01_odp.04","parameterId":"AC-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current access control policy is reviewed and updated is defined;","uuid":"71735cf6-5414-439c-a07f-6d3e75d9423b","otherId":"ac-01_odp.05","parameterId":"AC-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current access control policy to be reviewed and updated are defined;","uuid":"5420c8f2-d05f-4874-87c4-6df1bbd150e1","otherId":"ac-01_odp.06","parameterId":"AC-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current access control procedures are reviewed and updated is defined;","uuid":"e6f7c5d0-f27b-48d7-ab06-33a00936e168","otherId":"ac-01_odp.07","parameterId":"AC-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require procedures to be reviewed and updated are defined;","uuid":"3881164b-e16e-4ef8-a3c6-e07907873da0","otherId":"ac-01_odp.08","parameterId":"AC-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"AC-01a.[01]","test":"Assessment Objective: Determine if an access control policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a-1","defaultText":null,"uuid":"25be96cf-7737-4cac-b4a7-c7eecedc5d12"},{"testId":"AC-01a.[02]","test":"Assessment Objective: Determine if the access control policy is disseminated to {{ insert: param, ac-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a-2","defaultText":null,"uuid":"6bb62193-a942-4228-aa6b-5bc7be5930b0"},{"testId":"AC-01a.[03]","test":"Assessment Objective: Determine if access control procedures to facilitate the implementation of the access control policy and associated controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a-3","defaultText":null,"uuid":"ef6fadb3-0926-49c4-b033-ceaccde62de0"},{"testId":"AC-01a.[04]","test":"Assessment Objective: Determine if the access control procedures are disseminated to {{ insert: param, ac-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a-4","defaultText":null,"uuid":"c30c77c9-2c79-4369-8102-939e20aab4b8"},{"testId":"AC-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.a-1","defaultText":null,"uuid":"86fb5fd6-6a49-4f38-91c4-26fa870a9e37"},{"testId":"AC-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.a-2","defaultText":null,"uuid":"35d3f0dd-0ec3-4f1c-91cd-986a4f066da8"},{"testId":"AC-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.a-3","defaultText":null,"uuid":"ccb53d13-cc31-4e68-a883-5dba7ed57ecf"},{"testId":"AC-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.a-4","defaultText":null,"uuid":"098c586c-b895-4a58-96ee-e31276061220"},{"testId":"AC-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.a-5","defaultText":null,"uuid":"3bee1b82-8265-43ae-958c-5cb7424f97e9"},{"testId":"AC-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.a-6","defaultText":null,"uuid":"8920a715-139e-448e-a69e-750cd3acdf97"},{"testId":"AC-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.a-7","defaultText":null,"uuid":"129cd5ff-31bd-4a62-9c11-5abf18bb76b2"},{"testId":"AC-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.03 }} access control policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.a.1.b","defaultText":null,"uuid":"f4651602-4803-4926-9bc2-a31830ff86fc"},{"testId":"AC-01b.","test":"Assessment Objective: Determine if the {{ insert: param, ac-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the access control policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.b","defaultText":null,"uuid":"213679f9-90f3-41b4-a8be-0643b6844178"},{"testId":"AC-01c.01[01]","test":"Assessment Objective: Determine if the current access control policy is reviewed and updated {{ insert: param, ac-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.c.1-1","defaultText":null,"uuid":"12d66e48-f67d-4e23-97aa-7448706e02ea"},{"testId":"AC-01c.01[02]","test":"Assessment Objective: Determine if the current access control policy is reviewed and updated following {{ insert: param, ac-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.c.1-2","defaultText":null,"uuid":"86020993-35c5-4017-9752-6b1574055931"},{"testId":"AC-01c.02[01]","test":"Assessment Objective: Determine if the current access control procedures are reviewed and updated {{ insert: param, ac-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.c.2-1","defaultText":null,"uuid":"ea382131-edc6-4c5b-bfc7-e1e41b760d74"},{"testId":"AC-01c.02[02]","test":"Assessment Objective: Determine if the current access control procedures are reviewed and updated following {{ insert: param, ac-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul>","otherId":"ac-1_obj.c.2-2","defaultText":null,"uuid":"eb994003-f75f-4f80-b559-a33a99c8b1f2"}],"weight":1,"title":"AC-01 - Policy and Procedures","enhancements":"","otherId":"ac-1","sortId":"ac-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-1"},{"objectives":[{"objectiveType":"","otherId":"ac-2.1_smt","name":"AC-2(1)","description":"Support the management of system accounts using {{ insert: param, AC-2(1) }}.","uuid":"783000a5-717a-4479-b215-c0d375b8bcbe"}],"description":"<p>Support the management of system accounts using {{ insert: param, AC-2(1) }}.</p><br/><strong>Guidance</strong><p>Automated system account management includes using automated mechanisms to create, enable, modify, disable, and remove accounts; notify account managers when an account is created, enabled, modified, disabled, or removed, or when users are terminated or transferred; monitor system account usage; and report atypical system account usage. Automated mechanisms can include internal system functions and email, telephonic, and text messaging notifications.</p>","uuid":"b58c541e-806a-40bd-8049-292ccfb84b85","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms used to support the management of system accounts are defined;","uuid":"0b2064f4-a2cd-4cfe-b8a3-74ad13ad603e","otherId":"ac-02.01_odp","parameterId":"AC-2(1)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"AC-02(01)","test":"Assessment Objective: Determine if the management of system accounts is supported using {{ insert: param, ac-02.01_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms for implementing account management functions.</li></ul>","otherId":"ac-2.1_obj","defaultText":null,"uuid":"df0ad929-f3bc-405e-b810-88dcacfc7361"}],"weight":1,"title":"AC-02(01) - Automated System Account Management","enhancements":null,"otherId":"ac-2.1","sortId":"ac-02.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(1)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.2_smt","name":"AC-2(2)","description":"Automatically {{ insert: param, AC-2(2)-1 }} temporary and emergency accounts after {{ insert: param, AC-2(2)-2 }}.","uuid":"3e7b87e4-77d6-47c0-8c7e-145d340368c6"}],"description":"<p>Automatically {{ insert: param, AC-2(2)-1 }} temporary and emergency accounts after {{ insert: param, AC-2(2)-2 }}.</p><br/><strong>Guidance</strong><p>Management of temporary and emergency accounts includes the removal or disabling of such accounts automatically after a predefined time period rather than at the convenience of the system administrator. Automatic removal or disabling of accounts provides a more consistent implementation.</p>","uuid":"4cab31cd-fee4-435c-87dc-97c4d8094c56","family":"Access Control","parameters":[{"constraints":"Selection: disables","displayName":"","dataType":"","guidance":"","uuid":"6fecddf8-bf54-4c97-8f96-7af0d1a0c712","otherId":"ac-02.02_odp.01","parameterId":"AC-2(2)-1","text":"[Selection: remove; disable]","default":"[FedRAMP Assignment: Selection: disables]"},{"constraints":"no more than 96 hours from last use","displayName":"","dataType":"","guidance":"the time period after which to automatically remove or disable temporary or emergency accounts is defined;","uuid":"077d3116-8345-451b-a84d-c1f95755b4c8","otherId":"ac-02.02_odp.02","parameterId":"AC-2(2)-2","text":"time period","default":"[FedRAMP Assignment: no more than 96 hours from last use]"}],"subControls":null,"tests":[{"testId":"AC-02(02)","test":"Assessment Objective: Determine if temporary and emergency accounts are automatically {{ insert: param, ac-02.02_odp.01 }} after {{ insert: param, ac-02.02_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of temporary accounts removed and/or disabled.</li><li>System-generated list of emergency accounts removed and/or disabled.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms for implementing account management functions.</li></ul>","otherId":"ac-2.2_obj","defaultText":null,"uuid":"44f25069-2a37-45fd-9a2b-b8155b2846b3"}],"weight":1,"title":"AC-02(02) - Automated Temporary and Emergency Account Management","enhancements":null,"otherId":"ac-2.2","sortId":"ac-02.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(2)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.3_smt.a","name":"(a)","description":"<ul><li>(a) Disable accounts within {{ insert: param, AC-2(3) }} when the accounts: Have expired;</li></ul>","uuid":"1cd9d53d-8a65-45bb-b2bd-88a2386ab82a"},{"objectiveType":"","otherId":"ac-2.3_smt.b","name":"(b)","description":"<ul><li>(b) Disable accounts within {{ insert: param, AC-2(3) }} when the accounts: Are no longer associated with a user or individual;</li></ul>","uuid":"1cee905a-2efe-4d35-b837-b811b1cfe856"},{"objectiveType":"","otherId":"ac-2.3_smt.c","name":"(c)","description":"<ul><li>(c) Disable accounts within {{ insert: param, AC-2(3) }} when the accounts: Are in violation of organizational policy; or</li></ul>","uuid":"d2a80089-bcc4-4ac8-a8c2-0038f657cfe5"},{"objectiveType":"","otherId":"ac-2.3_smt.d","name":"(d)","description":"<ul><li>(d) Disable accounts within {{ insert: param, AC-2(3) }} when the accounts: Have been inactive for {{ insert: param, AC-2(3)(d) }}.</li></ul>","uuid":"371f9786-2cd8-4796-b565-00334dad1039"}],"description":"<p>Disable accounts within {{ insert: param, AC-2(3) }} when the accounts:</p><ul><li>(a) Have expired;</li><li>(b) Are no longer associated with a user or individual;</li><li>(c) Are in violation of organizational policy; or</li><li>(d) Have been inactive for {{ insert: param, AC-2(3)(d) }}.</li></ul><br/><strong>Guidance</strong><p>Disabling expired, inactive, or otherwise anomalous accounts supports the concepts of least privilege and least functionality which reduce the attack surface of the system.</p><br/><strong>AC-2 (3) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> For DoD clouds, see DoD cloud website for specific DoD requirements that go above and beyond FedRAMP https://public.cyber.mil/dccs/.</li><li><b>Requirement:</b> The service provider defines the time period for non-user accounts (e.g., accounts associated with devices). The time periods are approved and accepted by the JAB/AO. Where user management is a function of the service, reports of activity of consumer users shall be made available.</li><li><b>(d) Requirement:</b> The service provider defines the time period of inactivity for device identifiers.</li></ul>","uuid":"c02a06c4-3291-4886-8835-b66b8a8a94c1","family":"Access Control","parameters":[{"constraints":"24 hours for user accounts","displayName":"","dataType":"","guidance":"time period within which to disable accounts is defined;","uuid":"eea5bd83-809b-4829-9f0d-bd9a05f77b6a","otherId":"ac-02.03_odp.01","parameterId":"AC-2(3)","text":"time period","default":"[FedRAMP Assignment: 24 hours for user accounts]"},{"constraints":"ninety (90) days (See additional requirements and guidance.)","displayName":"","dataType":"","guidance":"time period for account inactivity before disabling is defined;","uuid":"deb11305-dba6-4ede-8919-29aca5cbd3c9","otherId":"ac-02.03_odp.02","parameterId":"AC-2(3)(d)","text":"time period","default":"[FedRAMP Assignment: ninety (90) days (See additional requirements and guidance.)]"}],"subControls":null,"tests":[{"testId":"AC-02(03)(a)","test":"Assessment Objective: Determine if accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have expired;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures for addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of accounts removed.</li><li>System-generated list of emergency accounts disabled.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms for implementing account management functions.</li></ul>","otherId":"ac-2.3_obj.a","defaultText":null,"uuid":"586faaae-503c-4186-8040-cd4850d69181"},{"testId":"AC-02(03)(b)","test":"Assessment Objective: Determine if accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are no longer associated with a user or individual;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures for addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of accounts removed.</li><li>System-generated list of emergency accounts disabled.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms for implementing account management functions.</li></ul>","otherId":"ac-2.3_obj.b","defaultText":null,"uuid":"61a0776a-eb0f-47a1-b92f-7d78a5bef185"},{"testId":"AC-02(03)(c)","test":"Assessment Objective: Determine if accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts are in violation of organizational policy;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures for addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of accounts removed.</li><li>System-generated list of emergency accounts disabled.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms for implementing account management functions.</li></ul>","otherId":"ac-2.3_obj.c","defaultText":null,"uuid":"61a8079d-814b-4455-ab75-e82d30a4c96b"},{"testId":"AC-02(03)(d)","test":"Assessment Objective: Determine if accounts are disabled within {{ insert: param, ac-02.03_odp.01 }} when the accounts have been inactive for {{ insert: param, ac-02.03_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures for addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of accounts removed.</li><li>System-generated list of emergency accounts disabled.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms for implementing account management functions.</li></ul>","otherId":"ac-2.3_obj.d","defaultText":null,"uuid":"a21dbf84-18c0-41ef-bd45-d207f907edcd"}],"weight":1,"title":"AC-02(03) - Disable Accounts","enhancements":null,"otherId":"ac-2.3","sortId":"ac-02.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(3)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.4_smt","name":"AC-2(4)","description":"Automatically audit account creation, modification, enabling, disabling, and removal actions.","uuid":"521a2a6c-814f-4d87-926e-7569999aaab8"}],"description":"<p>Automatically audit account creation, modification, enabling, disabling, and removal actions.</p><br/><strong>Guidance</strong><p>Account management audit records are defined in accordance with <a href=\"#au-2\">AU-2</a> and reviewed, analyzed, and reported in accordance with <a href=\"#au-6\">AU-6</a>.</p>","uuid":"16b95f51-c554-4601-a4d2-4715ad473fbf","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-02(04)[01]","test":"Assessment Objective: Determine if account creation is automatically audited;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Notifications/alerts of account creation, modification, enabling, disabling, and removal actions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.4_obj-1","defaultText":null,"uuid":"bd3ef961-8f9b-46b8-af8c-1fb2ab5a8f56"},{"testId":"AC-02(04)[02]","test":"Assessment Objective: Determine if account modification is automatically audited;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Notifications/alerts of account creation, modification, enabling, disabling, and removal actions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.4_obj-2","defaultText":null,"uuid":"5a1dbd5c-f25d-4a7a-ac7d-aa90650fa0d3"},{"testId":"AC-02(04)[03]","test":"Assessment Objective: Determine if account enabling is automatically audited;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Notifications/alerts of account creation, modification, enabling, disabling, and removal actions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.4_obj-3","defaultText":null,"uuid":"eaf67cff-6aaf-4687-8cbe-fed877a827b0"},{"testId":"AC-02(04)[04]","test":"Assessment Objective: Determine if account disabling is automatically audited;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Notifications/alerts of account creation, modification, enabling, disabling, and removal actions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.4_obj-4","defaultText":null,"uuid":"bd8a709f-ac25-439b-a7fc-470a711474bc"},{"testId":"AC-02(04)[05]","test":"Assessment Objective: Determine if account removal actions are automatically audited.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Notifications/alerts of account creation, modification, enabling, disabling, and removal actions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.4_obj-5","defaultText":null,"uuid":"1a724097-0ece-4a82-94c9-53f2f4632fb0"}],"weight":1,"title":"AC-02(04) - Automated Audit Actions","enhancements":null,"otherId":"ac-2.4","sortId":"ac-02.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(4)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.5_smt","name":"AC-2(5)","description":"Require that users log out when {{ insert: param, AC-2(5) }}.","uuid":"19e6bea4-6bbc-4076-9537-e13628d03c17"}],"description":"<p>Require that users log out when {{ insert: param, AC-2(5) }}.</p><br/><strong>Guidance</strong><p>Inactivity logout is behavior- or policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period. Automatic enforcement of inactivity logout is addressed by <a href=\"#ac-11\">AC-11</a>.</p><br/><strong>AC-2 (5) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Should use a shorter timeframe than AC-12.</li></ul>","uuid":"5b78f322-e357-4306-8441-00258188fb0c","family":"Access Control","parameters":[{"constraints":"for privileged users, it is the end of a user's standard work period","displayName":"","dataType":"","guidance":"the time period of expected inactivity or description of when to log out is defined;","uuid":"5e942f9b-39ba-4e53-b7f4-6ace1606d64e","otherId":"ac-02.05_odp","parameterId":"AC-2(5)","text":"time period of expected inactivity or description of when to log out","default":"[FedRAMP Assignment: for privileged users, it is the end of a user's standard work period]"}],"subControls":null,"tests":[{"testId":"AC-02(05)","test":"Assessment Objective: Determine if users are required to log out when {{ insert: param, ac-02.05_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Security violation reports.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Users that must comply with inactivity logout policy.</li></ul>","otherId":"ac-2.5_obj","defaultText":null,"uuid":"65d5fde1-e917-4d05-98be-cd8b7ae4684c"}],"weight":1,"title":"AC-02(05) - Inactivity Logout","enhancements":null,"otherId":"ac-2.5","sortId":"ac-02.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(5)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.7_smt.a","name":"(a)","description":"<ul><li>(a) Establish and administer privileged user accounts in accordance with {{ insert: param, AC-2(7)(a) }};</li></ul>","uuid":"cfc7899c-7dc0-4105-a221-f319ea99dee2"},{"objectiveType":"","otherId":"ac-2.7_smt.b","name":"(b)","description":"<ul><li>(b) Monitor privileged role or attribute assignments;</li></ul>","uuid":"6c628961-b00a-4269-9a7d-9d34ec27fee2"},{"objectiveType":"","otherId":"ac-2.7_smt.c","name":"(c)","description":"<ul><li>(c) Monitor changes to roles or attributes; and</li></ul>","uuid":"804ebb4f-8e59-4519-97ca-35dd4fa44bfc"},{"objectiveType":"","otherId":"ac-2.7_smt.d","name":"(d)","description":"<ul><li>(d) Revoke access when privileged role or attribute assignments are no longer appropriate.</li></ul>","uuid":"13c7b466-1f65-4ff7-aef7-21cda2c9b213"}],"description":"<ul><li>(a) Establish and administer privileged user accounts in accordance with {{ insert: param, AC-2(7)(a) }};</li><li>(b) Monitor privileged role or attribute assignments;</li><li>(c) Monitor changes to roles or attributes; and</li><li>(d) Revoke access when privileged role or attribute assignments are no longer appropriate.</li></ul><br/><strong>Guidance</strong><p>Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. Privileged roles include key management, account management, database administration, system and network administration, and web administration. A role-based access scheme organizes permitted system access and privileges into roles. In contrast, an attribute-based access scheme specifies allowed system access and privileges based on attributes.</p>","uuid":"3469bb1b-ba2e-48c2-83c9-ee6b7ca9d538","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"3b568929-cdde-4e45-98da-f7d42484426c","otherId":"ac-02.07_odp","parameterId":"AC-2(7)(a)","text":"[Selection: a role-based access scheme; an attribute-based access scheme]","default":"[Selection: a role-based access scheme; an attribute-based access scheme]"}],"subControls":null,"tests":[{"testId":"AC-02(07)(a)","test":"Assessment Objective: Determine if privileged user accounts are established and administered in accordance with {{ insert: param, ac-02.07_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of privileged user accounts and associated roles.</li><li>Records of actions taken when privileged role assignments are no longer appropriate.</li><li>System audit records.</li><li>Audit tracking and monitoring reports.</li><li>System monitoring records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing account management functions.</li><li>Mechanisms monitoring privileged role assignments.</li></ul>","otherId":"ac-2.7_obj.a","defaultText":null,"uuid":"fa54af83-e38a-4bee-8821-04cafb754bf5"},{"testId":"AC-02(07)(b)","test":"Assessment Objective: Determine if privileged role or attribute assignments are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of privileged user accounts and associated roles.</li><li>Records of actions taken when privileged role assignments are no longer appropriate.</li><li>System audit records.</li><li>Audit tracking and monitoring reports.</li><li>System monitoring records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing account management functions.</li><li>Mechanisms monitoring privileged role assignments.</li></ul>","otherId":"ac-2.7_obj.b","defaultText":null,"uuid":"158f3fc4-942d-490a-aaa7-1e9c831b13d5"},{"testId":"AC-02(07)(c)","test":"Assessment Objective: Determine if changes to roles or attributes are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of privileged user accounts and associated roles.</li><li>Records of actions taken when privileged role assignments are no longer appropriate.</li><li>System audit records.</li><li>Audit tracking and monitoring reports.</li><li>System monitoring records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing account management functions.</li><li>Mechanisms monitoring privileged role assignments.</li></ul>","otherId":"ac-2.7_obj.c","defaultText":null,"uuid":"af16bcb6-d5e9-4259-9509-7ea259507ed8"},{"testId":"AC-02(07)(d)","test":"Assessment Objective: Determine if access is revoked when privileged role or attribute assignments are no longer appropriate.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of privileged user accounts and associated roles.</li><li>Records of actions taken when privileged role assignments are no longer appropriate.</li><li>System audit records.</li><li>Audit tracking and monitoring reports.</li><li>System monitoring records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing account management functions.</li><li>Mechanisms monitoring privileged role assignments.</li></ul>","otherId":"ac-2.7_obj.d","defaultText":null,"uuid":"e928af42-23da-4870-923c-fbb36a8d3c19"}],"weight":1,"title":"AC-02(07) - Privileged User Accounts","enhancements":null,"otherId":"ac-2.7","sortId":"ac-02.07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(7)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.9_smt","name":"AC-2(9)","description":"Only permit the use of shared and group accounts that meet {{ insert: param, AC-2(9) }}.","uuid":"7ee47f25-8989-416b-bfbf-41f39cf1f2ec"}],"description":"<p>Only permit the use of shared and group accounts that meet {{ insert: param, AC-2(9) }}.</p><br/><strong>Guidance</strong><p>Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts.</p><br/><strong>AC-2 (9) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> Required if shared/group accounts are deployed.</li></ul>","uuid":"f666bfbc-7134-4bcd-84ef-8b78f01ce085","family":"Access Control","parameters":[{"constraints":"organization-defined need with justification statement that explains why such accounts are necessary","displayName":"","dataType":"","guidance":"conditions for establishing shared and group accounts are defined;","uuid":"22577d70-5add-4fef-87ac-1625d6345cd1","otherId":"ac-02.09_odp","parameterId":"AC-2(9)","text":"conditions","default":"[FedRAMP Assignment: organization-defined need with justification statement that explains why such accounts are necessary]"}],"subControls":null,"tests":[{"testId":"AC-02(09)","test":"Assessment Objective: Determine if the use of shared and group accounts is only permitted if {{ insert: param, ac-02.09_odp }} are met.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of shared/group accounts and associated roles.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing management of shared/group accounts.</li></ul>","otherId":"ac-2.9_obj","defaultText":null,"uuid":"107ac426-1a09-4927-b2ff-04e4c59da273"}],"weight":1,"title":"AC-02(09) - Restrictions on Use of Shared and Group Accounts","enhancements":null,"otherId":"ac-2.9","sortId":"ac-02.09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(9)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.12_smt.a","name":"(a)","description":"<ul><li>(a) Monitor system accounts for {{ insert: param, AC-2(12)(a) }} ; and</li></ul>","uuid":"405f5d15-d964-4e52-b4d9-6dc5807042e6"},{"objectiveType":"","otherId":"ac-2.12_smt.b","name":"(b)","description":"<ul><li>(b) Report atypical usage of system accounts to {{ insert: param, AC-2(12)(b) }}.</li></ul>","uuid":"1632b039-62cc-47c5-8912-48d62cdb0f09"}],"description":"<ul><li>(a) Monitor system accounts for {{ insert: param, AC-2(12)(a) }} ; and</li><li>(b) Report atypical usage of system accounts to {{ insert: param, AC-2(12)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Atypical usage includes accessing systems at certain times of the day or from locations that are not consistent with the normal usage patterns of individuals. Monitoring for atypical usage may reveal rogue behavior by individuals or an attack in progress. Account monitoring may inadvertently create privacy risks since data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document privacy risks from monitoring accounts for atypical usage in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.</p><br/><strong>AC-2 (12) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(a) Requirement:</b> Required for privileged accounts.</li><li><b>(b) Requirement:</b> Required for privileged accounts.</li></ul>","uuid":"9f8ca627-9852-429d-86f7-602b326339c5","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"atypical usage for which to monitor system accounts is defined;","uuid":"4913a3ed-affd-4c25-a7c8-7c12ba711af6","otherId":"ac-02.12_odp.01","parameterId":"AC-2(12)(a)","text":"atypical usage","default":" [Assignment: organization-defined atypical usage] "},{"constraints":"at a minimum, the ISSO and/or similar role within the organization","displayName":"","dataType":"","guidance":"personnel or roles to report atypical usage is/are defined;","uuid":"246eaad0-41a3-4c29-8752-dbe513de4de6","otherId":"ac-02.12_odp.02","parameterId":"AC-2(12)(b)","text":"personnel or roles","default":"[FedRAMP Assignment: at a minimum, the ISSO and/or similar role within the organization]"}],"subControls":null,"tests":[{"testId":"AC-02(12)(a)","test":"Assessment Objective: Determine if system accounts are monitored for {{ insert: param, ac-02.12_odp.01 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System monitoring records.</li><li>System audit records.</li><li>Audit tracking and monitoring reports.</li><li>Privacy impact assessment.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.12_obj.a","defaultText":null,"uuid":"ae5c692c-ca76-40d7-bdbc-480d908f279d"},{"testId":"AC-02(12)(b)","test":"Assessment Objective: Determine if atypical usage of system accounts is reported to {{ insert: param, ac-02.12_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System monitoring records.</li><li>System audit records.</li><li>Audit tracking and monitoring reports.</li><li>Privacy impact assessment.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.12_obj.b","defaultText":null,"uuid":"30325888-3c3e-447c-8d3b-9d815d52458c"}],"weight":1,"title":"AC-02(12) - Account Monitoring for Atypical Usage","enhancements":null,"otherId":"ac-2.12","sortId":"ac-02.12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(12)"},{"objectives":[{"objectiveType":"","otherId":"ac-2.13_smt","name":"AC-2(13)","description":"Disable accounts of individuals within {{ insert: param, AC-2(13)-1 }} of discovery of {{ insert: param, AC-2(13)-2 }}.","uuid":"fd4ec913-544e-40ab-b556-ae84d189f2fe"}],"description":"<p>Disable accounts of individuals within {{ insert: param, AC-2(13)-1 }} of discovery of {{ insert: param, AC-2(13)-2 }}.</p><br/><strong>Guidance</strong><p>Users who pose a significant security and/or privacy risk include individuals for whom reliable evidence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes adverse impacts to organizational operations, organizational assets, individuals, other organizations, or the Nation. Close coordination among system administrators, legal staff, human resource managers, and authorizing officials is essential when disabling system accounts for high-risk individuals.</p>","uuid":"b710c3aa-b219-462f-a32e-a81188b145dd","family":"Access Control","parameters":[{"constraints":"one (1) hour","displayName":"","dataType":"","guidance":"time period within which to disable accounts of individuals who are discovered to pose significant risk is defined;","uuid":"bf3c14cb-7a28-492e-9056-f7de1a7557df","otherId":"ac-02.13_odp.01","parameterId":"AC-2(13)-1","text":"time period","default":"[FedRAMP Assignment: one (1) hour]"},{"constraints":"","displayName":"","dataType":"","guidance":"significant risks leading to disabling accounts are defined;","uuid":"a73ef597-dcec-4fcf-866b-36dc8be9c827","otherId":"ac-02.13_odp.02","parameterId":"AC-2(13)-2","text":"significant risks","default":" [Assignment: organization-defined significant risks] "}],"subControls":null,"tests":[{"testId":"AC-02(13)","test":"Assessment Objective: Determine if accounts of individuals are disabled within {{ insert: param, ac-02.13_odp.01 }} of discovery of {{ insert: param, ac-02.13_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of disabled accounts.</li><li>List of user activities posing significant organizational risk.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing account management functions.</li></ul>","otherId":"ac-2.13_obj","defaultText":null,"uuid":"45de2b8a-9483-40a4-a85f-6a99e990b6ba"}],"weight":1,"title":"AC-02(13) - Disable Accounts for High-risk Individuals","enhancements":null,"otherId":"ac-2.13","sortId":"ac-02.13","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2(13)"},{"objectives":[{"objectiveType":"","otherId":"ac-2_smt.a","name":"a.","description":"<ul><li>a. Define and document the types of accounts allowed and specifically prohibited for use within the system;</li></ul>","uuid":"bb352d27-fe48-4558-8ed9-0260d803ea17"},{"objectiveType":"","otherId":"ac-2_smt.b","name":"b.","description":"<ul><li>b. Assign account managers;</li></ul>","uuid":"b1ca6d2f-9190-4c5d-b38d-0cc8fd0d669c"},{"objectiveType":"","otherId":"ac-2_smt.c","name":"c.","description":"<ul><li>c. Require {{ insert: param, AC-2(c) }} for group and role membership;</li></ul>","uuid":"26fb2d23-4b1c-40fe-94d6-06b56a19d640"},{"objectiveType":"","otherId":"ac-2_smt.d","name":"d.","description":"<ul><li>d. Specify:</li><ul><li>1. Authorized users of the system;</li><li>2. Group and role membership; and</li><li>3. Access authorizations (i.e., privileges) and {{ insert: param, AC-2(d)(3) }} for each account;</li></ul>","uuid":"24f2db31-5e49-466f-989c-428a1ff8771e"},{"objectiveType":"","otherId":"ac-2_smt.e","name":"e.","description":"<ul><li>e. Require approvals by {{ insert: param, AC-2(e) }} for requests to create accounts;</li></ul>","uuid":"5c4c627b-25ce-4a00-8ad9-33d612e2aa50"},{"objectiveType":"","otherId":"ac-2_smt.f","name":"f.","description":"<ul><li>f. Create, enable, modify, disable, and remove accounts in accordance with {{ insert: param, AC-2(f) }};</li></ul>","uuid":"83853452-4406-428e-9a0d-638ea807ce9e"},{"objectiveType":"","otherId":"ac-2_smt.g","name":"g.","description":"<ul><li>g. Monitor the use of accounts;</li></ul>","uuid":"f877e36e-2ee2-4680-970a-32a36c95ab48"},{"objectiveType":"","otherId":"ac-2_smt.h","name":"h.","description":"<ul><li>h. Notify account managers and {{ insert: param, AC-2(h) }} within:</li><ul><li>1. {{ insert: param, AC-2(h)(1) }} when accounts are no longer required;</li><li>2. {{ insert: param, AC-2(h)(2) }} when users are terminated or transferred; and</li><li>3. {{ insert: param, AC-2(h)(3) }} when system usage or need-to-know changes for an individual;</li></ul>","uuid":"ef57d283-b729-4008-863b-d1285660f669"},{"objectiveType":"","otherId":"ac-2_smt.i","name":"i.","description":"<ul><li>i. Authorize access to the system based on:</li><ul><li>1. A valid access authorization;</li><li>2. Intended system usage; and</li><li>3. {{ insert: param, AC-2(i)(3) }};</li></ul>","uuid":"915989ca-c808-43c9-bb3d-4ea6b3a6f4ee"},{"objectiveType":"","otherId":"ac-2_smt.j","name":"j.","description":"<ul><li>j. Review accounts for compliance with account management requirements {{ insert: param, AC-2(j) }};</li></ul>","uuid":"a5634caa-01a6-4cc5-a39e-15e09c940130"},{"objectiveType":"","otherId":"ac-2_smt.k","name":"k.","description":"<ul><li>k. Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and</li></ul>","uuid":"c7e3c856-9ca4-4354-989b-ec050cfab087"},{"objectiveType":"","otherId":"ac-2_smt.l","name":"l.","description":"<ul><li>l. Align account management processes with personnel termination and transfer processes.</li></ul>","uuid":"9ce22c6e-e75d-442f-8f6d-1e03760f3f16"}],"description":"<ul><li>a. Define and document the types of accounts allowed and specifically prohibited for use within the system;</li><li>b. Assign account managers;</li><li>c. Require {{ insert: param, AC-2(c) }} for group and role membership;</li><li>d. Specify:</li><ul><li>1. Authorized users of the system;</li><li>2. Group and role membership; and</li><li>3. Access authorizations (i.e., privileges) and {{ insert: param, AC-2(d)(3) }} for each account;</li></ul><li>e. Require approvals by {{ insert: param, AC-2(e) }} for requests to create accounts;</li><li>f. Create, enable, modify, disable, and remove accounts in accordance with {{ insert: param, AC-2(f) }};</li><li>g. Monitor the use of accounts;</li><li>h. Notify account managers and {{ insert: param, AC-2(h) }} within:</li><ul><li>1. {{ insert: param, AC-2(h)(1) }} when accounts are no longer required;</li><li>2. {{ insert: param, AC-2(h)(2) }} when users are terminated or transferred; and</li><li>3. {{ insert: param, AC-2(h)(3) }} when system usage or need-to-know changes for an individual;</li></ul><li>i. Authorize access to the system based on:</li><ul><li>1. A valid access authorization;</li><li>2. Intended system usage; and</li><li>3. {{ insert: param, AC-2(i)(3) }};</li></ul><li>j. Review accounts for compliance with account management requirements {{ insert: param, AC-2(j) }};</li><li>k. Establish and implement a process for changing shared or group account authenticators (if deployed) when individuals are removed from the group; and</li><li>l. Align account management processes with personnel termination and transfer processes.</li></ul><br/><strong>Guidance</strong><p>Examples of system account types include individual, shared, group, system, guest, anonymous, emergency, developer, temporary, and service. Identification of authorized system users and the specification of access privileges reflect the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access, including system owner, mission or business owner, senior agency information security officer, or senior agency official for privacy. Types of accounts that organizations may wish to prohibit due to increased risk include shared, group, emergency, anonymous, temporary, and guest accounts.</p><p>Where access involves personally identifiable information, security programs collaborate with the senior agency official for privacy to establish the specific conditions for group and role membership; specify authorized users, group and role membership, and access authorizations for each account; and create, adjust, or remove system accounts in accordance with organizational policies. Policies can include such information as account expiration dates or other factors that trigger the disabling of accounts. Organizations may choose to define access privileges or other attributes by account, type of account, or a combination of the two. Examples of other attributes required for authorizing access include restrictions on time of day, day of week, and point of origin. In defining other system account attributes, organizations consider system-related requirements and mission/business requirements. Failure to consider these factors could affect system availability.</p><p>Temporary and emergency accounts are intended for short-term use. Organizations establish temporary accounts as part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts, including local logon accounts used for special tasks or when network resources are unavailable (may also be known as accounts of last resort). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include when shared/group, emergency, or temporary accounts are no longer required and when individuals are transferred or terminated. Changing shared/group authenticators when members leave the group is intended to ensure that former group members do not retain access to the shared or group account. Some types of system accounts may require specialized training.</p>","uuid":"baedbb34-9729-4d01-abb4-21ea09f77512","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"prerequisites and criteria for group and role membership are defined;","uuid":"0d51610b-cace-4e28-9f03-8ae47ff65aa1","otherId":"ac-02_odp.01","parameterId":"AC-2(c)","text":"prerequisites and criteria","default":" [Assignment: organization-defined prerequisites and criteria] "},{"constraints":"","displayName":"","dataType":"","guidance":"attributes (as required) for each account are defined;","uuid":"67c5d2c3-53fd-4410-bd51-78fdad8d7fb7","otherId":"ac-02_odp.02","parameterId":"AC-2(d)(3)","text":"attributes (as required)","default":" [Assignment: organization-defined attributes (as required)] "},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles required to approve requests to create accounts is/are defined;","uuid":"b5d9e579-6f63-49d9-b002-bfbe7337f153","otherId":"ac-02_odp.03","parameterId":"AC-2(e)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"policy, procedures, prerequisites, and criteria for account creation, enabling, modification, disabling, and removal are defined;","uuid":"2773006d-d711-4d40-9b05-68f9a39f31d6","otherId":"ac-02_odp.04","parameterId":"AC-2(f)","text":"policy, procedures, prerequisites, and criteria","default":" [Assignment: organization-defined policy, procedures, prerequisites, and criteria] "},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to be notified is/are defined;","uuid":"f4a49711-9668-4f24-9db4-cd6f4c26efde","otherId":"ac-02_odp.05","parameterId":"AC-2(h)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"twenty-four (24) hours","displayName":"","dataType":"","guidance":"time period within which to notify account managers when accounts are no longer required is defined;","uuid":"eac9bd3c-0001-40c2-a3c7-f0f369b136ff","otherId":"ac-02_odp.06","parameterId":"AC-2(h)(1)","text":"time period","default":"[FedRAMP Assignment: twenty-four (24) hours]"},{"constraints":"eight (8) hours","displayName":"","dataType":"","guidance":"time period within which to notify account managers when users are terminated or transferred is defined;","uuid":"c634e77a-23a1-4088-8884-ba091b036e9d","otherId":"ac-02_odp.07","parameterId":"AC-2(h)(2)","text":"time period","default":"[FedRAMP Assignment: eight (8) hours]"},{"constraints":"eight (8) hours","displayName":"","dataType":"","guidance":"time period within which to notify account managers when system usage or the need to know changes for an individual is defined;","uuid":"124700fa-34d0-4020-9cab-9a0ee39c2f11","otherId":"ac-02_odp.08","parameterId":"AC-2(h)(3)","text":"time period","default":"[FedRAMP Assignment: eight (8) hours]"},{"constraints":"","displayName":"","dataType":"","guidance":"attributes needed to authorize system access (as required) are defined;","uuid":"ea9a6339-a418-4829-81fa-49f0d577a892","otherId":"ac-02_odp.09","parameterId":"AC-2(i)(3)","text":"attributes (as required)","default":" [Assignment: organization-defined attributes (as required)] "},{"constraints":"quarterly for privileged access, annually for non-privileged access","displayName":"","dataType":"","guidance":"the frequency of account review is defined;","uuid":"9f2712a2-4e77-4939-bb19-8b298a8c0424","otherId":"ac-02_odp.10","parameterId":"AC-2(j)","text":"frequency","default":"[FedRAMP Assignment: quarterly for privileged access, annually for non-privileged access]"}],"subControls":null,"tests":[{"testId":"AC-02a.[01]","test":"Assessment Objective: Determine if account types allowed for use within the system are defined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.a-1","defaultText":null,"uuid":"2b41267e-5de7-43ff-afa6-618eefa2bcef"},{"testId":"AC-02a.[02]","test":"Assessment Objective: Determine if account types specifically prohibited for use within the system are defined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.a-2","defaultText":null,"uuid":"07c42884-5e64-45c6-910b-6a3b68010c7d"},{"testId":"AC-02b.","test":"Assessment Objective: Determine if account managers are assigned;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.b","defaultText":null,"uuid":"f3d3eab1-08ef-48cc-b517-6da4dc0d1d97"},{"testId":"AC-02c.","test":"Assessment Objective: Determine if \n{{ insert: param, ac-02_odp.01 }} for group and role membership are required;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.c","defaultText":null,"uuid":"22fbd0b4-cef6-4577-bc95-3d3cbcf8d757"},{"testId":"AC-02d.01","test":"Assessment Objective: Determine if authorized users of the system are specified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.d.1","defaultText":null,"uuid":"1c7aba59-e0b1-46d3-9b68-24670212d660"},{"testId":"AC-02d.02","test":"Assessment Objective: Determine if group and role membership are specified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.d.2","defaultText":null,"uuid":"3088790a-f6ec-4587-a965-65d40746d84f"},{"testId":"AC-02d.03[01]","test":"Assessment Objective: Determine if access authorizations (i.e., privileges) are specified for each account;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.d.3-1","defaultText":null,"uuid":"4bcc14bb-fb69-4250-a833-58e6999e835b"},{"testId":"AC-02d.03[02]","test":"Assessment Objective: Determine if \n{{ insert: param, ac-02_odp.02 }} are specified for each account;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.d.3-2","defaultText":null,"uuid":"5fb58385-6f43-404b-9b79-5f2d87ae4182"},{"testId":"AC-02e.","test":"Assessment Objective: Determine if approvals are required by {{ insert: param, ac-02_odp.03 }} for requests to create accounts;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.e","defaultText":null,"uuid":"cd64bf54-a868-4342-9d82-4547e98fe7eb"},{"testId":"AC-02f.[01]","test":"Assessment Objective: Determine if accounts are created in accordance with {{ insert: param, ac-02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.f-1","defaultText":null,"uuid":"6164b063-68bb-4728-b21d-5720cd6cccdd"},{"testId":"AC-02f.[02]","test":"Assessment Objective: Determine if accounts are enabled in accordance with {{ insert: param, ac-02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.f-2","defaultText":null,"uuid":"6628f6e0-dd2e-4040-83ba-4b21b3460aac"},{"testId":"AC-02f.[03]","test":"Assessment Objective: Determine if accounts are modified in accordance with {{ insert: param, ac-02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.f-3","defaultText":null,"uuid":"fdffeca8-c8b2-434a-9599-df9e1b5a7c9f"},{"testId":"AC-02f.[04]","test":"Assessment Objective: Determine if accounts are disabled in accordance with {{ insert: param, ac-02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.f-4","defaultText":null,"uuid":"216e33dd-37d9-4e5c-8e18-8217154f4705"},{"testId":"AC-02f.[05]","test":"Assessment Objective: Determine if accounts are removed in accordance with {{ insert: param, ac-02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.f-5","defaultText":null,"uuid":"a6ebfd60-e3f2-4bdc-a22b-6ac18233ca3b"},{"testId":"AC-02g.","test":"Assessment Objective: Determine if the use of accounts is monitored; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.g","defaultText":null,"uuid":"5fdb510f-a9ec-4e50-b37b-28dd0b76b109"},{"testId":"AC-02h.01","test":"Assessment Objective: Determine if account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.06 }} when accounts are no longer required;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.h.1","defaultText":null,"uuid":"ce406dcf-f700-441e-8abb-02daa7773bc4"},{"testId":"AC-02h.02","test":"Assessment Objective: Determine if account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.07 }} when users are terminated or transferred;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.h.2","defaultText":null,"uuid":"29cb7663-6aad-446a-8219-ae1ec5b4bc0b"},{"testId":"AC-02h.03","test":"Assessment Objective: Determine if account managers and {{ insert: param, ac-02_odp.05 }} are notified within {{ insert: param, ac-02_odp.08 }} when system usage or the need to know changes for an individual;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.h.3","defaultText":null,"uuid":"45c07483-6d4d-4958-a157-1824e46ebcbc"},{"testId":"AC-02i.01","test":"Assessment Objective: Determine if access to the system is authorized based on a valid access authorization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.i.1","defaultText":null,"uuid":"a841f660-9f8a-4920-90f2-4a1df94895a8"},{"testId":"AC-02i.02","test":"Assessment Objective: Determine if access to the system is authorized based on intended system usage;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.i.2","defaultText":null,"uuid":"f17a1695-2c2c-4bb9-8a79-1662de3bb479"},{"testId":"AC-02i.03","test":"Assessment Objective: Determine if access to the system is authorized based on {{ insert: param, ac-02_odp.09 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.i.3","defaultText":null,"uuid":"6007f489-fe9f-423f-a22e-ed958365725f"},{"testId":"AC-02j.","test":"Assessment Objective: Determine if accounts are reviewed for compliance with account management requirements {{ insert: param, ac-02_odp.10 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.j","defaultText":null,"uuid":"d51cee5b-7a43-45b4-8f62-f099c4f49b2a"},{"testId":"AC-02k.[01]","test":"Assessment Objective: Determine if a process is established for changing shared or group account authenticators (if deployed) when individuals are removed from the group;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.k-1","defaultText":null,"uuid":"f5163081-e268-494e-878a-f0637f75cd5e"},{"testId":"AC-02k.[02]","test":"Assessment Objective: Determine if a process is implemented for changing shared or group account authenticators (if deployed) when individuals are removed from the group;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.k-2","defaultText":null,"uuid":"b469d6c2-05e1-4560-9d74-eb48783fb1b4"},{"testId":"AC-02l.[01]","test":"Assessment Objective: Determine if account management processes are aligned with personnel termination processes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.l-1","defaultText":null,"uuid":"ce82dd7c-1d32-4374-a97e-076b897b69a3"},{"testId":"AC-02l.[02]","test":"Assessment Objective: Determine if account management processes are aligned with personnel transfer processes.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Personnel termination policy and procedure.</li><li>Personnel transfer policy and procedure.</li><li>Procedures for addressing account management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of active system accounts along with the name of the individual associated with each account.</li><li>List of recently disabled system accounts and the name of the individual associated with each account.</li><li>List of conditions for group and role membership.</li><li>Notifications of recent transfers, separations, or terminations of employees.</li><li>Access authorization records.</li><li>Account management compliance reviews.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for account management on the system.</li><li>Mechanisms for implementing account management.</li></ul>","otherId":"ac-2_obj.l-2","defaultText":null,"uuid":"25dca8de-e2c4-4801-819e-f4395ffcd4c9"}],"weight":1,"title":"AC-02 - Account Management","enhancements":"<strong>Enhancements</strong><ul><li>AC-2(1) - Automated System Account Management</li><li>AC-2(2) - Automated Temporary and Emergency Account Management</li><li>AC-2(3) - Disable Accounts</li><li>AC-2(4) - Automated Audit Actions</li><li>AC-2(5) - Inactivity Logout</li><li>AC-2(7) - Privileged User Accounts</li><li>AC-2(9) - Restrictions on Use of Shared and Group Accounts</li><li>AC-2(12) - Account Monitoring for Atypical Usage</li><li>AC-2(13) - Disable Accounts for High-risk Individuals</li></ul>","otherId":"ac-2","sortId":"ac-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-2"},{"objectives":[{"objectiveType":"","otherId":"ac-3_smt","name":"AC-3","description":"Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.","uuid":"b3696055-3b23-4518-86b6-da982d4d176e"}],"description":"<p>Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.</p><br/><strong>Guidance</strong><p>Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection ( <a href=\"#pe\">PE</a> ) family.</p>","uuid":"a8484535-fdfd-401c-900b-16c7b1069dbc","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-03","test":"Assessment Objective: Determine if approved authorizations for logical access to information and system resources are enforced in accordance with applicable access control policies.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing access enforcement.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of approved authorizations (user privileges).</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access enforcement responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing access control policy.</li></ul>","otherId":"ac-3_obj","defaultText":null,"uuid":"dc2d2122-54d2-43cb-9db1-c8d4c90c88a5"}],"weight":1,"title":"AC-03 - Access Enforcement","enhancements":"","otherId":"ac-3","sortId":"ac-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-3"},{"objectives":[{"objectiveType":"","otherId":"ac-4.21_smt","name":"AC-4(21)","description":"Separate information flows logically or physically using {{ insert: param, AC-4(21)-1 }} to accomplish {{ insert: param, AC-4(21)-2 }}.","uuid":"cc757ce4-fdb7-4611-a867-cfd6cf407e99"}],"description":"<p>Separate information flows logically or physically using {{ insert: param, AC-4(21)-1 }} to accomplish {{ insert: param, AC-4(21)-2 }}.</p><br/><strong>Guidance</strong><p>Enforcing the separation of information flows associated with defined types of data can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths that are not otherwise achievable. Types of separable information include inbound and outbound communications traffic, service requests and responses, and information of differing security impact or classification levels.</p>","uuid":"a527fc80-a21d-41f6-93f8-34f7ce2dccd3","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"bb86ef2d-f212-4adc-a077-4f849dbfd62b","otherId":"ac-4.21_prm_1","parameterId":"AC-4(21)-1","text":"organization-defined mechanisms and/or techniques","default":" [Assignment: organization-defined mechanisms and/or techniques] "},{"constraints":"","displayName":"","dataType":"","guidance":"required separations by types of information are defined;","uuid":"5f27b99d-b9f3-45fd-a768-3df7041b034a","otherId":"ac-04.21_odp.03","parameterId":"AC-4(21)-2","text":"required separations","default":" [Assignment: organization-defined required separations] "}],"subControls":null,"tests":[{"testId":"AC-04(21)[01]","test":"Assessment Objective: Determine if information flows are separated logically using {{ insert: param, ac-04.21_odp.01 }} to accomplish {{ insert: param, ac-04.21_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Information flow enforcement policy.</li><li>Information flow control policies.</li><li>Procedures addressing information flow enforcement.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of required separation of information flows by information types.</li><li>List of mechanisms and/or techniques used to logically or physically separate information flows.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information flow enforcement responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing information flow enforcement functions.</li></ul>","otherId":"ac-4.21_obj-1","defaultText":null,"uuid":"acbbc41d-9143-4ebe-9c4c-7dfbe466ad03"},{"testId":"AC-04(21)[02]","test":"Assessment Objective: Determine if information flows are separated physically using {{ insert: param, ac-04.21_odp.02 }} to accomplish {{ insert: param, ac-04.21_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Information flow enforcement policy.</li><li>Information flow control policies.</li><li>Procedures addressing information flow enforcement.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of required separation of information flows by information types.</li><li>List of mechanisms and/or techniques used to logically or physically separate information flows.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information flow enforcement responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing information flow enforcement functions.</li></ul>","otherId":"ac-4.21_obj-2","defaultText":null,"uuid":"2e0dfbd2-c644-4f8d-b940-348462d95338"}],"weight":1,"title":"AC-04(21) - Physical or Logical Separation of Information Flows","enhancements":null,"otherId":"ac-4.21","sortId":"ac-04.21","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-4(21)"},{"objectives":[{"objectiveType":"","otherId":"ac-4_smt","name":"AC-4","description":"Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, AC-4 }}.","uuid":"87d392db-7105-4de3-aaf1-52e0bb43f68b"}],"description":"<p>Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on {{ insert: param, AC-4 }}.</p><br/><strong>Guidance</strong><p>Information flow control regulates where information can travel within a system and between systems (in contrast to who is allowed to access the information) and without regard to subsequent accesses to that information. Flow control restrictions include blocking external traffic that claims to be from within the organization, keeping export-controlled information from being transmitted in the clear to the Internet, restricting web requests that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between organizations may require an agreement specifying how the information flow is enforced (see <a href=\"#ca-3\">CA-3</a> ). Transferring information between systems in different security or privacy domains with different security or privacy policies introduces the risk that such transfers violate one or more domain security or privacy policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between connected systems. Organizations consider mandating specific architectural solutions to enforce specific security and privacy policies. Enforcement includes prohibiting information transfers between connected systems (i.e., allowing access only), verifying write permissions before accepting information from another security or privacy domain or connected system, employing hardware mechanisms to enforce one-way information flows, and implementing trustworthy regrading mechanisms to reassign security or privacy attributes and labels.</p><p>Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations within systems and between connected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or provide a message-filtering capability based on message content. Organizations also consider the trustworthiness of filtering and/or inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 32 primarily address cross-domain solution needs that focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, such as high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf products. Information flow enforcement also applies to control plane traffic (e.g., routing and DNS).</p>","uuid":"64741aa1-dffd-4894-9ccc-7c3c083e1c4b","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"information flow control policies within the system and between connected systems are defined;","uuid":"ebe591b8-1785-49a4-9f62-49a4bd69cfbc","otherId":"ac-04_odp","parameterId":"AC-4","text":"information flow control policies","default":" [Assignment: organization-defined information flow control policies] "}],"subControls":null,"tests":[{"testId":"AC-04","test":"Assessment Objective: Determine if approved authorizations are enforced for controlling the flow of information within the system and between connected systems based on {{ insert: param, ac-04_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Information flow control policies.</li><li>Procedures addressing information flow enforcement.</li><li>Security architecture documentation.</li><li>Privacy architecture documentation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System baseline configuration.</li><li>List of information flow authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing information flow enforcement policy.</li></ul>","otherId":"ac-4_obj","defaultText":null,"uuid":"20ad1f76-07d7-47ba-8dff-995aae69102a"}],"weight":1,"title":"AC-04 - Information Flow Enforcement","enhancements":"<strong>Enhancements</strong><ul><li>AC-4(21) - Physical or Logical Separation of Information Flows</li></ul>","otherId":"ac-4","sortId":"ac-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-4"},{"objectives":[{"objectiveType":"","otherId":"ac-5_smt.a","name":"a.","description":"<ul><li>a. Identify and document {{ insert: param, AC-5(a) }} ; and</li></ul>","uuid":"afd0a3c4-5f42-41ec-be71-8300efa65eb8"},{"objectiveType":"","otherId":"ac-5_smt.b","name":"b.","description":"<ul><li>b. Define system access authorizations to support separation of duties.</li></ul>","uuid":"4684021e-5fe2-4a4c-98aa-3826ebe5aeb4"}],"description":"<ul><li>a. Identify and document {{ insert: param, AC-5(a) }} ; and</li><li>b. Define system access authorizations to support separation of duties.</li></ul><br/><strong>Guidance</strong><p>Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes dividing mission or business functions and support functions among different individuals or roles, conducting system support functions with different individuals, and ensuring that security personnel who administer access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of systems and system components when developing policy on separation of duties. Separation of duties is enforced through the account management activities in <a href=\"#ac-2\">AC-2</a> , access control mechanisms in <a href=\"#ac-3\">AC-3</a> , and identity management activities in <a href=\"#ia-2\">IA-2</a>, <a href=\"#ia-4\">IA-4</a> , and <a href=\"#ia-12\">IA-12</a>.</p><br/><strong>AC-5 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> CSPs have the option to provide a separation of duties matrix as an attachment to the SSP.</li></ul>","uuid":"6374cbab-8dd4-4c1a-a49e-70b1c2e8d4b6","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"duties of individuals requiring separation are defined;","uuid":"33fd1627-129f-49a2-bd6a-b560cd619fe8","otherId":"ac-05_odp","parameterId":"AC-5(a)","text":"duties of individuals","default":" [Assignment: organization-defined duties of individuals] "}],"subControls":null,"tests":[{"testId":"AC-05a.","test":"Assessment Objective: Determine if \n{{ insert: param, ac-05_odp }} are identified and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing divisions of responsibility and separation of duties.</li><li>System configuration settings and associated documentation.</li><li>List of divisions of responsibility and separation of duties.</li><li>System access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing separation of duties policy.</li></ul>","otherId":"ac-5_obj.a","defaultText":null,"uuid":"f8bfc91c-0949-42d7-b20d-923a72209f8b"},{"testId":"AC-05b.","test":"Assessment Objective: Determine if system access authorizations to support separation of duties are defined.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing divisions of responsibility and separation of duties.</li><li>System configuration settings and associated documentation.</li><li>List of divisions of responsibility and separation of duties.</li><li>System access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing separation of duties policy.</li></ul>","otherId":"ac-5_obj.b","defaultText":null,"uuid":"9e477648-4a2d-44c3-9a11-8bb467577a0d"}],"weight":1,"title":"AC-05 - Separation of Duties","enhancements":"","otherId":"ac-5","sortId":"ac-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-5"},{"objectives":[{"objectiveType":"","otherId":"ac-6.1_smt.a","name":"(a)","description":"<ul><li>(a) Authorize access for {{ insert: param, AC-6(1) }} to: {{ insert: param, AC-6(1)(a) }} ; and</li></ul>","uuid":"8a4cacdd-b9d7-48a2-b177-3d2fdb184118"},{"objectiveType":"","otherId":"ac-6.1_smt.b","name":"(b)","description":"<ul><li>(b) Authorize access for {{ insert: param, AC-6(1) }} to: {{ insert: param, AC-6(1)(b) }}.</li></ul>","uuid":"c2ed0e93-3f69-4073-9cba-07a86f8a9e2d"}],"description":"<p>Authorize access for {{ insert: param, AC-6(1) }} to:</p><ul><li>(a) {{ insert: param, AC-6(1)(a) }} ; and</li><li>(b) {{ insert: param, AC-6(1)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Security functions include establishing system accounts, configuring access authorizations (i.e., permissions, privileges), configuring settings for events to be audited, and establishing intrusion detection parameters. Security-relevant information includes filtering rules for routers or firewalls, configuration parameters for security services, cryptographic key management information, and access control lists. Authorized personnel include security administrators, system administrators, system security officers, system programmers, and other privileged users.</p>","uuid":"dd3dff9c-4e8c-4df2-8f75-d888c2f7dba6","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"95758f7f-1552-49c3-a633-550be851fefa","otherId":"ac-6.1_prm_2","parameterId":"AC-6(1)(a)","text":"organization-defined security functions (deployed in hardware, software, and firmware)","default":" [Assignment: organization-defined security functions (deployed in hardware, software, and firmware)] "},{"constraints":"","displayName":"","dataType":"","guidance":"individuals and roles with authorized access to security functions and security-relevant information are defined;","uuid":"f6451f7c-4d68-42fa-9ca1-6b2e888283d5","otherId":"ac-06.01_odp.01","parameterId":"AC-6(1)","text":"individuals and roles","default":" [Assignment: organization-defined individuals and roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"security-relevant information for authorized access is defined;","uuid":"2d25dad8-d7a7-4271-9db4-b6c0244d0416","otherId":"ac-06.01_odp.05","parameterId":"AC-6(1)(b)","text":"security-relevant information","default":" [Assignment: organization-defined security-relevant information] "}],"subControls":null,"tests":[{"testId":"AC-06(01)(a)[01]","test":"Assessment Objective: Determine if access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions.</li></ul>","otherId":"ac-6.1_obj.a-1","defaultText":null,"uuid":"9b209a42-0c79-404a-91fe-f057966ae1e1"},{"testId":"AC-06(01)(a)[02]","test":"Assessment Objective: Determine if access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions.</li></ul>","otherId":"ac-6.1_obj.a-2","defaultText":null,"uuid":"3bf4cae6-2d2c-4668-85f6-f6b8a00c776b"},{"testId":"AC-06(01)(a)[03]","test":"Assessment Objective: Determine if access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions.</li></ul>","otherId":"ac-6.1_obj.a-3","defaultText":null,"uuid":"3ccea3ab-4a09-4eee-9a04-fbfe45f107d3"},{"testId":"AC-06(01)(b)","test":"Assessment Objective: Determine if access is authorized for {{ insert: param, ac-06.01_odp.01 }} to {{ insert: param, ac-06.01_odp.05 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions.</li></ul>","otherId":"ac-6.1_obj.b","defaultText":null,"uuid":"e48f7b6e-7223-4388-ad7e-7e306b995d4e"}],"weight":1,"title":"AC-06(01) - Authorize Access to Security Functions","enhancements":null,"otherId":"ac-6.1","sortId":"ac-06.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-6(1)"},{"objectives":[{"objectiveType":"","otherId":"ac-6.2_smt","name":"AC-6(2)","description":"Require that users of system accounts (or roles) with access to {{ insert: param, AC-6(2) }} use non-privileged accounts or roles, when accessing nonsecurity functions.","uuid":"70fa8b59-a310-4dd2-a30f-e06d42a14edf"}],"description":"<p>Require that users of system accounts (or roles) with access to {{ insert: param, AC-6(2) }} use non-privileged accounts or roles, when accessing nonsecurity functions.</p><br/><strong>Guidance</strong><p>Requiring the use of non-privileged accounts when accessing nonsecurity functions limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies, such as role-based access control, and where a change of role provides the same degree of assurance in the change of access authorizations for the user and the processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.</p><br/><strong>AC-6 (2) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Examples of security functions include but are not limited to: establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters, system programming, system and security administration, other privileged functions.</li></ul>","uuid":"92654f88-940b-4936-95c5-b23a45b55486","family":"Access Control","parameters":[{"constraints":"all security functions","displayName":"","dataType":"","guidance":"security functions or security-relevant information, the access to which requires users to use non-privileged accounts to access non-security functions, are defined;","uuid":"7c563c38-5200-4e59-8182-166d63efb2ab","otherId":"ac-06.02_odp","parameterId":"AC-6(2)","text":"security functions or security-relevant information","default":"[FedRAMP Assignment: all security functions]"}],"subControls":null,"tests":[{"testId":"AC-06(02)","test":"Assessment Objective: Determine if users of system accounts (or roles) with access to {{ insert: param, ac-06.02_odp }} are required to use non-privileged accounts or roles when accessing non-security functions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of system-generated security functions or security-relevant information assigned to system accounts or roles.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions.</li></ul>","otherId":"ac-6.2_obj","defaultText":null,"uuid":"94844b84-837a-47a0-8040-2673cadc845e"}],"weight":1,"title":"AC-06(02) - Non-privileged Access for Nonsecurity Functions","enhancements":null,"otherId":"ac-6.2","sortId":"ac-06.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-6(2)"},{"objectives":[{"objectiveType":"","otherId":"ac-6.5_smt","name":"AC-6(5)","description":"Restrict privileged accounts on the system to {{ insert: param, AC-6(5) }}.","uuid":"1eeecb3c-623c-480a-acb6-bc5f591fa38d"}],"description":"<p>Restrict privileged accounts on the system to {{ insert: param, AC-6(5) }}.</p><br/><strong>Guidance</strong><p>Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from accessing privileged information or privileged functions. Organizations may differentiate in the application of restricting privileged accounts between allowed privileges for local accounts and for domain accounts provided that they retain the ability to control system configurations for key parameters and as otherwise necessary to sufficiently mitigate risk.</p>","uuid":"4f7b68a9-fb37-42f4-8705-5cecd0cd7e4e","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to which privileged accounts on the system are to be restricted is/are defined;","uuid":"e789bce7-7313-4afe-a686-f31dce6f0d04","otherId":"ac-06.05_odp","parameterId":"AC-6(5)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"AC-06(05)","test":"Assessment Objective: Determine if privileged accounts on the system are restricted to {{ insert: param, ac-06.05_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of system-generated privileged accounts.</li><li>List of system administration personnel.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions.</li></ul>","otherId":"ac-6.5_obj","defaultText":null,"uuid":"769eadc7-e1df-494a-bca9-27fe7aa27322"}],"weight":1,"title":"AC-06(05) - Privileged Accounts","enhancements":null,"otherId":"ac-6.5","sortId":"ac-06.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-6(5)"},{"objectives":[{"objectiveType":"","otherId":"ac-6.7_smt.a","name":"(a)","description":"<ul><li>(a) Review {{ insert: param, AC-6(7)(a)-1 }} the privileges assigned to {{ insert: param, AC-6(7)(a)-2 }} to validate the need for such privileges; and</li></ul>","uuid":"e8c5458c-37dd-4542-8a1e-2bf809ee2926"},{"objectiveType":"","otherId":"ac-6.7_smt.b","name":"(b)","description":"<ul><li>(b) Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.</li></ul>","uuid":"b7c4c8a1-1cb6-430a-9a3b-67c964c5ca84"}],"description":"<ul><li>(a) Review {{ insert: param, AC-6(7)(a)-1 }} the privileges assigned to {{ insert: param, AC-6(7)(a)-2 }} to validate the need for such privileges; and</li><li>(b) Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business needs.</li></ul><br/><strong>Guidance</strong><p>The need for certain assigned user privileges may change over time to reflect changes in organizational mission and business functions, environments of operation, technologies, or threats. A periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.</p>","uuid":"fbeaa102-57de-4f09-8120-82971f507828","family":"Access Control","parameters":[{"constraints":"at a minimum, annually","displayName":"","dataType":"","guidance":"the frequency at which to review the privileges assigned to roles or classes of users is defined;","uuid":"14e7ab85-a827-4745-aa00-43453286ba16","otherId":"ac-06.07_odp.01","parameterId":"AC-6(7)(a)-1","text":"frequency","default":"[FedRAMP Assignment: at a minimum, annually]"},{"constraints":"all users with privileges","displayName":"","dataType":"","guidance":"roles or classes of users to which privileges are assigned are defined;","uuid":"a2606659-47f7-4942-b70b-6b51df32e51f","otherId":"ac-06.07_odp.02","parameterId":"AC-6(7)(a)-2","text":"roles and classes","default":"[FedRAMP Assignment: all users with privileges]"}],"subControls":null,"tests":[{"testId":"AC-06(07)(a)","test":"Assessment Objective: Determine if privileges assigned to {{ insert: param, ac-06.07_odp.02 }} are reviewed {{ insert: param, ac-06.07_odp.01 }} to validate the need for such privileges;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of system-generated roles or classes of users and assigned privileges.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Validation reviews of privileges assigned to roles or classes or users.</li><li>Records of privilege removals or reassignments for roles or classes of users.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing review of user privileges.</li></ul>","otherId":"ac-6.7_obj.a","defaultText":null,"uuid":"548fbbd8-3fa5-48c4-ab6a-49f3f7d2db6d"},{"testId":"AC-06(07)(b)","test":"Assessment Objective: Determine if privileges are reassigned or removed, if necessary, to correctly reflect organizational mission and business needs.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of system-generated roles or classes of users and assigned privileges.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Validation reviews of privileges assigned to roles or classes or users.</li><li>Records of privilege removals or reassignments for roles or classes of users.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing review of user privileges.</li></ul>","otherId":"ac-6.7_obj.b","defaultText":null,"uuid":"9b3df9d0-c56a-43e2-a0d4-87f33c2331d1"}],"weight":1,"title":"AC-06(07) - Review of User Privileges","enhancements":null,"otherId":"ac-6.7","sortId":"ac-06.07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-6(7)"},{"objectives":[{"objectiveType":"","otherId":"ac-6.9_smt","name":"AC-6(9)","description":"Log the execution of privileged functions.","uuid":"ffda990d-423c-4e5d-bd0b-8f00f23602c9"}],"description":"<p>Log the execution of privileged functions.</p><br/><strong>Guidance</strong><p>The misuse of privileged functions, either intentionally or unintentionally by authorized users or by unauthorized external entities that have compromised system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Logging and analyzing the use of privileged functions is one way to detect such misuse and, in doing so, help mitigate the risk from insider threats and the advanced persistent threat.</p>","uuid":"d5b54445-eda0-4f03-9571-4340063db744","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-06(09)","test":"Assessment Objective: Determine if the execution of privileged functions is logged.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of privileged functions to be audited.</li><li>List of audited events.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms auditing the execution of least privilege functions.</li></ul>","otherId":"ac-6.9_obj","defaultText":null,"uuid":"477a8b84-2bc3-468e-a927-be76091c88e0"}],"weight":1,"title":"AC-06(09) - Log Use of Privileged Functions","enhancements":null,"otherId":"ac-6.9","sortId":"ac-06.09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-6(9)"},{"objectives":[{"objectiveType":"","otherId":"ac-6.10_smt","name":"AC-6(10)","description":"Prevent non-privileged users from executing privileged functions.","uuid":"90d840c0-07e1-461e-95d4-3366efb61e4c"}],"description":"<p>Prevent non-privileged users from executing privileged functions.</p><br/><strong>Guidance</strong><p>Privileged functions include disabling, circumventing, or altering implemented security or privacy controls, establishing system accounts, performing system integrity checks, and administering cryptographic key management activities. Non-privileged users are individuals who do not possess appropriate authorizations. Privileged functions that require protection from non-privileged users include circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms. Preventing non-privileged users from executing privileged functions is enforced by <a href=\"#ac-3\">AC-3</a>.</p>","uuid":"70c7163c-3277-4832-8245-68889777cc4a","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-06(10)","test":"Assessment Objective: Determine if non-privileged users are prevented from executing privileged functions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of privileged functions and associated user account assignments.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions for non-privileged users.</li></ul>","otherId":"ac-6.10_obj","defaultText":null,"uuid":"d01b279d-829a-4b1e-9161-41f8744c678d"}],"weight":1,"title":"AC-06(10) - Prohibit Non-privileged Users from Executing Privileged Functions","enhancements":null,"otherId":"ac-6.10","sortId":"ac-06.10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-6(10)"},{"objectives":[{"objectiveType":"","otherId":"ac-6_smt","name":"AC-6","description":"Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.","uuid":"fa7007a6-495c-46bc-ae33-c7b8b677f5ae"}],"description":"<p>Employ the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.</p><br/><strong>Guidance</strong><p>Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes have access to systems and operate at privilege levels no higher than necessary to accomplish organizational missions or business functions. Organizations consider the creation of additional processes, roles, and accounts as necessary to achieve least privilege. Organizations apply least privilege to the development, implementation, and operation of organizational systems.</p>","uuid":"545d4412-4faf-4cc6-9fdb-47bf33b88480","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-06","test":"Assessment Objective: Determine if the principle of least privilege is employed, allowing only authorized accesses for users (or processes acting on behalf of users) that are necessary to accomplish assigned organizational tasks.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing least privilege.</li><li>List of assigned access authorizations (user privileges).</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing least privilege functions.</li></ul>","otherId":"ac-6_obj","defaultText":null,"uuid":"3048edfb-79bc-4500-9266-0a23f9c1fa59"}],"weight":1,"title":"AC-06 - Least Privilege","enhancements":"<strong>Enhancements</strong><ul><li>AC-6(1) - Authorize Access to Security Functions</li><li>AC-6(2) - Non-privileged Access for Nonsecurity Functions</li><li>AC-6(5) - Privileged Accounts</li><li>AC-6(7) - Review of User Privileges</li><li>AC-6(9) - Log Use of Privileged Functions</li><li>AC-6(10) - Prohibit Non-privileged Users from Executing Privileged Functions</li></ul>","otherId":"ac-6","sortId":"ac-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-6"},{"objectives":[{"objectiveType":"","otherId":"ac-7_smt.a","name":"a.","description":"<ul><li>a. Enforce a limit of {{ insert: param, AC-7(a)-1 }} consecutive invalid logon attempts by a user during a {{ insert: param, AC-7(a)-2 }} ; and</li></ul>","uuid":"dfe4573d-7fa4-47ab-9673-19f9c5c249d1"},{"objectiveType":"","otherId":"ac-7_smt.b","name":"b.","description":"<ul><li>b. Automatically {{ insert: param, AC-7(b) }} when the maximum number of unsuccessful attempts is exceeded.</li></ul>","uuid":"1ad2e3c6-d459-4e2d-ad9e-72307daa5ce7"}],"description":"<ul><li>a. Enforce a limit of {{ insert: param, AC-7(a)-1 }} consecutive invalid logon attempts by a user during a {{ insert: param, AC-7(a)-2 }} ; and</li><li>b. Automatically {{ insert: param, AC-7(b) }} when the maximum number of unsuccessful attempts is exceeded.</li></ul><br/><strong>Guidance</strong><p>The need to limit unsuccessful logon attempts and take subsequent action when the maximum number of attempts is exceeded applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by systems are usually temporary and automatically release after a predetermined, organization-defined time period. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at the operating system and the application levels. Organization-defined actions that may be taken when the number of allowed consecutive invalid logon attempts is exceeded include prompting the user to answer a secret question in addition to the username and password, invoking a lockdown mode with limited user capabilities (instead of full lockout), allowing users to only logon from specified Internet Protocol (IP) addresses, requiring a CAPTCHA to prevent automated attacks, or applying user profiles such as location, time of day, IP address, device, or Media Access Control (MAC) address. If automatic system lockout or execution of a delay algorithm is not implemented in support of the availability objective, organizations consider a combination of other actions to help prevent brute force attacks. In addition to the above, organizations can prompt users to respond to a secret question before the number of allowed unsuccessful logon attempts is exceeded. Automatically unlocking an account after a specified period of time is generally not permitted. However, exceptions may be required based on operational mission or need.</p><br/><strong>AC-7 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> In alignment with NIST SP 800-63B</li></ul>","uuid":"8e7df264-9561-4344-8c0a-ec63aa482321","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the number of consecutive invalid logon attempts by a user allowed during a time period is defined;","uuid":"57ad41f6-2ef5-40f1-9028-1b63b251124f","otherId":"ac-07_odp.01","parameterId":"AC-7(a)-1","text":"number","default":" [Assignment: organization-defined number] "},{"constraints":"","displayName":"","dataType":"","guidance":"the time period to which the number of consecutive invalid logon attempts by a user is limited is defined;","uuid":"0e67a878-5a0d-4035-9118-307bff72df68","otherId":"ac-07_odp.02","parameterId":"AC-7(a)-2","text":"time period","default":" [Assignment: organization-defined time period] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"06f97d44-d36c-4187-8840-58de6b1b124b","otherId":"ac-07_odp.03","parameterId":"AC-7(b)","text":"[Selection (one or more): lock the account or node for [(NESTED PARAMETER) Assignment for ac-07_odp.04: time period]; lock the account or node until released by an administrator; delay next logon prompt per [(NESTED PARAMETER) Assignment for ac-07_odp.05: delay algorithm]; notify system administrator; take other [(NESTED PARAMETER) Assignment for ac-07_odp.06: action]]","default":"[Selection (one or more): lock the account or node for [(NESTED PARAMETER) Assignment for ac-07_odp.04: time period]; lock the account or node until released by an administrator; delay next logon prompt per [(NESTED PARAMETER) Assignment for ac-07_odp.05: delay algorithm]; notify system administrator; take other [(NESTED PARAMETER) Assignment for ac-07_odp.06: action]]"}],"subControls":null,"tests":[{"testId":"AC-07a.","test":"Assessment Objective: Determine if a limit of {{ insert: param, ac-07_odp.01 }} consecutive invalid logon attempts by a user during {{ insert: param, ac-07_odp.02 }} is enforced;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing unsuccessful logon attempts.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing access control policy for unsuccessful logon attempts.</li></ul>","otherId":"ac-7_obj.a","defaultText":null,"uuid":"1ce257fe-3813-4f23-a08d-cfcc2ba8dfff"},{"testId":"AC-07b.","test":"Assessment Objective: Determine if automatically {{ insert: param, ac-07_odp.03 }} when the maximum number of unsuccessful attempts is exceeded.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing unsuccessful logon attempts.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing access control policy for unsuccessful logon attempts.</li></ul>","otherId":"ac-7_obj.b","defaultText":null,"uuid":"0bba5b12-4655-40f9-a3d0-854a0d2776c7"}],"weight":1,"title":"AC-07 - Unsuccessful Logon Attempts","enhancements":"","otherId":"ac-7","sortId":"ac-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-7"},{"objectives":[{"objectiveType":"","otherId":"ac-8_smt.a","name":"a.","description":"<ul><li>a. Display {{ insert: param, AC-8(a) }} to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:</li><ul><li>1. Users are accessing a U.S. Government system;</li><li>2. System usage may be monitored, recorded, and subject to audit;</li><li>3. Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and</li><li>4. Use of the system indicates consent to monitoring and recording;</li></ul>","uuid":"2741d8da-b43e-4aac-999e-06bee7931f06"},{"objectiveType":"","otherId":"ac-8_smt.b","name":"b.","description":"<ul><li>b. Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and</li></ul>","uuid":"e18df5af-ae5e-4298-ba26-efb4320491d4"},{"objectiveType":"","otherId":"ac-8_smt.c","name":"c.","description":"<ul><li>c. For publicly accessible systems:</li><ul><li>1. Display system use information {{ insert: param, AC-8(c)(1) }} , before granting further access to the publicly accessible system;</li><li>2. Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and</li><li>3. Include a description of the authorized uses of the system.</li></ul>","uuid":"207d2b30-7199-4724-91c7-e83a318ab980"}],"description":"<ul><li>a. Display {{ insert: param, AC-8(a) }} to users before granting access to the system that provides privacy and security notices consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and state that:</li><ul><li>1. Users are accessing a U.S. Government system;</li><li>2. System usage may be monitored, recorded, and subject to audit;</li><li>3. Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and</li><li>4. Use of the system indicates consent to monitoring and recording;</li></ul><li>b. Retain the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system; and</li><li>c. For publicly accessible systems:</li><ul><li>1. Display system use information {{ insert: param, AC-8(c)(1) }} , before granting further access to the publicly accessible system;</li><li>2. Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and</li><li>3. Include a description of the authorized uses of the system.</li></ul><br/><strong>Guidance</strong><p>System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations consult with the privacy office for input regarding privacy messaging and the Office of the General Counsel or organizational equivalent for legal review and approval of warning banner content.</p><br/><strong>AC-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> If performed as part of a Configuration Baseline check, then the % of items requiring setting that are checked and that pass (or fail) check can be provided.</li><li><b>Requirement:</b> The service provider shall determine elements of the cloud environment that require the System Use Notification control. The elements of the cloud environment that require System Use Notification are approved and accepted by the JAB/AO.</li><li><b>Requirement:</b> The service provider shall determine how System Use Notification is going to be verified and provide appropriate periodicity of the check. The System Use Notification verification and periodicity are approved and accepted by the JAB/AO.</li><li><b>Requirement:</b> If not performed as part of a Configuration Baseline check, then there must be documented agreement on how to provide results of verification and the necessary periodicity of the verification by the service provider. The documented agreement on how to provide verification of the results are approved and accepted by the JAB/AO.</li></ul>","uuid":"63ce4542-447c-4dc5-9dd2-119156ec462c","family":"Access Control","parameters":[{"constraints":"see additional Requirements and Guidance","displayName":"","dataType":"","guidance":"system use notification message or banner to be displayed by the system to users before granting access to the system is defined;","uuid":"6d638b32-abd7-4811-bf68-61b9d1fef25e","otherId":"ac-08_odp.01","parameterId":"AC-8(a)","text":"system use notification","default":"[FedRAMP Assignment: see additional Requirements and Guidance]"},{"constraints":"see additional Requirements and Guidance","displayName":"","dataType":"","guidance":"conditions for system use to be displayed by the system before granting further access are defined;","uuid":"72e8721e-054c-4770-9d43-8132f88cdb7b","otherId":"ac-08_odp.02","parameterId":"AC-8(c)(1)","text":"conditions","default":"[FedRAMP Assignment: see additional Requirements and Guidance]"}],"subControls":null,"tests":[{"testId":"AC-08a.01","test":"Assessment Objective: Determine if {{ insert: param, ac-08_odp.01 }} is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; the system use notification states that users are accessing a U.S. Government system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.a.1","defaultText":null,"uuid":"bac57c38-c44b-413b-92d7-ef3e21880c6b"},{"testId":"AC-08a.02","test":"Assessment Objective: Determine if {{ insert: param, ac-08_odp.01 }} is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; the system use notification states that system usage may be monitored, recorded, and subject to audit;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.a.2","defaultText":null,"uuid":"88e9dcac-e055-4b17-adac-b99748ed21bd"},{"testId":"AC-08a.03","test":"Assessment Objective: Determine if {{ insert: param, ac-08_odp.01 }} is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; the system use notification states that unauthorized use of the system is prohibited and subject to criminal and civil penalties; and<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.a.3","defaultText":null,"uuid":"e5570bd2-b7c6-4511-88af-c820dabc3981"},{"testId":"AC-08a.04","test":"Assessment Objective: Determine if {{ insert: param, ac-08_odp.01 }} is displayed to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; the system use notification states that use of the system indicates consent to monitoring and recording;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.a.4","defaultText":null,"uuid":"12052f48-b928-4a44-a747-2cf15ae18f98"},{"testId":"AC-08b.","test":"Assessment Objective: Determine if the notification message or banner is retained on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.b","defaultText":null,"uuid":"fbc95c43-2a21-48ec-8e10-10b7217611db"},{"testId":"AC-08c.01","test":"Assessment Objective: Determine if for publicly accessible systems, system use information {{ insert: param, ac-08_odp.02 }} is displayed before granting further access to the publicly accessible system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.c.1","defaultText":null,"uuid":"2aad7f90-93ef-4924-88d7-0bb7a81ae781"},{"testId":"AC-08c.02","test":"Assessment Objective: Determine if for publicly accessible systems, any references to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities are displayed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.c.2","defaultText":null,"uuid":"5af970f1-9678-4897-aeeb-5a709aa0ac20"},{"testId":"AC-08c.03","test":"Assessment Objective: Determine if for publicly accessible systems, a description of the authorized uses of the system is included.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Privacy and security policies, procedures addressing system use notification.</li><li>Documented approval of system use notification messages or banners.</li><li>System audit records.</li><li>User acknowledgements of notification message or banner.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System use notification messages.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy assessment report.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system use notification.</li></ul>","otherId":"ac-8_obj.c.3","defaultText":null,"uuid":"0859f5f5-2b4b-4383-b282-827b110b297a"}],"weight":1,"title":"AC-08 - System Use Notification","enhancements":"","otherId":"ac-8","sortId":"ac-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-8"},{"objectives":[{"objectiveType":"","otherId":"ac-11.1_smt","name":"AC-11(1)","description":"Conceal, via the device lock, information previously visible on the display with a publicly viewable image.","uuid":"b733e485-b710-4175-bfaf-6fc8679ecb25"}],"description":"<p>Conceal, via the device lock, information previously visible on the display with a publicly viewable image.</p><br/><strong>Guidance</strong><p>The pattern-hiding display can include static or dynamic images, such as patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen with the caveat that controlled unclassified information is not displayed.</p>","uuid":"f11632dd-c925-4c41-b2c0-3904f03c5287","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-11(01)","test":"Assessment Objective: Determine if information previously visible on the display is concealed, via device lock, with a publicly viewable image.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing session lock.</li><li>Display screen with session lock activated.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>System session lock mechanisms.</li></ul>","otherId":"ac-11.1_obj","defaultText":null,"uuid":"b3be02f5-3dcf-43de-8e1d-6d3575e12ead"}],"weight":1,"title":"AC-11(01) - Pattern-hiding Displays","enhancements":null,"otherId":"ac-11.1","sortId":"ac-11.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-11(1)"},{"objectives":[{"objectiveType":"","otherId":"ac-11_smt.a","name":"a.","description":"<ul><li>a. Prevent further access to the system by {{ insert: param, AC-11(a) }} ; and</li></ul>","uuid":"32d0bc91-4dc0-40af-8f86-44cd4e64f9bb"},{"objectiveType":"","otherId":"ac-11_smt.b","name":"b.","description":"<ul><li>b. Retain the device lock until the user reestablishes access using established identification and authentication procedures.</li></ul>","uuid":"e6f7e273-ab91-480d-8851-353190ac6995"}],"description":"<ul><li>a. Prevent further access to the system by {{ insert: param, AC-11(a) }} ; and</li><li>b. Retain the device lock until the user reestablishes access using established identification and authentication procedures.</li></ul><br/><strong>Guidance</strong><p>Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device locks can be implemented at the operating system level or at the application level. A proximity lock may be used to initiate the device lock (e.g., via a Bluetooth-enabled device or dongle). User-initiated device locking is behavior or policy-based and, as such, requires users to take physical action to initiate the device lock. Device locks are not an acceptable substitute for logging out of systems, such as when organizations require users to log out at the end of workdays.</p>","uuid":"6cc46614-f7d0-4386-862d-1e8b44ff6f3d","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"dbc0e840-21b5-4000-80e3-33c242a4b9c3","otherId":"ac-11_odp.01","parameterId":"AC-11(a)","text":"[Selection (one or more): initiating a device lock after [(NESTED PARAMETER) Assignment for ac-11_odp.02: time period] of inactivity; requiring the user to initiate a device lock before leaving the system unattended]","default":"[Selection (one or more): initiating a device lock after [(NESTED PARAMETER) Assignment for ac-11_odp.02: time period] of inactivity; requiring the user to initiate a device lock before leaving the system unattended]"}],"subControls":null,"tests":[{"testId":"AC-11a.","test":"Assessment Objective: Determine if further access to the system is prevented by {{ insert: param, ac-11_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing session lock.</li><li>Procedures addressing identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing access control policy for session lock.</li></ul>","otherId":"ac-11_obj.a","defaultText":null,"uuid":"975f3ec9-3563-4eb3-8bca-ffabb3da2d81"},{"testId":"AC-11b.","test":"Assessment Objective: Determine if device lock is retained until the user re-establishes access using established identification and authentication procedures.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing session lock.</li><li>Procedures addressing identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing access control policy for session lock.</li></ul>","otherId":"ac-11_obj.b","defaultText":null,"uuid":"2756fc75-0a74-4776-9584-17239140a00d"}],"weight":1,"title":"AC-11 - Device Lock","enhancements":"<strong>Enhancements</strong><ul><li>AC-11(1) - Pattern-hiding Displays</li></ul>","otherId":"ac-11","sortId":"ac-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-11"},{"objectives":[{"objectiveType":"","otherId":"ac-12_smt","name":"AC-12","description":"Automatically terminate a user session after {{ insert: param, AC-12 }}.","uuid":"4aec0e99-356b-4ee4-81c3-f02ef1c60309"}],"description":"<p>Automatically terminate a user session after {{ insert: param, AC-12 }}.</p><br/><strong>Guidance</strong><p>Session termination addresses the termination of user-initiated logical sessions (in contrast to <a href=\"#sc-10\">SC-10</a> , which addresses the termination of network connections associated with communications sessions (i.e., network disconnect)). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational system. Such user sessions can be terminated without terminating network sessions. Session termination ends all processes associated with a user’s logical session except for those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events that require automatic termination of the session include organization-defined periods of user inactivity, targeted responses to certain types of incidents, or time-of-day restrictions on system use.</p>","uuid":"6d717929-1aaf-4bf0-a1ea-c3c800820edf","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"conditions or trigger events requiring session disconnect are defined;","uuid":"c0bbd265-66d7-4e42-aace-38c419b79191","otherId":"ac-12_odp","parameterId":"AC-12","text":"conditions or trigger events","default":" [Assignment: organization-defined conditions or trigger events] "}],"subControls":null,"tests":[{"testId":"AC-12","test":"Assessment Objective: Determine if a user session is automatically terminated after {{ insert: param, ac-12_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing session termination.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of conditions or trigger events requiring session disconnect.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms implementing user session termination.</li></ul>","otherId":"ac-12_obj","defaultText":null,"uuid":"4009ed5f-df38-4692-b063-33bfadfe3496"}],"weight":1,"title":"AC-12 - Session Termination","enhancements":"","otherId":"ac-12","sortId":"ac-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-12"},{"objectives":[{"objectiveType":"","otherId":"ac-14_smt.a","name":"a.","description":"<ul><li>a. Identify {{ insert: param, AC-14(a) }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions; and</li></ul>","uuid":"e774795b-8d77-4efa-816e-d389644ed5e2"},{"objectiveType":"","otherId":"ac-14_smt.b","name":"b.","description":"<ul><li>b. Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication.</li></ul>","uuid":"28f7eab5-372d-445b-9d42-217b933c55d2"}],"description":"<ul><li>a. Identify {{ insert: param, AC-14(a) }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions; and</li><li>b. Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or authentication.</li></ul><br/><strong>Guidance</strong><p>Specific user actions may be permitted without identification or authentication if organizations determine that identification and authentication are not required for the specified user actions. Organizations may allow a limited number of user actions without identification or authentication, including when individuals access public websites or other publicly accessible federal systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations identify actions that normally require identification or authentication but may, under certain circumstances, allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. Permitting actions without identification or authentication does not apply to situations where identification and authentication have already occurred and are not repeated but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational systems without identification and authentication, and therefore, the value for the assignment operation can be <q>none.</q>\n</p>","uuid":"9face1db-57ee-452f-ac8d-4254cd8a989a","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"user actions that can be performed on the system without identification or authentication are defined;","uuid":"eab98342-89ac-42eb-8bb3-6dcafacdeea8","otherId":"ac-14_odp","parameterId":"AC-14(a)","text":"user actions","default":" [Assignment: organization-defined user actions] "}],"subControls":null,"tests":[{"testId":"AC-14a.","test":"Assessment Objective: Determine if \n{{ insert: param, ac-14_odp }} that can be performed on the system without identification or authentication consistent with organizational mission and business functions are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing permitted actions without identification or authentication.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>List of user actions that can be performed without identification or authentication.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ac-14_obj.a","defaultText":null,"uuid":"ee6e406c-d54b-470a-bec1-08f7f0237775"},{"testId":"AC-14b.[01]","test":"Assessment Objective: Determine if user actions not requiring identification or authentication are documented in the security plan for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing permitted actions without identification or authentication.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>List of user actions that can be performed without identification or authentication.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ac-14_obj.b-1","defaultText":null,"uuid":"6ade20c7-b0aa-4e7c-96c7-b70d91558741"},{"testId":"AC-14b.[02]","test":"Assessment Objective: Determine if a rationale for user actions not requiring identification or authentication is provided in the security plan for the system.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing permitted actions without identification or authentication.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>List of user actions that can be performed without identification or authentication.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ac-14_obj.b-2","defaultText":null,"uuid":"8df608ee-5f6f-4742-b14a-ec051a2b2e31"}],"weight":1,"title":"AC-14 - Permitted Actions Without Identification or Authentication","enhancements":"","otherId":"ac-14","sortId":"ac-14","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-14"},{"objectives":[{"objectiveType":"","otherId":"ac-17.1_smt","name":"AC-17(1)","description":"Employ automated mechanisms to monitor and control remote access methods.","uuid":"4faff8e0-7c10-484e-856e-d717ecc31d66"}],"description":"<p>Employ automated mechanisms to monitor and control remote access methods.</p><br/><strong>Guidance</strong><p>Monitoring and control of remote access methods allows organizations to detect attacks and help ensure compliance with remote access policies by auditing the connection activities of remote users on a variety of system components, including servers, notebook computers, workstations, smart phones, and tablets. Audit logging for remote access is enforced by <a href=\"#au-2\">AU-2</a> . Audit events are defined in <a href=\"#au-2_smt.a\">AU-2a</a>.</p>","uuid":"8c311dcf-912e-4026-8611-230c1600f384","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-17(01)[01]","test":"Assessment Objective: Determine if automated mechanisms are employed to monitor remote access methods;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System monitoring records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms monitoring and controlling remote access methods.</li></ul>","otherId":"ac-17.1_obj-1","defaultText":null,"uuid":"eae29fc7-dc3e-4c78-8767-74b6256d5cda"},{"testId":"AC-17(01)[02]","test":"Assessment Objective: Determine if automated mechanisms are employed to control remote access methods.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System monitoring records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms monitoring and controlling remote access methods.</li></ul>","otherId":"ac-17.1_obj-2","defaultText":null,"uuid":"2c6ebd84-03f8-4b6f-b0eb-1035171fccb4"}],"weight":1,"title":"AC-17(01) - Monitoring and Control","enhancements":null,"otherId":"ac-17.1","sortId":"ac-17.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-17(1)"},{"objectives":[{"objectiveType":"","otherId":"ac-17.2_smt","name":"AC-17(2)","description":"Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.","uuid":"06315866-a545-482a-a3c8-b22e0c6565d5"}],"description":"<p>Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.</p><br/><strong>Guidance</strong><p>Virtual private networks can be used to protect the confidentiality and integrity of remote access sessions. Transport Layer Security (TLS) is an example of a cryptographic protocol that provides end-to-end communications security over networks and is used for Internet communications and online transactions.</p>","uuid":"5e493150-d30b-4692-b5f1-5c6ca14f7fe1","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-17(02)","test":"Assessment Objective: Determine if cryptographic mechanisms are implemented to protect the confidentiality and integrity of remote access sessions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Cryptographic mechanisms and associated configuration documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions.</li></ul>","otherId":"ac-17.2_obj","defaultText":null,"uuid":"2bf70b76-2548-412b-9b5d-d99a6bdd3365"}],"weight":1,"title":"AC-17(02) - Protection of Confidentiality and Integrity Using Encryption","enhancements":null,"otherId":"ac-17.2","sortId":"ac-17.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-17(2)"},{"objectives":[{"objectiveType":"","otherId":"ac-17.3_smt","name":"AC-17(3)","description":"Route remote accesses through authorized and managed network access control points.","uuid":"d276f47c-de67-4849-a82f-10fbc30193be"}],"description":"<p>Route remote accesses through authorized and managed network access control points.</p><br/><strong>Guidance</strong><p>Organizations consider the Trusted Internet Connections (TIC) initiative <a href=\"#4f42ee6e-86cc-403b-a51f-76c2b4f81b54\">DHS TIC</a> requirements for external network connections since limiting the number of access control points for remote access reduces attack surfaces.</p>","uuid":"2014dd8c-c71f-49b9-9e75-0ef23f152e40","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-17(03)","test":"Assessment Objective: Determine if remote accesses are routed through authorized and managed network access control points.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System design documentation.</li><li>List of all managed network access control points.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms routing all remote accesses through managed network access control points.</li></ul>","otherId":"ac-17.3_obj","defaultText":null,"uuid":"ad531968-d5dd-4ae3-908f-46fdd6966ce3"}],"weight":1,"title":"AC-17(03) - Managed Access Control Points","enhancements":null,"otherId":"ac-17.3","sortId":"ac-17.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-17(3)"},{"objectives":[{"objectiveType":"","otherId":"ac-17.4_smt.a","name":"(a)","description":"<ul><li>(a) Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, AC-17(4)(a) }} ; and</li></ul>","uuid":"209a5269-4b90-42fb-b219-2f03dc6ff3ca"},{"objectiveType":"","otherId":"ac-17.4_smt.b","name":"(b)","description":"<ul><li>(b) Document the rationale for remote access in the security plan for the system.</li></ul>","uuid":"ec3c938d-3c73-4b4f-aa65-1a3e9ce980ab"}],"description":"<ul><li>(a) Authorize the execution of privileged commands and access to security-relevant information via remote access only in a format that provides assessable evidence and for the following needs: {{ insert: param, AC-17(4)(a) }} ; and</li><li>(b) Document the rationale for remote access in the security plan for the system.</li></ul><br/><strong>Guidance</strong><p>Remote access to systems represents a significant potential vulnerability that can be exploited by adversaries. As such, restricting the execution of privileged commands and access to security-relevant information via remote access reduces the exposure of the organization and the susceptibility to threats by adversaries to the remote access capability.</p>","uuid":"32a2ec7e-1066-4aa2-a216-f840471edb6d","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"3a616dab-e985-48b0-9454-e773c28c372b","otherId":"ac-17.4_prm_1","parameterId":"AC-17(4)(a)","text":"organization-defined needs","default":" [Assignment: organization-defined needs] "}],"subControls":null,"tests":[{"testId":"AC-17(04)(a)[01]","test":"Assessment Objective: Determine if the execution of privileged commands via remote access is authorized only in a format that provides assessable evidence;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing remote access management.</li></ul>","otherId":"ac-17.4_obj.a-1","defaultText":null,"uuid":"906dcb5d-8201-43fb-ad88-81da6f5e5607"},{"testId":"AC-17(04)(a)[02]","test":"Assessment Objective: Determine if access to security-relevant information via remote access is authorized only in a format that provides assessable evidence;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing remote access management.</li></ul>","otherId":"ac-17.4_obj.a-2","defaultText":null,"uuid":"e86896d7-cede-4c40-91a1-448253b5f0a3"},{"testId":"AC-17(04)(a)[03]","test":"Assessment Objective: Determine if the execution of privileged commands via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing remote access management.</li></ul>","otherId":"ac-17.4_obj.a-3","defaultText":null,"uuid":"4984fd36-12a5-401f-a630-d950b6af2c05"},{"testId":"AC-17(04)(a)[04]","test":"Assessment Objective: Determine if access to security-relevant information via remote access is authorized only for the following needs: {{ insert: param, ac-17.04_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing remote access management.</li></ul>","otherId":"ac-17.4_obj.a-4","defaultText":null,"uuid":"8ee9ae30-722f-46cc-8f7a-db61ae0831a1"},{"testId":"AC-17(04)(b)","test":"Assessment Objective: Determine if the rationale for remote access is documented in the security plan for the system.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access to the system.</li><li>System configuration settings and associated documentation.</li><li>Security plan.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing remote access management.</li></ul>","otherId":"ac-17.4_obj.b","defaultText":null,"uuid":"37b21ab0-9afe-454e-a460-d5b671b0b107"}],"weight":1,"title":"AC-17(04) - Privileged Commands and Access","enhancements":null,"otherId":"ac-17.4","sortId":"ac-17.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-17(4)"},{"objectives":[{"objectiveType":"","otherId":"ac-17_smt.a","name":"a.","description":"<ul><li>a. Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and</li></ul>","uuid":"e5b1e12a-3225-406d-a77a-4acab55fd933"},{"objectiveType":"","otherId":"ac-17_smt.b","name":"b.","description":"<ul><li>b. Authorize each type of remote access to the system prior to allowing such connections.</li></ul>","uuid":"860ec370-aff5-43b0-919c-293c1fcdd6c7"}],"description":"<ul><li>a. Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and</li><li>b. Authorize each type of remote access to the system prior to allowing such connections.</li></ul><br/><strong>Guidance</strong><p>Remote access is access to organizational systems (or processes acting on behalf of users) that communicate through external networks such as the Internet. Types of remote access include dial-up, broadband, and wireless. Organizations use encrypted virtual private networks (VPNs) to enhance confidentiality and integrity for remote connections. The use of encrypted VPNs provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the ability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. Authorization of each remote access type addresses authorization prior to allowing remote access without specifying the specific formats for such authorization. While organizations may use information exchange and system connection security agreements to manage remote access connections to other systems, such agreements are addressed as part of <a href=\"#ca-3\">CA-3</a> . Enforcing access restrictions for remote access is addressed via <a href=\"#ac-3\">AC-3</a>.</p>","uuid":"7f61db5c-168a-405f-91e8-ace938639b92","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-17a.[01]","test":"Assessment Objective: Determine if usage restrictions are established and documented for each type of remote access allowed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System configuration settings and associated documentation.</li><li>Remote access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing remote access connections.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Remote access management capability for the system.</li></ul>","otherId":"ac-17_obj.a-1","defaultText":null,"uuid":"0e7b9ecf-6771-4f7e-8b5c-233c42868dfa"},{"testId":"AC-17a.[02]","test":"Assessment Objective: Determine if configuration/connection requirements are established and documented for each type of remote access allowed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System configuration settings and associated documentation.</li><li>Remote access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing remote access connections.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Remote access management capability for the system.</li></ul>","otherId":"ac-17_obj.a-2","defaultText":null,"uuid":"e72d22b0-8af3-47a8-b22f-3a40c8dad28f"},{"testId":"AC-17a.[03]","test":"Assessment Objective: Determine if implementation guidance is established and documented for each type of remote access allowed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System configuration settings and associated documentation.</li><li>Remote access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing remote access connections.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Remote access management capability for the system.</li></ul>","otherId":"ac-17_obj.a-3","defaultText":null,"uuid":"d1e737e1-1385-4dfa-a16a-422fe6fba253"},{"testId":"AC-17b.","test":"Assessment Objective: Determine if each type of remote access to the system is authorized prior to allowing such connections.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing remote access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System configuration settings and associated documentation.</li><li>Remote access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing remote access connections.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Remote access management capability for the system.</li></ul>","otherId":"ac-17_obj.b","defaultText":null,"uuid":"cff68263-d9d0-43a8-aedd-539fb6854798"}],"weight":1,"title":"AC-17 - Remote Access","enhancements":"<strong>Enhancements</strong><ul><li>AC-17(1) - Monitoring and Control</li><li>AC-17(2) - Protection of Confidentiality and Integrity Using Encryption</li><li>AC-17(3) - Managed Access Control Points</li><li>AC-17(4) - Privileged Commands and Access</li></ul>","otherId":"ac-17","sortId":"ac-17","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-17"},{"objectives":[{"objectiveType":"","otherId":"ac-18.1_smt","name":"AC-18(1)","description":"Protect wireless access to the system using authentication of {{ insert: param, AC-18(1) }} and encryption.","uuid":"a97f5230-5a3b-4ffa-a8e4-aa4ac9cb53b7"}],"description":"<p>Protect wireless access to the system using authentication of {{ insert: param, AC-18(1) }} and encryption.</p><br/><strong>Guidance</strong><p>Wireless networking capabilities represent a significant potential vulnerability that can be exploited by adversaries. To protect systems with wireless access points, strong authentication of users and devices along with strong encryption can reduce susceptibility to threats by adversaries involving wireless technologies.</p>","uuid":"f4a5d5cc-597e-44dc-8475-bf08fe0c34df","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"f3dcbfef-312a-4a64-acf5-04513f208001","otherId":"ac-18.01_odp","parameterId":"AC-18(1)","text":"[Selection (one or more): users; devices]","default":"[Selection (one or more): users; devices]"}],"subControls":null,"tests":[{"testId":"AC-18(01)[01]","test":"Assessment Objective: Determine if wireless access to the system is protected using authentication of {{ insert: param, ac-18.01_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing wireless implementation and usage (including restrictions).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing wireless access protections to the system.</li></ul>","otherId":"ac-18.1_obj-1","defaultText":null,"uuid":"303f1736-2416-450e-8b71-c3e669f3d6af"},{"testId":"AC-18(01)[02]","test":"Assessment Objective: Determine if wireless access to the system is protected using encryption.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing wireless implementation and usage (including restrictions).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing wireless access protections to the system.</li></ul>","otherId":"ac-18.1_obj-2","defaultText":null,"uuid":"eae76185-e352-4702-a2c0-b0826728bfea"}],"weight":1,"title":"AC-18(01) - Authentication and Encryption","enhancements":null,"otherId":"ac-18.1","sortId":"ac-18.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-18(1)"},{"objectives":[{"objectiveType":"","otherId":"ac-18.3_smt","name":"AC-18(3)","description":"Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment.","uuid":"bb1288d1-bd5b-43ff-9788-24fdc2a219cc"}],"description":"<p>Disable, when not intended for use, wireless networking capabilities embedded within system components prior to issuance and deployment.</p><br/><strong>Guidance</strong><p>Wireless networking capabilities that are embedded within system components represent a significant potential vulnerability that can be exploited by adversaries. Disabling wireless capabilities when not needed for essential organizational missions or functions can reduce susceptibility to threats by adversaries involving wireless technologies.</p>","uuid":"9eb09654-1ac5-41d1-985d-d6f53422b582","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-18(03)","test":"Assessment Objective: Determine if when not intended for use, wireless networking capabilities embedded within system components are disabled prior to issuance and deployment.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing wireless implementation and usage (including restrictions).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing the disabling of wireless networking capabilities internally embedded within system components.</li></ul>","otherId":"ac-18.3_obj","defaultText":null,"uuid":"41513bd2-288d-41a6-a0c4-90bd6cce0db2"}],"weight":1,"title":"AC-18(03) - Disable Wireless Networking","enhancements":null,"otherId":"ac-18.3","sortId":"ac-18.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-18(3)"},{"objectives":[{"objectiveType":"","otherId":"ac-18_smt.a","name":"a.","description":"<ul><li>a. Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and</li></ul>","uuid":"a25e4f52-f834-47d4-a41a-b431e85028eb"},{"objectiveType":"","otherId":"ac-18_smt.b","name":"b.","description":"<ul><li>b. Authorize each type of wireless access to the system prior to allowing such connections.</li></ul>","uuid":"45c110bb-3e65-4fa4-a772-2e66581e5a5c"}],"description":"<ul><li>a. Establish configuration requirements, connection requirements, and implementation guidance for each type of wireless access; and</li><li>b. Authorize each type of wireless access to the system prior to allowing such connections.</li></ul><br/><strong>Guidance</strong><p>Wireless technologies include microwave, packet radio (ultra-high frequency or very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols that provide authenticator protection and mutual authentication.</p>","uuid":"ba741ac2-c662-4c4a-8b3f-a43f9e5c650f","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-18a.[01]","test":"Assessment Objective: Determine if configuration requirements are established for each type of wireless access;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing wireless access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Wireless access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing wireless access connections.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Wireless access management capability for the system.</li></ul>","otherId":"ac-18_obj.a-1","defaultText":null,"uuid":"2d8e9f40-70e6-463d-849e-5de636a8002c"},{"testId":"AC-18a.[02]","test":"Assessment Objective: Determine if connection requirements are established for each type of wireless access;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing wireless access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Wireless access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing wireless access connections.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Wireless access management capability for the system.</li></ul>","otherId":"ac-18_obj.a-2","defaultText":null,"uuid":"9cf430ea-7e01-4500-8bec-17a9db34ecde"},{"testId":"AC-18a.[03]","test":"Assessment Objective: Determine if implementation guidance is established for each type of wireless access;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing wireless access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Wireless access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing wireless access connections.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Wireless access management capability for the system.</li></ul>","otherId":"ac-18_obj.a-3","defaultText":null,"uuid":"51871c07-8906-47bd-bd1e-269cef805db7"},{"testId":"AC-18b.","test":"Assessment Objective: Determine if each type of wireless access to the system is authorized prior to allowing such connections.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing wireless access implementation and usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Wireless access authorizations.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing wireless access connections.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Wireless access management capability for the system.</li></ul>","otherId":"ac-18_obj.b","defaultText":null,"uuid":"b04c1f21-4920-43bf-b790-d7a94cc51dad"}],"weight":1,"title":"AC-18 - Wireless Access","enhancements":"<strong>Enhancements</strong><ul><li>AC-18(1) - Authentication and Encryption</li><li>AC-18(3) - Disable Wireless Networking</li></ul>","otherId":"ac-18","sortId":"ac-18","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-18"},{"objectives":[{"objectiveType":"","otherId":"ac-19.5_smt","name":"AC-19(5)","description":"Employ {{ insert: param, AC-19(5)-1 }} to protect the confidentiality and integrity of information on {{ insert: param, AC-19(5)-2 }}.","uuid":"7bf64a22-4af8-45bc-a26c-630ed3b3adc4"}],"description":"<p>Employ {{ insert: param, AC-19(5)-1 }} to protect the confidentiality and integrity of information on {{ insert: param, AC-19(5)-2 }}.</p><br/><strong>Guidance</strong><p>Container-based encryption provides a more fine-grained approach to data and information encryption on mobile devices, including encrypting selected data structures such as files, records, or fields.</p>","uuid":"77d6a6f5-f0a3-4d25-98d9-9f146dc9e856","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"2cca7c12-eabb-4d8e-9325-7cfffb23e6d1","otherId":"ac-19.05_odp.01","parameterId":"AC-19(5)-1","text":"[Selection: full-device encryption; container-based encryption]","default":"[Selection: full-device encryption; container-based encryption]"},{"constraints":"","displayName":"","dataType":"","guidance":"mobile devices on which to employ encryption are defined;","uuid":"b661e8b9-ffc0-4a76-a8eb-59500a1a04cc","otherId":"ac-19.05_odp.02","parameterId":"AC-19(5)-2","text":"mobile devices","default":" [Assignment: organization-defined mobile devices] "}],"subControls":null,"tests":[{"testId":"AC-19(05)","test":"Assessment Objective: Determine if \n{{ insert: param, ac-19.05_odp.01 }} is employed to protect the confidentiality and integrity of information on {{ insert: param, ac-19.05_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing access control for mobile devices.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Encryption mechanisms and associated configuration documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with access control responsibilities for mobile devices.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Encryption mechanisms protecting confidentiality and integrity of information on mobile devices.</li></ul>","otherId":"ac-19.5_obj","defaultText":null,"uuid":"36568610-b611-4d11-8cf9-80e9e7fd878a"}],"weight":1,"title":"AC-19(05) - Full Device or Container-based Encryption","enhancements":null,"otherId":"ac-19.5","sortId":"ac-19.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-19(5)"},{"objectives":[{"objectiveType":"","otherId":"ac-19_smt.a","name":"a.","description":"<ul><li>a. Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and</li></ul>","uuid":"d665702a-6705-4a49-8711-a89291a5fabe"},{"objectiveType":"","otherId":"ac-19_smt.b","name":"b.","description":"<ul><li>b. Authorize the connection of mobile devices to organizational systems.</li></ul>","uuid":"f30e78db-c801-4e6c-8884-e18ba3de5baa"}],"description":"<ul><li>a. Establish configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices, to include when such devices are outside of controlled areas; and</li><li>b. Authorize the connection of mobile devices to organizational systems.</li></ul><br/><strong>Guidance</strong><p>A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self-contained power source. Mobile device functionality may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones and tablets. Mobile devices are typically associated with a single individual. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of notebook/desktop systems, depending on the nature and intended purpose of the device. Protection and control of mobile devices is behavior or policy-based and requires users to take physical action to protect and control such devices when outside of controlled areas. Controlled areas are spaces for which organizations provide physical or procedural controls to meet the requirements established for protecting information and systems.</p><p>Due to the large variety of mobile devices with different characteristics and capabilities, organizational restrictions may vary for the different classes or types of such devices. Usage restrictions and specific implementation guidance for mobile devices include configuration management, device identification and authentication, implementation of mandatory protective software, scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware.</p><p>Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to its network and impose a set of usage restrictions, while a system owner may withhold authorization for mobile device connection to specific applications or impose additional usage restrictions before allowing mobile device connections to a system. Adequate security for mobile devices goes beyond the requirements specified in <a href=\"#ac-19\">AC-19</a> . Many safeguards for mobile devices are reflected in other controls. <a href=\"#ac-20\">AC-20</a> addresses mobile devices that are not organization-controlled.</p>","uuid":"6ec1f695-cab7-4593-a469-3a857cbdac78","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-19a.[01]","test":"Assessment Objective: Determine if configuration requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing access control for mobile device usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Authorizations for mobile device connections to organizational systems.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel using mobile devices to access organizational systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Access control capability for mobile device connections to organizational systems.</li><li>Configurations of mobile devices.</li></ul>","otherId":"ac-19_obj.a-1","defaultText":null,"uuid":"6ccb34a1-4c8a-429f-9c46-30a11cae5101"},{"testId":"AC-19a.[02]","test":"Assessment Objective: Determine if connection requirements are established for organization-controlled mobile devices, including when such devices are outside of the controlled area;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing access control for mobile device usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Authorizations for mobile device connections to organizational systems.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel using mobile devices to access organizational systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Access control capability for mobile device connections to organizational systems.</li><li>Configurations of mobile devices.</li></ul>","otherId":"ac-19_obj.a-2","defaultText":null,"uuid":"d5dc4724-5db2-46e9-aaf2-17ac5c2d0423"},{"testId":"AC-19a.[03]","test":"Assessment Objective: Determine if implementation guidance is established for organization-controlled mobile devices, including when such devices are outside of the controlled area;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing access control for mobile device usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Authorizations for mobile device connections to organizational systems.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel using mobile devices to access organizational systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Access control capability for mobile device connections to organizational systems.</li><li>Configurations of mobile devices.</li></ul>","otherId":"ac-19_obj.a-3","defaultText":null,"uuid":"4c80dbee-e6b8-4df0-a2ce-f82f4dba18d8"},{"testId":"AC-19b.","test":"Assessment Objective: Determine if the connection of mobile devices to organizational systems is authorized.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing access control for mobile device usage (including restrictions).</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Authorizations for mobile device connections to organizational systems.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel using mobile devices to access organizational systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Access control capability for mobile device connections to organizational systems.</li><li>Configurations of mobile devices.</li></ul>","otherId":"ac-19_obj.b","defaultText":null,"uuid":"77d40770-fd19-4978-ab2e-7cd47acfbb97"}],"weight":1,"title":"AC-19 - Access Control for Mobile Devices","enhancements":"<strong>Enhancements</strong><ul><li>AC-19(5) - Full Device or Container-based Encryption</li></ul>","otherId":"ac-19","sortId":"ac-19","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-19"},{"objectives":[{"objectiveType":"","otherId":"ac-20.1_smt.a","name":"(a)","description":"<ul><li>(a) Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after: Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or</li></ul>","uuid":"58a0439c-817d-47db-b9b0-b06ae7c01def"},{"objectiveType":"","otherId":"ac-20.1_smt.b","name":"(b)","description":"<ul><li>(b) Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after: Retention of approved system connection or processing agreements with the organizational entity hosting the external system.</li></ul>","uuid":"75d364cc-5bf4-48bc-bced-f0fca3cb9025"}],"description":"<p>Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:</p><ul><li>(a) Verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or</li><li>(b) Retention of approved system connection or processing agreements with the organizational entity hosting the external system.</li></ul><br/><strong>Guidance</strong><p>Limiting authorized use recognizes circumstances where individuals using external systems may need to access organizational systems. Organizations need assurance that the external systems contain the necessary controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required controls have been implemented can be achieved by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations.</p>","uuid":"80ba8f62-c71c-43ff-9f87-ce8478f57353","family":"Access Control","parameters":[],"subControls":null,"tests":[{"testId":"AC-20(01)(a)","test":"Assessment Objective: Determine if authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after verification of the implementation of controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans (if applicable);<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing the use of external systems.</li><li>System connection or processing agreements.</li><li>Account management documents.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing limits on use of external systems.</li></ul>","otherId":"ac-20.1_obj.a","defaultText":null,"uuid":"6afd6023-b3da-4177-a72d-2342d82eb4ef"},{"testId":"AC-20(01)(b)","test":"Assessment Objective: Determine if authorized individuals are permitted to use an external system to access the system or to process, store, or transmit organization-controlled information only after retention of approved system connection or processing agreements with the organizational entity hosting the external system (if applicable).<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing the use of external systems.</li><li>System connection or processing agreements.</li><li>Account management documents.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing limits on use of external systems.</li></ul>","otherId":"ac-20.1_obj.b","defaultText":null,"uuid":"3caf1614-b119-4306-ab49-e574d3df2493"}],"weight":1,"title":"AC-20(01) - Limits on Authorized Use","enhancements":null,"otherId":"ac-20.1","sortId":"ac-20.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-20(1)"},{"objectives":[{"objectiveType":"","otherId":"ac-20.2_smt","name":"AC-20(2)","description":"Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, AC-20(2) }}.","uuid":"916fc918-8a00-4981-a9e1-47d3cf3fbff7"}],"description":"<p>Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using {{ insert: param, AC-20(2) }}.</p><br/><strong>Guidance</strong><p>Limits on the use of organization-controlled portable storage devices in external systems include restrictions on how the devices may be used and under what conditions the devices may be used.</p>","uuid":"2be66ac4-b24e-4825-8461-813eb3c9568f","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"restrictions on the use of organization-controlled portable storage devices by authorized individuals on external systems are defined;","uuid":"05030dae-d8e9-4584-b846-32928730bc2a","otherId":"ac-20.02_odp","parameterId":"AC-20(2)","text":"restrictions","default":" [Assignment: organization-defined restrictions] "}],"subControls":null,"tests":[{"testId":"AC-20(02)","test":"Assessment Objective: Determine if the use of organization-controlled portable storage devices by authorized individuals is restricted on external systems using {{ insert: param, ac-20.02_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing the use of external systems.</li><li>System configuration settings and associated documentation.</li><li>System connection or processing agreements.</li><li>Account management documents.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for restricting or prohibiting the use of organization-controlled storage devices on external systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing restrictions on the use of portable storage devices.</li></ul>","otherId":"ac-20.2_obj","defaultText":null,"uuid":"cd15a180-7b78-4e50-9483-1aa3f3dcbbb1"}],"weight":1,"title":"AC-20(02) - Portable Storage Devices — Restricted Use","enhancements":null,"otherId":"ac-20.2","sortId":"ac-20.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-20(2)"},{"objectives":[{"objectiveType":"","otherId":"ac-20_smt.a","name":"a.","description":"<ul><li>a. {{ insert: param, AC-20(a) }} , consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:</li><ul><li>1. Access the system from external systems; and</li><li>2. Process, store, or transmit organization-controlled information using external systems; or</li></ul>","uuid":"ed3d7c86-24c3-48a2-a366-be9d22481624"},{"objectiveType":"","otherId":"ac-20_smt.b","name":"b.","description":"<ul><li>b. Prohibit the use of {{ insert: param, AC-20(b) }}.</li></ul>","uuid":"c52787f1-d354-48d8-85aa-78f546db2e19"}],"description":"<ul><li>a. {{ insert: param, AC-20(a) }} , consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:</li><ul><li>1. Access the system from external systems; and</li><li>2. Process, store, or transmit organization-controlled information using external systems; or</li></ul><li>b. Prohibit the use of {{ insert: param, AC-20(b) }}.</li></ul><br/><strong>Guidance</strong><p>External systems are systems that are used by but not part of organizational systems, and for which the organization has no direct control over the implementation of required controls or the assessment of control effectiveness. External systems include personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; systems managed by contractors; and federal information systems that are not owned by, operated by, or under the direct supervision or authority of the organization. External systems also include systems owned or operated by other components within the same organization and systems within the organization with different authorization boundaries. Organizations have the option to prohibit the use of any type of external system or prohibit the use of specified types of external systems, (e.g., prohibit the use of any external system that is not organizationally owned or prohibit the use of personally-owned systems).</p><p>For some external systems (i.e., systems operated by other organizations), the trust relationships that have been established between those organizations and the originating organization may be such that no explicit terms and conditions are required. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing information exchange agreements (either implicit or explicit) established between organizations or components or when such agreements are specified by applicable laws, executive orders, directives, regulations, policies, or standards. Authorized individuals include organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific rules of behavior regarding system access. Restrictions that organizations impose on authorized individuals need not be uniform, as the restrictions may vary depending on trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments.</p><p>External systems used to access public interfaces to organizational systems are outside the scope of <a href=\"#ac-20\">AC-20</a> . Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. At a minimum, terms and conditions address the specific types of applications that can be accessed on organizational systems from external systems and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of the external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.</p><br/><strong>AC-20 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> The interrelated controls of AC-20, CA-3, and SA-9 should be differentiated as follows:AC-20 describes system access to and from external systems.CA-3 describes documentation of an agreement between the respective system owners when data is exchanged between the CSO and an external system.SA-9 describes the responsibilities of external system owners. These responsibilities would typically be captured in the agreement required by CA-3.</li></ul>","uuid":"27fa199f-555b-4428-9993-f4f001504656","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"3a10ea44-f735-48ca-ad06-0b2e2776e17e","otherId":"ac-20_odp.01","parameterId":"AC-20(a)","text":"[Selection (one or more): establish [(NESTED PARAMETER) Assignment for ac-20_odp.02: terms and conditions]; identify [(NESTED PARAMETER) Assignment for ac-20_odp.03: controls asserted]]","default":"[Selection (one or more): establish [(NESTED PARAMETER) Assignment for ac-20_odp.02: terms and conditions]; identify [(NESTED PARAMETER) Assignment for ac-20_odp.03: controls asserted]]"},{"constraints":"","displayName":"","dataType":"","guidance":"types of external systems prohibited from use are defined;","uuid":"3beff1e3-af86-4508-b826-bf3767d0181c","otherId":"ac-20_odp.04","parameterId":"AC-20(b)","text":"prohibited types of external systems","default":" [Assignment: organization-defined prohibited types of external systems] "}],"subControls":null,"tests":[{"testId":"AC-20a.01","test":"Assessment Objective: Determine if \n{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to access the system from external systems (if applicable);<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing the use of external systems.</li><li>External systems terms and conditions.</li><li>List of types of applications accessible from external systems.</li><li>Maximum security categorization for information processed, stored, or transmitted on external systems.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing terms and conditions on the use of external systems.</li></ul>","otherId":"ac-20_obj.a.1","defaultText":null,"uuid":"bcf79f31-daaa-4aa9-b1cf-106d3cf479c7"},{"testId":"AC-20a.02","test":"Assessment Objective: Determine if \n{{ insert: param, ac-20_odp.01 }} is/are consistent with the trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to process, store, or transmit organization-controlled information using external systems (if applicable);<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing the use of external systems.</li><li>External systems terms and conditions.</li><li>List of types of applications accessible from external systems.</li><li>Maximum security categorization for information processed, stored, or transmitted on external systems.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing terms and conditions on the use of external systems.</li></ul>","otherId":"ac-20_obj.a.2","defaultText":null,"uuid":"ddd3899f-0a80-4df1-bf8f-8e470dcbb0df"},{"testId":"AC-20b.","test":"Assessment Objective: Determine if the use of {{ insert: param, ac-20_odp.04 }} is prohibited (if applicable).<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing the use of external systems.</li><li>External systems terms and conditions.</li><li>List of types of applications accessible from external systems.</li><li>Maximum security categorization for information processed, stored, or transmitted on external systems.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for defining terms and conditions for use of external systems to access organizational systems.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing terms and conditions on the use of external systems.</li></ul>","otherId":"ac-20_obj.b","defaultText":null,"uuid":"f6e5652b-e7dc-4f7e-b9b7-466b1fcd95d7"}],"weight":1,"title":"AC-20 - Use of External Systems","enhancements":"<strong>Enhancements</strong><ul><li>AC-20(1) - Limits on Authorized Use</li><li>AC-20(2) - Portable Storage Devices — Restricted Use</li></ul>","otherId":"ac-20","sortId":"ac-20","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-20"},{"objectives":[{"objectiveType":"","otherId":"ac-21_smt.a","name":"a.","description":"<ul><li>a. Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, AC-21(a) }} ; and</li></ul>","uuid":"b0075902-3a5f-4245-a124-b904cfa232e1"},{"objectiveType":"","otherId":"ac-21_smt.b","name":"b.","description":"<ul><li>b. Employ {{ insert: param, AC-21(b) }} to assist users in making information sharing and collaboration decisions.</li></ul>","uuid":"d36a6e29-bc2f-484d-8d25-ca7e9ad6d1d1"}],"description":"<ul><li>a. Enable authorized users to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, AC-21(a) }} ; and</li><li>b. Employ {{ insert: param, AC-21(b) }} to assist users in making information sharing and collaboration decisions.</li></ul><br/><strong>Guidance</strong><p>Information sharing applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, classified information related to special access programs or compartments, privileged information, proprietary information, and personally identifiable information. Security and privacy risk assessments as well as applicable laws, regulations, and policies can provide useful inputs to these determinations. Depending on the circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program or compartment. Access restrictions may include non-disclosure agreements (NDA). Information flow techniques and security attributes may be used to provide automated assistance to users making sharing and collaboration decisions.</p>","uuid":"5697be0c-2c2e-4e47-9c61-6ac6055db0bf","family":"Access Control","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"information-sharing circumstances where user discretion is required to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions are defined;","uuid":"f1ae4dbb-a55a-4a7d-bdc7-bfadf6820075","otherId":"ac-21_odp.01","parameterId":"AC-21(a)","text":"information-sharing circumstances","default":" [Assignment: organization-defined information-sharing circumstances] "},{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms or manual processes that assist users in making information-sharing and collaboration decisions are defined;","uuid":"5e5f83c1-8b78-452e-a8ca-210150d25d07","otherId":"ac-21_odp.02","parameterId":"AC-21(b)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"AC-21a.","test":"Assessment Objective: Determine if authorized users are enabled to determine whether access authorizations assigned to a sharing partner match the information’s access and use restrictions for {{ insert: param, ac-21_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing user-based collaboration and information sharing (including restrictions).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of users authorized to make information-sharing/collaboration decisions.</li><li>List of information-sharing circumstances requiring user discretion.</li><li>Non-disclosure agreements.</li><li>Acquisitions/contractual agreements.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Security and privacy risk assessments.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for information-sharing/collaboration decisions.</li><li>Organizational personnel with responsibility for acquisitions/contractual agreements.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms or manual process implementing access authorizations supporting information-sharing/user collaboration decisions.</li></ul>","otherId":"ac-21_obj.a","defaultText":null,"uuid":"531676e1-66e0-46e1-bcc7-22f9bd978289"},{"testId":"AC-21b.","test":"Assessment Objective: Determine if \n{{ insert: param, ac-21_odp.02 }} are employed to assist users in making information-sharing and collaboration decisions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing user-based collaboration and information sharing (including restrictions).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of users authorized to make information-sharing/collaboration decisions.</li><li>List of information-sharing circumstances requiring user discretion.</li><li>Non-disclosure agreements.</li><li>Acquisitions/contractual agreements.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Security and privacy risk assessments.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for information-sharing/collaboration decisions.</li><li>Organizational personnel with responsibility for acquisitions/contractual agreements.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms or manual process implementing access authorizations supporting information-sharing/user collaboration decisions.</li></ul>","otherId":"ac-21_obj.b","defaultText":null,"uuid":"347eb17b-9df4-4469-9003-20475f4b5e83"}],"weight":1,"title":"AC-21 - Information Sharing","enhancements":"","otherId":"ac-21","sortId":"ac-21","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-21"},{"objectives":[{"objectiveType":"","otherId":"ac-22_smt.a","name":"a.","description":"<ul><li>a. Designate individuals authorized to make information publicly accessible;</li></ul>","uuid":"1daf8495-187a-4082-b6ec-1d14b3bfe474"},{"objectiveType":"","otherId":"ac-22_smt.b","name":"b.","description":"<ul><li>b. Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;</li></ul>","uuid":"59c2307c-d645-409b-80f8-0fb565b13681"},{"objectiveType":"","otherId":"ac-22_smt.c","name":"c.","description":"<ul><li>c. Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and</li></ul>","uuid":"5da2b063-b94c-4da4-b657-8687b26a58f2"},{"objectiveType":"","otherId":"ac-22_smt.d","name":"d.","description":"<ul><li>d. Review the content on the publicly accessible system for nonpublic information {{ insert: param, AC-22(d) }} and remove such information, if discovered.</li></ul>","uuid":"e9074398-ca2f-4034-82de-037d4caaefba"}],"description":"<ul><li>a. Designate individuals authorized to make information publicly accessible;</li><li>b. Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;</li><li>c. Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and</li><li>d. Review the content on the publicly accessible system for nonpublic information {{ insert: param, AC-22(d) }} and remove such information, if discovered.</li></ul><br/><strong>Guidance</strong><p>In accordance with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines, the public is not authorized to have access to nonpublic information, including information protected under the <a href=\"#18e71fec-c6fd-475a-925a-5d8495cf8455\">PRIVACT</a> and proprietary information. Publicly accessible content addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. Posting information on non-organizational systems (e.g., non-organizational public websites, forums, and social media) is covered by organizational policy. While organizations may have individuals who are responsible for developing and implementing policies about the information that can be made publicly accessible, publicly accessible content addresses the management of the individuals who make such information publicly accessible.</p>","uuid":"5d5acdd2-58cc-4e16-b587-15300c3ac8bd","family":"Access Control","parameters":[{"constraints":"at least quarterly","displayName":"","dataType":"","guidance":"the frequency at which to review the content on the publicly accessible system for non-public information is defined;","uuid":"a82810ba-f48e-4046-8330-23d3e7f05cb5","otherId":"ac-22_odp","parameterId":"AC-22(d)","text":"frequency","default":"[FedRAMP Assignment: at least quarterly]"}],"subControls":null,"tests":[{"testId":"AC-22a.","test":"Assessment Objective: Determine if designated individuals are authorized to make information publicly accessible;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing publicly accessible content.</li><li>List of users authorized to post publicly accessible content on organizational systems.</li><li>Training materials and/or records.</li><li>Records of publicly accessible information reviews.</li><li>Records of response to non-public information on public websites.</li><li>System audit logs.</li><li>Security awareness training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing management of publicly accessible content.</li></ul>","otherId":"ac-22_obj.a","defaultText":null,"uuid":"c9d0e621-5a26-4f18-b95d-68d63e0d5308"},{"testId":"AC-22b.","test":"Assessment Objective: Determine if authorized individuals are trained to ensure that publicly accessible information does not contain non-public information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing publicly accessible content.</li><li>List of users authorized to post publicly accessible content on organizational systems.</li><li>Training materials and/or records.</li><li>Records of publicly accessible information reviews.</li><li>Records of response to non-public information on public websites.</li><li>System audit logs.</li><li>Security awareness training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing management of publicly accessible content.</li></ul>","otherId":"ac-22_obj.b","defaultText":null,"uuid":"32af199e-b1bc-4f1c-8416-78734fd4070f"},{"testId":"AC-22c.","test":"Assessment Objective: Determine if the proposed content of information is reviewed prior to posting onto the publicly accessible system to ensure that non-public information is not included;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing publicly accessible content.</li><li>List of users authorized to post publicly accessible content on organizational systems.</li><li>Training materials and/or records.</li><li>Records of publicly accessible information reviews.</li><li>Records of response to non-public information on public websites.</li><li>System audit logs.</li><li>Security awareness training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing management of publicly accessible content.</li></ul>","otherId":"ac-22_obj.c","defaultText":null,"uuid":"12c390f1-2437-4d11-a282-46ca1c612f53"},{"testId":"AC-22d.[01]","test":"Assessment Objective: Determine if the content on the publicly accessible system is reviewed for non-public information {{ insert: param, ac-22_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing publicly accessible content.</li><li>List of users authorized to post publicly accessible content on organizational systems.</li><li>Training materials and/or records.</li><li>Records of publicly accessible information reviews.</li><li>Records of response to non-public information on public websites.</li><li>System audit logs.</li><li>Security awareness training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing management of publicly accessible content.</li></ul>","otherId":"ac-22_obj.d-1","defaultText":null,"uuid":"d748c5b3-acd5-4d39-8f4d-480a19b4ecef"},{"testId":"AC-22d.[02]","test":"Assessment Objective: Determine if non-public information is removed from the publicly accessible system, if discovered.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing publicly accessible content.</li><li>List of users authorized to post publicly accessible content on organizational systems.</li><li>Training materials and/or records.</li><li>Records of publicly accessible information reviews.</li><li>Records of response to non-public information on public websites.</li><li>System audit logs.</li><li>Security awareness training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing publicly accessible information posted on organizational systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing management of publicly accessible content.</li></ul>","otherId":"ac-22_obj.d-2","defaultText":null,"uuid":"9924ee9b-4076-4a5c-b369-28516a07937c"}],"weight":1,"title":"AC-22 - Publicly Accessible Content","enhancements":"","otherId":"ac-22","sortId":"ac-22","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AC-22"},{"objectives":[{"objectiveType":"","otherId":"at-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, AT-1(a) }}:</li><ul><li>1. {{ insert: param, AT-1(a)(1) }} awareness and training policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;</li></ul>","uuid":"a5986024-5d8e-4dba-a664-41e81ba84f9f"},{"objectiveType":"","otherId":"at-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, AT-1(b) }} to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and</li></ul>","uuid":"c3af4774-4bf8-4ca5-a4dd-b8fd62638f46"},{"objectiveType":"","otherId":"at-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current awareness and training:</li><ul><li>1. Policy {{ insert: param, AT-1(c)(1)-1 }} and following {{ insert: param, AT-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, AT-1(c)(2)-1 }} and following {{ insert: param, AT-1(c)(2)-2 }}.</li></ul>","uuid":"81349704-9bee-487e-9486-f5c67bf96b38"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, AT-1(a) }}:</li><ul><li>1. {{ insert: param, AT-1(a)(1) }} awareness and training policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the awareness and training policy and the associated awareness and training controls;</li></ul><li>b. Designate an {{ insert: param, AT-1(b) }} to manage the development, documentation, and dissemination of the awareness and training policy and procedures; and</li><li>c. Review and update the current awareness and training:</li><ul><li>1. Policy {{ insert: param, AT-1(c)(1)-1 }} and following {{ insert: param, AT-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, AT-1(c)(2)-1 }} and following {{ insert: param, AT-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Awareness and training policy and procedures address the controls in the AT family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of awareness and training policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to awareness and training policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"116d2c6c-9694-41ff-8ef1-d2388fc198ab","family":"Awareness and Training","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"ca04a4cf-724f-4bde-81f1-dbea7fec66c1","otherId":"at-1_prm_1","parameterId":"AT-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"f7d6972c-baba-4fe2-b38d-5781f178915f","otherId":"at-01_odp.03","parameterId":"AT-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the awareness and training policy and procedures is defined;","uuid":"f18a9630-b473-4402-b392-6ad1c6c30a5c","otherId":"at-01_odp.04","parameterId":"AT-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current awareness and training policy is reviewed and updated is defined;","uuid":"9b897ea1-31aa-4a44-a5b4-c37848ae33a6","otherId":"at-01_odp.05","parameterId":"AT-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current awareness and training policy to be reviewed and updated are defined;","uuid":"67b0f3e0-b868-4b73-9998-e1e75715d1af","otherId":"at-01_odp.06","parameterId":"AT-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current awareness and training procedures are reviewed and updated is defined;","uuid":"c0803cc6-d8d5-4700-8632-47fca3acbada","otherId":"at-01_odp.07","parameterId":"AT-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require procedures to be reviewed and updated are defined;","uuid":"1b04ae6d-a3a6-4fd7-8c03-992f412d8e7f","otherId":"at-01_odp.08","parameterId":"AT-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"AT-01a.[01]","test":"Assessment Objective: Determine if an awareness and training policy is developed and documented; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a-1","defaultText":null,"uuid":"932adcb5-cd87-4a07-a2a6-bc8f8ef1d8a6"},{"testId":"AT-01a.[02]","test":"Assessment Objective: Determine if the awareness and training policy is disseminated to {{ insert: param, at-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a-2","defaultText":null,"uuid":"102cca19-edca-4432-a482-35886d4be7df"},{"testId":"AT-01a.[03]","test":"Assessment Objective: Determine if awareness and training procedures to facilitate the implementation of the awareness and training policy and associated access controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a-3","defaultText":null,"uuid":"2db15672-c98f-410b-bc62-2ff2488ed44c"},{"testId":"AT-01a.[04]","test":"Assessment Objective: Determine if the awareness and training procedures are disseminated to {{ insert: param, at-01_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a-4","defaultText":null,"uuid":"719a451a-6ee3-4e9f-8948-f05fd5a5c1b3"},{"testId":"AT-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.a-1","defaultText":null,"uuid":"91620273-4cda-434b-93fe-c0d2182ac4b8"},{"testId":"AT-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.a-2","defaultText":null,"uuid":"9c54810b-f4a3-420a-b517-0b344125b07f"},{"testId":"AT-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.a-3","defaultText":null,"uuid":"5088c474-ce83-4f9c-a0f9-5c26201f7337"},{"testId":"AT-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.a-4","defaultText":null,"uuid":"31c850a9-bb19-44dd-a212-daa2e18a3697"},{"testId":"AT-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.a-5","defaultText":null,"uuid":"b3955cc9-c6ad-44e3-9bd1-e8bf5f4aa624"},{"testId":"AT-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.a-6","defaultText":null,"uuid":"df7f6960-28f4-4f58-9084-ac3d351cc49f"},{"testId":"AT-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy addresses compliance; and<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.a-7","defaultText":null,"uuid":"ba813bfa-9c03-4b3b-8245-7e3c30fdcff8"},{"testId":"AT-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.03 }} awareness and training policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.a.1.b","defaultText":null,"uuid":"7c045d84-d6f8-43e4-9eb7-1e6af7dafeda"},{"testId":"AT-01b.","test":"Assessment Objective: Determine if the {{ insert: param, at-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the awareness and training policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.b","defaultText":null,"uuid":"25933957-72b8-4424-aaac-b19b3f05fb3e"},{"testId":"AT-01c.01[01]","test":"Assessment Objective: Determine if the current awareness and training policy is reviewed and updated {{ insert: param, at-01_odp.05 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.c.1-1","defaultText":null,"uuid":"9c930403-c3fb-4133-8919-f3ae261e82c6"},{"testId":"AT-01c.01[02]","test":"Assessment Objective: Determine if the current awareness and training policy is reviewed and updated following {{ insert: param, at-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.c.1-2","defaultText":null,"uuid":"52e66a72-d7b7-4dfe-8f91-67e20bd38790"},{"testId":"AT-01c.02[01]","test":"Assessment Objective: Determine if the current awareness and training procedures are reviewed and updated {{ insert: param, at-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.c.2-1","defaultText":null,"uuid":"166c2c62-4ae6-43a7-abf8-52b837eb57be"},{"testId":"AT-01c.02[02]","test":"Assessment Objective: Determine if the current awareness and training procedures are reviewed and updated following {{ insert: param, at-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Awareness and training policy and procedures.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with awareness and training responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-1_obj.c.2-2","defaultText":null,"uuid":"2867de9a-d573-4a6a-b991-c623d97a55be"}],"weight":1,"title":"AT-01 - Policy and Procedures","enhancements":"","otherId":"at-1","sortId":"at-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AT-1"},{"objectives":[{"objectiveType":"","otherId":"at-2.2_smt","name":"AT-2(2)","description":"Provide literacy training on recognizing and reporting potential indicators of insider threat.","uuid":"0c4ac2f0-3645-4a9c-8199-122dc198684c"}],"description":"<p>Provide literacy training on recognizing and reporting potential indicators of insider threat.</p><br/><strong>Guidance</strong><p>Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction; attempts to gain access to information not required for job performance; unexplained access to financial resources; bullying or harassment of fellow employees; workplace violence; and other serious violations of policies, procedures, directives, regulations, rules, or practices. Literacy training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through channels established by the organization and in accordance with established policies and procedures. Organizations may consider tailoring insider threat awareness topics to the role. For example, training for managers may be focused on changes in the behavior of team members, while training for employees may be focused on more general observations.</p>","uuid":"33bd896b-5239-4c1d-9a87-4af60ea8b3e5","family":"Awareness and Training","parameters":[],"subControls":null,"tests":[{"testId":"AT-02(02)[01]","test":"Assessment Objective: Determine if literacy training on recognizing potential indicators of insider threat is provided;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Literacy training and awareness curriculum.</li><li>Literacy training and awareness materials.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel who receive literacy training and awareness.</li><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-2.2_obj-1","defaultText":null,"uuid":"b9c8f017-6782-4f2e-a3ed-8f630d8ba0e0"},{"testId":"AT-02(02)[02]","test":"Assessment Objective: Determine if literacy training on reporting potential indicators of insider threat is provided.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Literacy training and awareness curriculum.</li><li>Literacy training and awareness materials.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel who receive literacy training and awareness.</li><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-2.2_obj-2","defaultText":null,"uuid":"99aaf6c1-1896-4ab1-82b9-2a0ac6630ccb"}],"weight":1,"title":"AT-02(02) - Insider Threat","enhancements":null,"otherId":"at-2.2","sortId":"at-02.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AT-2(2)"},{"objectives":[{"objectiveType":"","otherId":"at-2.3_smt","name":"AT-2(3)","description":"Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining.","uuid":"8e3701b9-af59-4bda-8890-a20c9680d84b"}],"description":"<p>Provide literacy training on recognizing and reporting potential and actual instances of social engineering and social mining.</p><br/><strong>Guidance</strong><p>Social engineering is an attempt to trick an individual into revealing information or taking an action that can be used to breach, compromise, or otherwise adversely impact a system. Social engineering includes phishing, pretexting, impersonation, baiting, quid pro quo, thread-jacking, social media exploitation, and tailgating. Social mining is an attempt to gather information about the organization that may be used to support future attacks. Literacy training includes information on how to communicate the concerns of employees and management regarding potential and actual instances of social engineering and data mining through organizational channels based on established policies and procedures.</p>","uuid":"7878941c-5f98-4e65-b95f-db47478c1d8a","family":"Awareness and Training","parameters":[],"subControls":null,"tests":[{"testId":"AT-02(03)[01]","test":"Assessment Objective: Determine if literacy training on recognizing potential and actual instances of social engineering is provided;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Literacy training and awareness curriculum.</li><li>Literacy training and awareness materials.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel who receive literacy training and awareness.</li><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-2.3_obj-1","defaultText":null,"uuid":"94dc2b22-94b7-4264-aefd-975d61120171"},{"testId":"AT-02(03)[02]","test":"Assessment Objective: Determine if literacy training on reporting potential and actual instances of social engineering is provided;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Literacy training and awareness curriculum.</li><li>Literacy training and awareness materials.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel who receive literacy training and awareness.</li><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-2.3_obj-2","defaultText":null,"uuid":"2e99fb99-f7f2-4cc6-bebb-a54d0c96a0fa"},{"testId":"AT-02(03)[03]","test":"Assessment Objective: Determine if literacy training on recognizing potential and actual instances of social mining is provided;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Literacy training and awareness curriculum.</li><li>Literacy training and awareness materials.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel who receive literacy training and awareness.</li><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-2.3_obj-3","defaultText":null,"uuid":"bf132d6a-2695-4b1d-b654-d64c1f1f65fc"},{"testId":"AT-02(03)[04]","test":"Assessment Objective: Determine if literacy training on reporting potential and actual instances of social mining is provided.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Literacy training and awareness curriculum.</li><li>Literacy training and awareness materials.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel who receive literacy training and awareness.</li><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"at-2.3_obj-4","defaultText":null,"uuid":"315210a2-a46c-4e3c-a872-e5b7eb1f7b0a"}],"weight":1,"title":"AT-02(03) - Social Engineering and Mining","enhancements":null,"otherId":"at-2.3","sortId":"at-02.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AT-2(3)"},{"objectives":[{"objectiveType":"","otherId":"at-2_smt.a","name":"a.","description":"<ul><li>a. Provide security and privacy literacy training to system users (including managers, senior executives, and contractors):</li><ul><li>1. As part of initial training for new users and {{ insert: param, AT-2(a)(1) }} thereafter; and</li><li>2. When required by system changes or following {{ insert: param, AT-2(a)(2) }};</li></ul>","uuid":"8c728be3-dd68-43db-bb87-7740320af531"},{"objectiveType":"","otherId":"at-2_smt.b","name":"b.","description":"<ul><li>b. Employ the following techniques to increase the security and privacy awareness of system users {{ insert: param, AT-2(b) }};</li></ul>","uuid":"3839c2a0-4923-409d-a432-e51ef0762395"},{"objectiveType":"","otherId":"at-2_smt.c","name":"c.","description":"<ul><li>c. Update literacy training and awareness content {{ insert: param, AT-2(c)-1 }} and following {{ insert: param, AT-2(c)-2 }} ; and</li></ul>","uuid":"f2b91fb7-f063-4eaf-b2d2-c8f61a403ed1"},{"objectiveType":"","otherId":"at-2_smt.d","name":"d.","description":"<ul><li>d. Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques.</li></ul>","uuid":"a22e2f27-9718-468b-ad8d-ee6bb8a1826f"}],"description":"<ul><li>a. Provide security and privacy literacy training to system users (including managers, senior executives, and contractors):</li><ul><li>1. As part of initial training for new users and {{ insert: param, AT-2(a)(1) }} thereafter; and</li><li>2. When required by system changes or following {{ insert: param, AT-2(a)(2) }};</li></ul><li>b. Employ the following techniques to increase the security and privacy awareness of system users {{ insert: param, AT-2(b) }};</li><li>c. Update literacy training and awareness content {{ insert: param, AT-2(c)-1 }} and following {{ insert: param, AT-2(c)-2 }} ; and</li><li>d. Incorporate lessons learned from internal or external security incidents or breaches into literacy training and awareness techniques.</li></ul><br/><strong>Guidance</strong><p>Organizations provide basic and advanced levels of literacy training to system users, including measures to test the knowledge level of users. Organizations determine the content of literacy training and awareness based on specific organizational requirements, the systems to which personnel have authorized access, and work environments (e.g., telework). The content includes an understanding of the need for security and privacy as well as actions by users to maintain security and personal privacy and to respond to suspected incidents. The content addresses the need for operations security and the handling of personally identifiable information.</p><p>Awareness techniques include displaying posters, offering supplies inscribed with security and privacy reminders, displaying logon screen messages, generating email advisories or notices from organizational officials, and conducting awareness events. Literacy training after the initial training described in <a href=\"#at-2_smt.a.1\">AT-2a.1</a> is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Subsequent literacy training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, or a subset of topics from the initial training. Updating literacy training and awareness content on a regular basis helps to ensure that the content remains relevant. Events that may precipitate an update to literacy training and awareness content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.</p>","uuid":"8977ab5f-8210-4155-a171-e80b87f4a029","family":"Awareness and Training","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"","uuid":"acd47b99-cd92-4630-8aaf-f4b92cc81b8f","otherId":"at-2_prm_1","parameterId":"AT-2(a)(1)","text":"organization-defined frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"0e96ebed-3429-4f3a-bd4b-ad4f53adf5e0","otherId":"at-2_prm_2","parameterId":"AT-2(a)(2)","text":"organization-defined events","default":" [Assignment: organization-defined events] "},{"constraints":"","displayName":"","dataType":"","guidance":"techniques to be employed to increase the security and privacy awareness of system users are defined;","uuid":"092c2959-f714-4465-a6d5-25713071da12","otherId":"at-02_odp.05","parameterId":"AT-2(b)","text":"awareness techniques","default":" [Assignment: organization-defined awareness techniques] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to update literacy training and awareness content is defined;","uuid":"a3230d80-5fb9-40d6-8279-90bb1bc8ac6d","otherId":"at-02_odp.06","parameterId":"AT-2(c)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require literacy training and awareness content to be updated are defined;","uuid":"6b8b06a9-9656-4d21-8ad8-68e2778b6ca4","otherId":"at-02_odp.07","parameterId":"AT-2(c)-2","text":"events","default":" [Assignment: organization-defined events] "}],"subControls":null,"tests":[{"testId":"AT-02a.01[01]","test":"Assessment Objective: Determine if security literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.a.1-1","defaultText":null,"uuid":"0e9b1e6e-140d-4d6c-af00-cb96a5cf37cb"},{"testId":"AT-02a.01[02]","test":"Assessment Objective: Determine if privacy literacy training is provided to system users (including managers, senior executives, and contractors) as part of initial training for new users;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.a.1-2","defaultText":null,"uuid":"3fc9e325-a0b3-463d-8b30-3a3562f83894"},{"testId":"AT-02a.01[03]","test":"Assessment Objective: Determine if security literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.01 }} thereafter;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.a.1-3","defaultText":null,"uuid":"16413de0-6cf1-4a93-a737-590c0e77bbad"},{"testId":"AT-02a.01[04]","test":"Assessment Objective: Determine if privacy literacy training is provided to system users (including managers, senior executives, and contractors) {{ insert: param, at-02_odp.02 }} thereafter;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.a.1-4","defaultText":null,"uuid":"d86336b2-d09e-41a3-8af3-5b197b66acec"},{"testId":"AT-02a.02[01]","test":"Assessment Objective: Determine if security literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.a.2-1","defaultText":null,"uuid":"c2511f42-6d8f-425a-8177-ced04c736ba1"},{"testId":"AT-02a.02[02]","test":"Assessment Objective: Determine if privacy literacy training is provided to system users (including managers, senior executives, and contractors) when required by system changes or following {{ insert: param, at-02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.a.2-2","defaultText":null,"uuid":"a11e3c95-7150-4474-8ccd-91a1434a546f"},{"testId":"AT-02b.","test":"Assessment Objective: Determine if \n{{ insert: param, at-02_odp.05 }} are employed to increase the security and privacy awareness of system users;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.b","defaultText":null,"uuid":"2d6398bf-3441-4d5d-a19a-297fa360b567"},{"testId":"AT-02c.[01]","test":"Assessment Objective: Determine if literacy training and awareness content is updated {{ insert: param, at-02_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.c-1","defaultText":null,"uuid":"0dfbaad2-5fa5-422f-932d-989be58d2d09"},{"testId":"AT-02c.[02]","test":"Assessment Objective: Determine if literacy training and awareness content is updated following {{ insert: param, at-02_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.c-2","defaultText":null,"uuid":"f8edebc6-4da8-4a7c-983d-2cc80c70f1f3"},{"testId":"AT-02d.","test":"Assessment Objective: Determine if lessons learned from internal or external security incidents or breaches are incorporated into literacy training and awareness techniques.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Literacy training and awareness policy.</li><li>Procedures addressing literacy training and awareness implementation.</li><li>Appropriate codes of federal regulations.</li><li>Security and privacy literacy training curriculum.</li><li>Security and privacy literacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for literacy training and awareness.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel comprising the general system user community.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing information security and privacy literacy training.</li></ul>","otherId":"at-2_obj.d","defaultText":null,"uuid":"2192411d-d979-4038-94ce-26f435d97f0c"}],"weight":1,"title":"AT-02 - Literacy Training and Awareness","enhancements":"<strong>Enhancements</strong><ul><li>AT-2(2) - Insider Threat</li><li>AT-2(3) - Social Engineering and Mining</li></ul>","otherId":"at-2","sortId":"at-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AT-2"},{"objectives":[{"objectiveType":"","otherId":"at-3_smt.a","name":"a.","description":"<ul><li>a. Provide role-based security and privacy training to personnel with the following roles and responsibilities: {{ insert: param, AT-3(a) }}:</li><ul><li>1. Before authorizing access to the system, information, or performing assigned duties, and {{ insert: param, AT-3(a)(1) }} thereafter; and</li><li>2. When required by system changes;</li></ul>","uuid":"50acc59e-42ed-4fd3-8461-0cc2d7b49e89"},{"objectiveType":"","otherId":"at-3_smt.b","name":"b.","description":"<ul><li>b. Update role-based training content {{ insert: param, AT-3(b)-1 }} and following {{ insert: param, AT-3(b)-2 }} ; and</li></ul>","uuid":"caf30b1c-e697-4780-8233-cad77c863021"},{"objectiveType":"","otherId":"at-3_smt.c","name":"c.","description":"<ul><li>c. Incorporate lessons learned from internal or external security incidents or breaches into role-based training.</li></ul>","uuid":"56eeb821-0517-4850-b276-0d130dbd73c2"}],"description":"<ul><li>a. Provide role-based security and privacy training to personnel with the following roles and responsibilities: {{ insert: param, AT-3(a) }}:</li><ul><li>1. Before authorizing access to the system, information, or performing assigned duties, and {{ insert: param, AT-3(a)(1) }} thereafter; and</li><li>2. When required by system changes;</li></ul><li>b. Update role-based training content {{ insert: param, AT-3(b)-1 }} and following {{ insert: param, AT-3(b)-2 }} ; and</li><li>c. Incorporate lessons learned from internal or external security incidents or breaches into role-based training.</li></ul><br/><strong>Guidance</strong><p>Organizations determine the content of training based on the assigned roles and responsibilities of individuals as well as the security and privacy requirements of organizations and the systems to which personnel have authorized access, including technical training specifically tailored for assigned duties. Roles that may require role-based training include senior leaders or management officials (e.g., head of agency/chief executive officer, chief information officer, senior accountable official for risk management, senior agency information security officer, senior agency official for privacy), system owners; authorizing officials; system security officers; privacy officers; acquisition and procurement officials; enterprise architects; systems engineers; software developers; systems security engineers; privacy engineers; system, network, and database administrators; auditors; personnel conducting configuration management activities; personnel performing verification and validation activities; personnel with access to system-level software; control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel with access to personally identifiable information.</p><p>Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical controls. Role-based training also includes policies, procedures, tools, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain risk management within the context of organizational security and privacy programs. Role-based training also applies to contractors who provide services to federal agencies. Types of training include web-based and computer-based training, classroom-style training, and hands-on training (including micro-training). Updating role-based training on a regular basis helps to ensure that the content remains relevant and effective. Events that may precipitate an update to role-based training content include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.</p>","uuid":"7a9622fb-2db3-45ff-a854-771ede0c676e","family":"Awareness and Training","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"8b76bc34-8063-42f0-818d-23fa125a2667","otherId":"at-3_prm_1","parameterId":"AT-3(a)","text":"organization-defined roles and responsibilities","default":" [Assignment: organization-defined roles and responsibilities] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to provide role-based security and privacy training to assigned personnel after initial training is defined;","uuid":"3ba15130-9e5c-44c0-b888-413c5870342c","otherId":"at-03_odp.03","parameterId":"AT-3(a)(1)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to update role-based training content is defined;","uuid":"d2a5c73f-e33c-406b-b252-07632999f105","otherId":"at-03_odp.04","parameterId":"AT-3(b)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that require role-based training content to be updated are defined;","uuid":"9fdc5620-83b1-4236-806b-9c5962485c5e","otherId":"at-03_odp.05","parameterId":"AT-3(b)-2","text":"events","default":" [Assignment: organization-defined events] "}],"subControls":null,"tests":[{"testId":"AT-03a.01[01]","test":"Assessment Objective: Determine if role-based security training is provided to {{ insert: param, at-03_odp.01 }} before authorizing access to the system, information, or performing assigned duties;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.a.1-1","defaultText":null,"uuid":"d4f78dd1-a9ee-45a8-b28a-0a2d4e74763d"},{"testId":"AT-03a.01[02]","test":"Assessment Objective: Determine if role-based privacy training is provided to {{ insert: param, at-03_odp.02 }} before authorizing access to the system, information, or performing assigned duties;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.a.1-2","defaultText":null,"uuid":"881cc08b-834b-435c-ac0f-afc34a4ed332"},{"testId":"AT-03a.01[03]","test":"Assessment Objective: Determine if role-based security training is provided to {{ insert: param, at-03_odp.01 }}\n{{ insert: param, at-03_odp.03 }} thereafter;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.a.1-3","defaultText":null,"uuid":"010a3ba0-8002-4d0e-98ed-ed99ddb22621"},{"testId":"AT-03a.01[04]","test":"Assessment Objective: Determine if role-based privacy training is provided to {{ insert: param, at-03_odp.02 }}\n{{ insert: param, at-03_odp.03 }} thereafter;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.a.1-4","defaultText":null,"uuid":"2444a1bc-21b6-4f8c-a5a9-5883be424b07"},{"testId":"AT-03a.02[01]","test":"Assessment Objective: Determine if role-based security training is provided to personnel with assigned security roles and responsibilities when required by system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.a.2-1","defaultText":null,"uuid":"9f1216eb-a188-4f7b-b981-8284e869de9a"},{"testId":"AT-03a.02[02]","test":"Assessment Objective: Determine if role-based privacy training is provided to personnel with assigned security roles and responsibilities when required by system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.a.2-2","defaultText":null,"uuid":"0a0600f2-f757-462d-8cef-14d978650b7b"},{"testId":"AT-03b.[01]","test":"Assessment Objective: Determine if role-based training content is updated {{ insert: param, at-03_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.b-1","defaultText":null,"uuid":"b6693902-2d1d-40bf-8a15-fb7a26689ec1"},{"testId":"AT-03b.[02]","test":"Assessment Objective: Determine if role-based training content is updated following {{ insert: param, at-03_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.b-2","defaultText":null,"uuid":"f508a975-5262-4c53-ac95-9f8caf440925"},{"testId":"AT-03c.","test":"Assessment Objective: Determine if lessons learned from internal or external security incidents or breaches are incorporated into role-based training.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training implementation.</li><li>Codes of federal regulations.</li><li>Security and privacy training curriculum.</li><li>Security and privacy training materials.</li><li>Training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for role-based security and privacy training.</li><li>Organizational personnel with assigned system security and privacy roles and responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing role-based security and privacy training.</li></ul>","otherId":"at-3_obj.c","defaultText":null,"uuid":"032b70e5-959f-4c1a-950b-3201748981e3"}],"weight":1,"title":"AT-03 - Role-based Training","enhancements":"","otherId":"at-3","sortId":"at-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AT-3"},{"objectives":[{"objectiveType":"","otherId":"at-4_smt.a","name":"a.","description":"<ul><li>a. Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and</li></ul>","uuid":"97fce667-7add-4474-b6ef-367cdd56aa95"},{"objectiveType":"","otherId":"at-4_smt.b","name":"b.","description":"<ul><li>b. Retain individual training records for {{ insert: param, AT-4(b) }}.</li></ul>","uuid":"0ead021a-f24c-4de9-9726-9feb3111d99e"}],"description":"<ul><li>a. Document and monitor information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training; and</li><li>b. Retain individual training records for {{ insert: param, AT-4(b) }}.</li></ul><br/><strong>Guidance</strong><p>Documentation for specialized training may be maintained by individual supervisors at the discretion of the organization. The National Archives and Records Administration provides guidance on records retention for federal agencies.</p>","uuid":"0d690b8c-98c4-4073-93cb-e9175a56f2ea","family":"Awareness and Training","parameters":[{"constraints":"at least one (1) year or 1 year after completion of a specific training program","displayName":"","dataType":"","guidance":"time period for retaining individual training records is defined;","uuid":"9afaf63b-4cf0-4be6-bacd-fbea4e69a6bd","otherId":"at-04_odp","parameterId":"AT-4(b)","text":"time period","default":"[FedRAMP Assignment: at least one (1) year or 1 year after completion of a specific training program]"}],"subControls":null,"tests":[{"testId":"AT-04a.[01]","test":"Assessment Objective: Determine if information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training records.</li><li>Security and privacy awareness and training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy training record retention responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting the management of security and privacy training records.</li></ul>","otherId":"at-4_obj.a-1","defaultText":null,"uuid":"10ccd106-7dc7-4b22-8a17-88289f918598"},{"testId":"AT-04a.[02]","test":"Assessment Objective: Determine if information security and privacy training activities, including security and privacy awareness training and specific role-based security and privacy training, are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training records.</li><li>Security and privacy awareness and training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy training record retention responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting the management of security and privacy training records.</li></ul>","otherId":"at-4_obj.a-2","defaultText":null,"uuid":"3e9cc3c8-2fdc-4f8f-ae6b-7e9be311e3d4"},{"testId":"AT-04b.","test":"Assessment Objective: Determine if individual training records are retained for {{ insert: param, at-04_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy awareness and training policy.</li><li>Procedures addressing security and privacy training records.</li><li>Security and privacy awareness and training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy training record retention responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting the management of security and privacy training records.</li></ul>","otherId":"at-4_obj.b","defaultText":null,"uuid":"63f3d5de-9304-45ce-b3cb-e412712c9695"}],"weight":1,"title":"AT-04 - Training Records","enhancements":"","otherId":"at-4","sortId":"at-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AT-4"},{"objectives":[{"objectiveType":"","otherId":"au-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, AU-1(a) }}:</li><ul><li>1. {{ insert: param, AU-1(a)(1) }} audit and accountability policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;</li></ul>","uuid":"61f324e3-1fd4-49e3-8adf-eec2c03f05b0"},{"objectiveType":"","otherId":"au-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, AU-1(b) }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and</li></ul>","uuid":"778489e7-3660-4991-9da3-23da4009d530"},{"objectiveType":"","otherId":"au-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current audit and accountability:</li><ul><li>1. Policy {{ insert: param, AU-1(c)(1)-1 }} and following {{ insert: param, AU-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, AU-1(c)(2)-1 }} and following {{ insert: param, AU-1(c)(2)-2 }}.</li></ul>","uuid":"083f49f0-1e78-4576-886d-96ca60fbd77d"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, AU-1(a) }}:</li><ul><li>1. {{ insert: param, AU-1(a)(1) }} audit and accountability policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;</li></ul><li>b. Designate an {{ insert: param, AU-1(b) }} to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and</li><li>c. Review and update the current audit and accountability:</li><ul><li>1. Policy {{ insert: param, AU-1(c)(1)-1 }} and following {{ insert: param, AU-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, AU-1(c)(2)-1 }} and following {{ insert: param, AU-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"e07fe2e6-75db-4ce6-a16a-0f67dc61db32","family":"Audit and Accountability","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"b7910261-cbc0-4232-96cc-66a5146141fb","otherId":"au-1_prm_1","parameterId":"AU-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"103001df-b013-423d-96d5-3d30c68b126b","otherId":"au-01_odp.03","parameterId":"AU-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the audit and accountability policy and procedures is defined;","uuid":"0f1085eb-ba86-4edd-970d-d9fa92ad42ba","otherId":"au-01_odp.04","parameterId":"AU-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current audit and accountability policy is reviewed and updated is defined;","uuid":"a9f08dd7-708e-494c-bf46-f36842e7cf3f","otherId":"au-01_odp.05","parameterId":"AU-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current audit and accountability policy to be reviewed and updated are defined;","uuid":"2caf30d2-3795-4aec-bfd9-54f613e87ba7","otherId":"au-01_odp.06","parameterId":"AU-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current audit and accountability procedures are reviewed and updated is defined;","uuid":"de49ca9e-9834-46bd-9ee4-984fac1a5f00","otherId":"au-01_odp.07","parameterId":"AU-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require audit and accountability procedures to be reviewed and updated are defined;","uuid":"0be7f3bc-9af5-469f-b0e2-9c875af3d69c","otherId":"au-01_odp.08","parameterId":"AU-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"AU-01a.[01]","test":"Assessment Objective: Determine if an audit and accountability policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a-1","defaultText":null,"uuid":"d8bcb32a-05de-45a9-964e-1f06fab00ea1"},{"testId":"AU-01a.[02]","test":"Assessment Objective: Determine if the audit and accountability policy is disseminated to {{ insert: param, au-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a-2","defaultText":null,"uuid":"59ee5f1f-3328-44b0-8e2f-bd203cde6f9d"},{"testId":"AU-01a.[03]","test":"Assessment Objective: Determine if audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a-3","defaultText":null,"uuid":"00f7a2a6-f30d-4018-abce-6680dbc9d9f2"},{"testId":"AU-01a.[04]","test":"Assessment Objective: Determine if the audit and accountability procedures are disseminated to {{ insert: param, au-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a-4","defaultText":null,"uuid":"283078ac-c502-4083-979c-0bdad50b5422"},{"testId":"AU-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.a-1","defaultText":null,"uuid":"c73ab2e2-24da-4b36-8222-025550936c68"},{"testId":"AU-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.a-2","defaultText":null,"uuid":"c03690a8-2f14-4904-900a-01e86c1948e8"},{"testId":"AU-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.a-3","defaultText":null,"uuid":"7c96863e-c1ef-4437-8080-1a75a3c67966"},{"testId":"AU-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.a-4","defaultText":null,"uuid":"41fbbd76-23b9-4a4d-b6ed-c549205e86f9"},{"testId":"AU-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.a-5","defaultText":null,"uuid":"168ef1f6-31a7-49f9-9a1d-8ed5eed7b5e4"},{"testId":"AU-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.a-6","defaultText":null,"uuid":"3a678705-77d3-4306-a1cb-2c910fd5e9a5"},{"testId":"AU-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.a-7","defaultText":null,"uuid":"2ca324a7-b3a9-4a15-b5ee-22c44a376d0d"},{"testId":"AU-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.03 }} of the audit and accountability policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.a.1.b","defaultText":null,"uuid":"0263b9bc-cb30-4626-80c9-d3daa1e68b7b"},{"testId":"AU-01b.","test":"Assessment Objective: Determine if the {{ insert: param, au-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.b","defaultText":null,"uuid":"cbcf9961-88e8-486f-9daa-d51dae598c8b"},{"testId":"AU-01c.01[01]","test":"Assessment Objective: Determine if the current audit and accountability policy is reviewed and updated {{ insert: param, au-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.c.1-1","defaultText":null,"uuid":"2b3a4633-f60b-4521-96c5-492904c1ae5f"},{"testId":"AU-01c.01[02]","test":"Assessment Objective: Determine if the current audit and accountability policy is reviewed and updated following {{ insert: param, au-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.c.1-2","defaultText":null,"uuid":"838b50cb-9db3-40ab-ae3c-7a9ab6c6c4bc"},{"testId":"AU-01c.02[01]","test":"Assessment Objective: Determine if the current audit and accountability procedures are reviewed and updated {{ insert: param, au-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.c.2-1","defaultText":null,"uuid":"427722b2-528e-4d9b-894d-b7b01021f7c2"},{"testId":"AU-01c.02[02]","test":"Assessment Objective: Determine if the current audit and accountability procedures are reviewed and updated following {{ insert: param, au-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-1_obj.c.2-2","defaultText":null,"uuid":"87655d2a-d5dc-48ca-b669-fcd47c4a5612"}],"weight":1,"title":"AU-01 - Policy and Procedures","enhancements":"","otherId":"au-1","sortId":"au-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-1"},{"objectives":[{"objectiveType":"","otherId":"au-2_smt.a","name":"a.","description":"<ul><li>a. Identify the types of events that the system is capable of logging in support of the audit function: {{ insert: param, AU-2(a) }};</li></ul>","uuid":"2771bacc-2e26-4096-abd5-cdca0d7a43b5"},{"objectiveType":"","otherId":"au-2_smt.b","name":"b.","description":"<ul><li>b. Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;</li></ul>","uuid":"0d63ae69-1179-4546-87a4-61e03b6baa25"},{"objectiveType":"","otherId":"au-2_smt.c","name":"c.","description":"<ul><li>c. Specify the following event types for logging within the system: {{ insert: param, AU-2(c) }};</li></ul>","uuid":"cb732673-7164-425c-adec-b8904d83a7f8"},{"objectiveType":"","otherId":"au-2_smt.d","name":"d.","description":"<ul><li>d. Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and</li></ul>","uuid":"3e9d2660-cfa3-47c6-bb01-4f27b0e69dbf"},{"objectiveType":"","otherId":"au-2_smt.e","name":"e.","description":"<ul><li>e. Review and update the event types selected for logging {{ insert: param, AU-2(e) }}.</li></ul>","uuid":"772d8672-98a7-4831-95ec-1e2a6e9cca15"}],"description":"<ul><li>a. Identify the types of events that the system is capable of logging in support of the audit function: {{ insert: param, AU-2(a) }};</li><li>b. Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;</li><li>c. Specify the following event types for logging within the system: {{ insert: param, AU-2(c) }};</li><li>d. Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and</li><li>e. Review and update the event types selected for logging {{ insert: param, AU-2(e) }}.</li></ul><br/><strong>Guidance</strong><p>An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system.</p><p>To balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage.</p><p>Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include <a href=\"#ac-2.4\">AC-2(4)</a>, <a href=\"#ac-3.10\">AC-3(10)</a>, <a href=\"#ac-6.9\">AC-6(9)</a>, <a href=\"#ac-17.1\">AC-17(1)</a>, <a href=\"#cm-3_smt.f\">CM-3f</a>, <a href=\"#cm-5.1\">CM-5(1)</a>, <a href=\"#ia-3.3_smt.b\">IA-3(3)(b)</a>, <a href=\"#ma-4.1\">MA-4(1)</a>, <a href=\"#mp-4.2\">MP-4(2)</a>, <a href=\"#pe-3\">PE-3</a>, <a href=\"#pm-21\">PM-21</a>, <a href=\"#pt-7\">PT-7</a>, <a href=\"#ra-8\">RA-8</a>, <a href=\"#sc-7.9\">SC-7(9)</a>, <a href=\"#sc-7.15\">SC-7(15)</a>, <a href=\"#si-3.8\">SI-3(8)</a>, <a href=\"#si-4.22\">SI-4(22)</a>, <a href=\"#si-7.8\">SI-7(8)</a> , and <a href=\"#si-10.1\">SI-10(1)</a> . Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. When defining event types, organizations consider the logging necessary to cover related event types, such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures.</p><br/><strong>AU-2 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(e) Guidance:</b> Annually or whenever changes in the threat environment are communicated to the service provider by the JAB/AO.</li><li><b>Requirement:</b> Coordination between service provider and consumer shall be documented and accepted by the JAB/AO.</li></ul>","uuid":"40f28ee3-578c-4da5-8719-a86e336db2e2","family":"Audit and Accountability","parameters":[{"constraints":"organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event.","displayName":"","dataType":"","guidance":"","uuid":"79095f06-77e4-4f33-a8a5-10358e5eb271","otherId":"au-2_prm_2","parameterId":"AU-2(c)","text":"organization-defined event types (subset of the event types defined in AU-2a.) along with the frequency of (or situation requiring) logging for each identified event type","default":"[FedRAMP Assignment: organization-defined subset of the auditable events defined in AU-2a to be audited continually for each identified event.]"},{"constraints":"successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes","displayName":"","dataType":"","guidance":"the event types that the system is capable of logging in support of the audit function are defined;","uuid":"21e35f0f-5cae-474b-8aa3-6e081f33a249","otherId":"au-02_odp.01","parameterId":"AU-2(a)","text":"event types","default":"[FedRAMP Assignment: successful and unsuccessful account logon events, account management events, object access, policy change, privilege functions, process tracking, and system events. For Web applications: all administrator activity, authentication checks, authorization checks, data deletions, data access, data changes, and permission changes]"},{"constraints":"annually and whenever there is a change in the threat environment","displayName":"","dataType":"","guidance":"the frequency of event types selected for logging are reviewed and updated;","uuid":"228155f2-a54e-459e-b46b-3bfbc05705d5","otherId":"au-02_odp.04","parameterId":"AU-2(e)","text":"frequency","default":"[FedRAMP Assignment: annually and whenever there is a change in the threat environment]"}],"subControls":null,"tests":[{"testId":"AU-02a.","test":"Assessment Objective: Determine if \n{{ insert: param, au-02_odp.01 }} that the system is capable of logging are identified in support of the audit logging function;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing auditable events.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System auditable events.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing.</li></ul>","otherId":"au-2_obj.a","defaultText":null,"uuid":"f82b44cc-81e3-4776-9cd7-ad062ab5e9a4"},{"testId":"AU-02b.","test":"Assessment Objective: Determine if the event logging function is coordinated with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing auditable events.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System auditable events.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing.</li></ul>","otherId":"au-2_obj.b","defaultText":null,"uuid":"87a5d1a5-b742-439b-bf71-a90c1521a41b"},{"testId":"AU-02c.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, au-02_odp.02 }} are specified for logging within the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing auditable events.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System auditable events.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing.</li></ul>","otherId":"au-2_obj.c-1","defaultText":null,"uuid":"cfd539ac-461e-4714-8fa3-81f825c32c7c"},{"testId":"AU-02c.[02]","test":"Assessment Objective: Determine if the specified event types are logged within the system {{ insert: param, au-02_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing auditable events.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System auditable events.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing.</li></ul>","otherId":"au-2_obj.c-2","defaultText":null,"uuid":"65d2e032-7acf-4cab-ba6f-cd2fc37d7cce"},{"testId":"AU-02d.","test":"Assessment Objective: Determine if a rationale is provided for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing auditable events.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System auditable events.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing.</li></ul>","otherId":"au-2_obj.d","defaultText":null,"uuid":"73e67137-507c-42d5-9926-71299cbb25aa"},{"testId":"AU-02e.","test":"Assessment Objective: Determine if the event types selected for logging are reviewed and updated {{ insert: param, au-02_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing auditable events.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System auditable events.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing.</li></ul>","otherId":"au-2_obj.e","defaultText":null,"uuid":"7dc0a3f8-258e-45cd-9c8f-a090a4b5a867"}],"weight":1,"title":"AU-02 - Event Logging","enhancements":"","otherId":"au-2","sortId":"au-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-2"},{"objectives":[{"objectiveType":"","otherId":"au-3.1_smt","name":"AU-3(1)","description":"Generate audit records containing the following additional information: {{ insert: param, AU-3(1) }}.","uuid":"9a72bbfa-16e1-4b18-8356-ef1820314bc3"}],"description":"<p>Generate audit records containing the following additional information: {{ insert: param, AU-3(1) }}.</p><br/><strong>Guidance</strong><p>The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy.</p><br/><strong>AU-3 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> For client-server transactions, the number of bytes sent and received gives bidirectional transfer information that can be helpful during an investigation or inquiry.</li></ul>","uuid":"576ddc09-7e61-45d8-87df-4c83966d50de","family":"Audit and Accountability","parameters":[{"constraints":"session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands","displayName":"","dataType":"","guidance":"additional information to be included in audit records is defined;","uuid":"858b45eb-093b-4fa5-a40a-e039576d5d13","otherId":"au-03.01_odp","parameterId":"AU-3(1)","text":"additional information","default":"[FedRAMP Assignment: session, connection, transaction, or activity duration; for client-server transactions, the number of bytes received and bytes sent; additional informational messages to diagnose or identify the event; characteristics that describe or identify the object or resource being acted upon; individual identities of group account users; full-text of privileged commands]"}],"subControls":null,"tests":[{"testId":"AU-03(01)","test":"Assessment Objective: Determine if generated audit records contain the following {{ insert: param, au-03.01_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing content of audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of organization-defined auditable events.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>System audit capability.</li></ul>","otherId":"au-3.1_obj","defaultText":null,"uuid":"69b7956c-86d1-453a-bc61-56341c970c2e"}],"weight":1,"title":"AU-03(01) - Additional Audit Information","enhancements":null,"otherId":"au-3.1","sortId":"au-03.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-3(1)"},{"objectives":[{"objectiveType":"","otherId":"au-3_smt.a","name":"a.","description":"<ul><li>a. Ensure that audit records contain information that establishes the following: What type of event occurred;</li></ul>","uuid":"e6c1555c-6ddf-4da2-925a-f10bdcc25017"},{"objectiveType":"","otherId":"au-3_smt.b","name":"b.","description":"<ul><li>b. Ensure that audit records contain information that establishes the following: When the event occurred;</li></ul>","uuid":"0b781b81-ce2b-4f6e-b99e-e5f89800b40c"},{"objectiveType":"","otherId":"au-3_smt.c","name":"c.","description":"<ul><li>c. Ensure that audit records contain information that establishes the following: Where the event occurred;</li></ul>","uuid":"f7b1a6ee-33c6-4f80-9100-3e46ad352ae2"},{"objectiveType":"","otherId":"au-3_smt.d","name":"d.","description":"<ul><li>d. Ensure that audit records contain information that establishes the following: Source of the event;</li></ul>","uuid":"1d9bfacd-79b3-4681-b76a-838225a8d13a"},{"objectiveType":"","otherId":"au-3_smt.e","name":"e.","description":"<ul><li>e. Ensure that audit records contain information that establishes the following: Outcome of the event; and</li></ul>","uuid":"75e28e35-13dc-4de2-9e1e-87b705f83e8d"},{"objectiveType":"","otherId":"au-3_smt.f","name":"f.","description":"<ul><li>f. Ensure that audit records contain information that establishes the following: Identity of any individuals, subjects, or objects/entities associated with the event.</li></ul>","uuid":"3c7adb44-96e3-4dad-9981-d5948fe0d5b1"}],"description":"<p>Ensure that audit records contain information that establishes the following:</p><ul><li>a. What type of event occurred;</li><li>b. When the event occurred;</li><li>c. Where the event occurred;</li><li>d. Source of the event;</li><li>e. Outcome of the event; and</li><li>f. Identity of any individuals, subjects, or objects/entities associated with the event.</li></ul><br/><strong>Guidance</strong><p>Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage.</p>","uuid":"fd7e7aa1-aadc-41aa-929f-85f6455849ab","family":"Audit and Accountability","parameters":[],"subControls":null,"tests":[{"testId":"AU-03a.","test":"Assessment Objective: Determine if audit records contain information that establishes what type of event occurred;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing content of audit records.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of organization-defined auditable events.</li><li>System audit records.</li><li>System incident reports.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing of auditable events.</li></ul>","otherId":"au-3_obj.a","defaultText":null,"uuid":"5993b939-cecb-45c4-9685-e9a5bc5811f9"},{"testId":"AU-03b.","test":"Assessment Objective: Determine if audit records contain information that establishes when the event occurred;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing content of audit records.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of organization-defined auditable events.</li><li>System audit records.</li><li>System incident reports.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing of auditable events.</li></ul>","otherId":"au-3_obj.b","defaultText":null,"uuid":"07f7827c-7a43-4a48-bc36-cf7f48c93587"},{"testId":"AU-03c.","test":"Assessment Objective: Determine if audit records contain information that establishes where the event occurred;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing content of audit records.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of organization-defined auditable events.</li><li>System audit records.</li><li>System incident reports.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing of auditable events.</li></ul>","otherId":"au-3_obj.c","defaultText":null,"uuid":"d665d1ef-fcbe-4a18-a838-6b8d469b4e76"},{"testId":"AU-03d.","test":"Assessment Objective: Determine if audit records contain information that establishes the source of the event;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing content of audit records.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of organization-defined auditable events.</li><li>System audit records.</li><li>System incident reports.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing of auditable events.</li></ul>","otherId":"au-3_obj.d","defaultText":null,"uuid":"f8586b4f-a4ca-423a-90e0-63ae58651605"},{"testId":"AU-03e.","test":"Assessment Objective: Determine if audit records contain information that establishes the outcome of the event;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing content of audit records.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of organization-defined auditable events.</li><li>System audit records.</li><li>System incident reports.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing of auditable events.</li></ul>","otherId":"au-3_obj.e","defaultText":null,"uuid":"7f4e83df-6b13-49aa-afdd-ee779ad89261"},{"testId":"AU-03f.","test":"Assessment Objective: Determine if audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing content of audit records.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of organization-defined auditable events.</li><li>System audit records.</li><li>System incident reports.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system auditing of auditable events.</li></ul>","otherId":"au-3_obj.f","defaultText":null,"uuid":"53cbb8b0-fafb-463d-b431-8d061332826a"}],"weight":1,"title":"AU-03 - Content of Audit Records","enhancements":"<strong>Enhancements</strong><ul><li>AU-3(1) - Additional Audit Information</li></ul>","otherId":"au-3","sortId":"au-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-3"},{"objectives":[{"objectiveType":"","otherId":"au-4_smt","name":"AU-4","description":"Allocate audit log storage capacity to accommodate {{ insert: param, AU-4 }}.","uuid":"10a4424f-99d1-46ad-ae13-3d35cc96080b"}],"description":"<p>Allocate audit log storage capacity to accommodate {{ insert: param, AU-4 }}.</p><br/><strong>Guidance</strong><p>Organizations consider the types of audit logging to be performed and the audit log processing requirements when allocating audit log storage capacity. Allocating sufficient audit log storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of audit logging capability.</p>","uuid":"70339f50-9f96-47e8-bb1e-c041e38a0f65","family":"Audit and Accountability","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"audit log retention requirements are defined;","uuid":"92538329-0391-4255-ae48-b87425097f21","otherId":"au-04_odp","parameterId":"AU-4","text":"audit log retention requirements","default":" [Assignment: organization-defined audit log retention requirements] "}],"subControls":null,"tests":[{"testId":"AU-04","test":"Assessment Objective: Determine if audit log storage capacity is allocated to accommodate {{ insert: param, au-04_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing audit storage capacity.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit record storage requirements.</li><li>Audit record storage capability for system components.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Audit record storage capacity and related configuration settings.</li></ul>","otherId":"au-4_obj","defaultText":null,"uuid":"92303a51-3166-404f-ac67-743f4bafef39"}],"weight":1,"title":"AU-04 - Audit Log Storage Capacity","enhancements":"","otherId":"au-4","sortId":"au-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-4"},{"objectives":[{"objectiveType":"","otherId":"au-5_smt.a","name":"a.","description":"<ul><li>a. Alert {{ insert: param, AU-5(a)-1 }} within {{ insert: param, AU-5(a)-2 }} in the event of an audit logging process failure; and</li></ul>","uuid":"4c3e8180-db9c-4054-b7af-ff47c3e9e7d6"},{"objectiveType":"","otherId":"au-5_smt.b","name":"b.","description":"<ul><li>b. Take the following additional actions: {{ insert: param, AU-5(b) }}.</li></ul>","uuid":"89d448b1-06e4-4338-ad89-13b72c86a8ae"}],"description":"<ul><li>a. Alert {{ insert: param, AU-5(a)-1 }} within {{ insert: param, AU-5(a)-2 }} in the event of an audit logging process failure; and</li><li>b. Take the following additional actions: {{ insert: param, AU-5(b) }}.</li></ul><br/><strong>Guidance</strong><p>Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel.</p>","uuid":"1dbe5c82-73a6-41e6-a5c5-bcee87c9b815","family":"Audit and Accountability","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles receiving audit logging process failure alerts are defined;","uuid":"512cd005-91f5-4743-9830-8a0723563962","otherId":"au-05_odp.01","parameterId":"AU-5(a)-1","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"time period for personnel or roles receiving audit logging process failure alerts is defined;","uuid":"aa0e27ff-04cd-4162-8b31-91250a80d9fb","otherId":"au-05_odp.02","parameterId":"AU-5(a)-2","text":"time period","default":" [Assignment: organization-defined time period] "},{"constraints":"overwrite oldest record","displayName":"","dataType":"","guidance":"additional actions to be taken in the event of an audit logging process failure are defined;","uuid":"8a34d2ef-fab2-4a6a-a0fc-328e8dd8b6b0","otherId":"au-05_odp.03","parameterId":"AU-5(b)","text":"additional actions","default":"[FedRAMP Assignment: overwrite oldest record]"}],"subControls":null,"tests":[{"testId":"AU-05a.","test":"Assessment Objective: Determine if \n{{ insert: param, au-05_odp.01 }} are alerted in the event of an audit logging process failure within {{ insert: param, au-05_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing response to audit processing failures.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System configuration settings and associated documentation.</li><li>List of personnel to be notified in case of an audit processing failure.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system response to audit processing failures.</li></ul>","otherId":"au-5_obj.a","defaultText":null,"uuid":"0eb8bf62-1252-49cc-bfeb-d3c85f124671"},{"testId":"AU-05b.","test":"Assessment Objective: Determine if \n{{ insert: param, au-05_odp.03 }} are taken in the event of an audit logging process failure.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing response to audit processing failures.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System configuration settings and associated documentation.</li><li>List of personnel to be notified in case of an audit processing failure.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing system response to audit processing failures.</li></ul>","otherId":"au-5_obj.b","defaultText":null,"uuid":"2f7191b7-ce58-4938-80a2-9f0f71442f9a"}],"weight":1,"title":"AU-05 - Response to Audit Logging Process Failures","enhancements":"","otherId":"au-5","sortId":"au-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-5"},{"objectives":[{"objectiveType":"","otherId":"au-6.1_smt","name":"AU-6(1)","description":"Integrate audit record review, analysis, and reporting processes using {{ insert: param, AU-6(1) }}.","uuid":"35dbe47d-5ed8-4de8-a022-7df37e55e8cb"}],"description":"<p>Integrate audit record review, analysis, and reporting processes using {{ insert: param, AU-6(1) }}.</p><br/><strong>Guidance</strong><p>Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits.</p>","uuid":"623d2285-8418-4cb3-9a5f-b54381b60ae2","family":"Audit and Accountability","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms used for integrating audit record review, analysis, and reporting processes are defined;","uuid":"a1ec9c29-e480-4fc6-aa23-202bbab5822c","otherId":"au-06.01_odp","parameterId":"AU-6(1)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"AU-06(01)","test":"Assessment Objective: Determine if audit record review, analysis, and reporting processes are integrated using {{ insert: param, au-06.01_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit review, analysis, and reporting.</li><li>Procedures addressing investigation and response to suspicious activities.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit review, analysis, and reporting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms integrating audit review, analysis, and reporting processes.</li></ul>","otherId":"au-6.1_obj","defaultText":null,"uuid":"aeff6bba-c1e3-4e37-8fb1-44bef992c42f"}],"weight":1,"title":"AU-06(01) - Automated Process Integration","enhancements":null,"otherId":"au-6.1","sortId":"au-06.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-6(1)"},{"objectives":[{"objectiveType":"","otherId":"au-6.3_smt","name":"AU-6(3)","description":"Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.","uuid":"a96178be-c252-449b-8748-ec1c5d8630fd"}],"description":"<p>Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.</p><br/><strong>Guidance</strong><p>Organization-wide situational awareness includes awareness across all three levels of risk management (i.e., organizational level, mission/business process level, and information system level) and supports cross-organization awareness.</p>","uuid":"cbf1eabd-4b11-448f-bcab-92f06023af47","family":"Audit and Accountability","parameters":[],"subControls":null,"tests":[{"testId":"AU-06(03)","test":"Assessment Objective: Determine if audit records across different repositories are analyzed and correlated to gain organization-wide situational awareness.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit review, analysis, and reporting.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records across different repositories.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit review, analysis, and reporting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting the analysis and correlation of audit records.</li></ul>","otherId":"au-6.3_obj","defaultText":null,"uuid":"0bd5713a-5b91-48f8-b0f7-fb12797f55cf"}],"weight":1,"title":"AU-06(03) - Correlate Audit Record Repositories","enhancements":null,"otherId":"au-6.3","sortId":"au-06.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-6(3)"},{"objectives":[{"objectiveType":"","otherId":"au-6_smt.a","name":"a.","description":"<ul><li>a. Review and analyze system audit records {{ insert: param, AU-6(a)-1 }} for indications of {{ insert: param, AU-6(a)-2 }} and the potential impact of the inappropriate or unusual activity;</li></ul>","uuid":"23f0c64e-ad43-4fe7-9370-17693606d59b"},{"objectiveType":"","otherId":"au-6_smt.b","name":"b.","description":"<ul><li>b. Report findings to {{ insert: param, AU-6(b) }} ; and</li></ul>","uuid":"7d93d306-db6a-443b-9995-059e2356d426"},{"objectiveType":"","otherId":"au-6_smt.c","name":"c.","description":"<ul><li>c. Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.</li></ul>","uuid":"ac6d9fcf-5407-452d-907a-7cbf8e683a82"}],"description":"<ul><li>a. Review and analyze system audit records {{ insert: param, AU-6(a)-1 }} for indications of {{ insert: param, AU-6(a)-2 }} and the potential impact of the inappropriate or unusual activity;</li><li>b. Report findings to {{ insert: param, AU-6(b) }} ; and</li><li>c. Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.</li></ul><br/><strong>Guidance</strong><p>Audit record review, analysis, and reporting covers information security- and privacy-related logging performed by organizations, including logging that results from the monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and non-local maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at system interfaces, and use of mobile code or Voice over Internet Protocol (VoIP). Findings can be reported to organizational entities that include the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.</p><br/><strong>AU-6 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> Coordination between service provider and consumer shall be documented and accepted by the JAB/AO. In multi-tenant environments, capability and means for providing review, analysis, and reporting to consumer for data pertaining to consumer shall be documented.</li></ul>","uuid":"92b061f8-0df8-4432-98d6-075f50bc514f","family":"Audit and Accountability","parameters":[{"constraints":"at least weekly","displayName":"","dataType":"","guidance":"frequency at which system audit records are reviewed and analyzed is defined;","uuid":"b2fc55f2-1015-4927-a51a-91bc6977808b","otherId":"au-06_odp.01","parameterId":"AU-6(a)-1","text":"frequency","default":"[FedRAMP Assignment: at least weekly]"},{"constraints":"","displayName":"","dataType":"","guidance":"inappropriate or unusual activity is defined;","uuid":"2bc6b203-f18e-4c1f-aa05-d94329f64959","otherId":"au-06_odp.02","parameterId":"AU-6(a)-2","text":"inappropriate or unusual activity","default":" [Assignment: organization-defined inappropriate or unusual activity] "},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to receive findings from reviews and analyses of system records is/are defined;","uuid":"2924b613-9c9f-4f59-997c-7312cc5b8d8a","otherId":"au-06_odp.03","parameterId":"AU-6(b)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"AU-06a.","test":"Assessment Objective: Determine if system audit records are reviewed and analyzed {{ insert: param, au-06_odp.01 }} for indications of {{ insert: param, au-06_odp.02 }} and the potential impact of the inappropriate or unusual activity;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit review, analysis, and reporting.</li><li>Reports of audit findings.</li><li>Records of actions taken in response to reviews/analyses of audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit review, analysis, and reporting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-6_obj.a","defaultText":null,"uuid":"47023a91-656d-4d0b-a1f8-f691dcdc92c4"},{"testId":"AU-06b.","test":"Assessment Objective: Determine if findings are reported to {{ insert: param, au-06_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit review, analysis, and reporting.</li><li>Reports of audit findings.</li><li>Records of actions taken in response to reviews/analyses of audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit review, analysis, and reporting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-6_obj.b","defaultText":null,"uuid":"48080ce2-7ceb-46c6-9e05-17463f24decc"},{"testId":"AU-06c.","test":"Assessment Objective: Determine if the level of audit record review, analysis, and reporting within the system is adjusted when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit review, analysis, and reporting.</li><li>Reports of audit findings.</li><li>Records of actions taken in response to reviews/analyses of audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit review, analysis, and reporting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"au-6_obj.c","defaultText":null,"uuid":"fbf80e45-bae6-400c-81a6-682f6a680b75"}],"weight":1,"title":"AU-06 - Audit Record Review, Analysis, and Reporting","enhancements":"<strong>Enhancements</strong><ul><li>AU-6(1) - Automated Process Integration</li><li>AU-6(3) - Correlate Audit Record Repositories</li></ul>","otherId":"au-6","sortId":"au-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-6"},{"objectives":[{"objectiveType":"","otherId":"au-7.1_smt","name":"AU-7(1)","description":"Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, AU-7(1) }}.","uuid":"f24268c2-0aee-43a5-b3f3-073b9e0b6a46"}],"description":"<p>Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: {{ insert: param, AU-7(1) }}.</p><br/><strong>Guidance</strong><p>Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component.</p>","uuid":"852c5768-333f-4b90-9d77-e570911eeb25","family":"Audit and Accountability","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"fields within audit records that can be processed, sorted, or searched are defined;","uuid":"577d952a-964d-4648-a925-e4bc4540120f","otherId":"au-07.01_odp","parameterId":"AU-7(1)","text":"fields within audit records","default":" [Assignment: organization-defined fields within audit records] "}],"subControls":null,"tests":[{"testId":"AU-07(01)[01]","test":"Assessment Objective: Determine if the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are provided;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit reduction and report generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit reduction, review, analysis, and reporting tools.</li><li>Audit record criteria (fields) establishing events of interest.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit reduction and report generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Audit reduction and report generation capability.</li></ul>","otherId":"au-7.1_obj-1","defaultText":null,"uuid":"45032a0c-2a9b-439e-8b9e-dca932ba2f06"},{"testId":"AU-07(01)[02]","test":"Assessment Objective: Determine if the capability to process, sort, and search audit records for events of interest based on {{ insert: param, au-07.01_odp }} are implemented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit reduction and report generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit reduction, review, analysis, and reporting tools.</li><li>Audit record criteria (fields) establishing events of interest.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit reduction and report generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Audit reduction and report generation capability.</li></ul>","otherId":"au-7.1_obj-2","defaultText":null,"uuid":"dc5bef6b-ef1b-4d38-9226-e65c1169b70e"}],"weight":1,"title":"AU-07(01) - Automatic Processing","enhancements":null,"otherId":"au-7.1","sortId":"au-07.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-7(1)"},{"objectives":[{"objectiveType":"","otherId":"au-7_smt.a","name":"a.","description":"<ul><li>a. Provide and implement an audit record reduction and report generation capability that: Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and</li></ul>","uuid":"68fd380e-2fff-4baf-b978-a6a226857fb7"},{"objectiveType":"","otherId":"au-7_smt.b","name":"b.","description":"<ul><li>b. Provide and implement an audit record reduction and report generation capability that: Does not alter the original content or time ordering of audit records.</li></ul>","uuid":"6d02afe6-1d23-466e-a86f-58dababbf02d"}],"description":"<p>Provide and implement an audit record reduction and report generation capability that:</p><ul><li>a. Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and</li><li>b. Does not alter the original content or time ordering of audit records.</li></ul><br/><strong>Guidance</strong><p>Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient.</p>","uuid":"43fa5e36-c4ea-45b6-8385-760f862c1425","family":"Audit and Accountability","parameters":[],"subControls":null,"tests":[{"testId":"AU-07a.[01]","test":"Assessment Objective: Determine if an audit record reduction and report generation capability is provided that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit reduction and report generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit reduction, review, analysis, and reporting tools.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit reduction and report generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Audit reduction and report generation capability.</li></ul>","otherId":"au-7_obj.a-1","defaultText":null,"uuid":"b30f7c30-6290-4793-8679-15aa73217d7b"},{"testId":"AU-07a.[02]","test":"Assessment Objective: Determine if an audit record reduction and report generation capability is implemented that supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit reduction and report generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit reduction, review, analysis, and reporting tools.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit reduction and report generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Audit reduction and report generation capability.</li></ul>","otherId":"au-7_obj.a-2","defaultText":null,"uuid":"96b6239e-0fdc-429f-8096-d4e82e25c1f2"},{"testId":"AU-07b.[01]","test":"Assessment Objective: Determine if an audit record reduction and report generation capability is provided that does not alter the original content or time ordering of audit records;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit reduction and report generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit reduction, review, analysis, and reporting tools.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit reduction and report generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Audit reduction and report generation capability.</li></ul>","otherId":"au-7_obj.b-1","defaultText":null,"uuid":"53fab8c3-4010-4b54-8431-36cc071a1e21"},{"testId":"AU-07b.[02]","test":"Assessment Objective: Determine if an audit record reduction and report generation capability is implemented that does not alter the original content or time ordering of audit records.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing audit reduction and report generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit reduction, review, analysis, and reporting tools.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit reduction and report generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Audit reduction and report generation capability.</li></ul>","otherId":"au-7_obj.b-2","defaultText":null,"uuid":"5cf0f39f-2e8b-437d-b7b1-d350bccabe7c"}],"weight":1,"title":"AU-07 - Audit Record Reduction and Report Generation","enhancements":"<strong>Enhancements</strong><ul><li>AU-7(1) - Automatic Processing</li></ul>","otherId":"au-7","sortId":"au-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-7"},{"objectives":[{"objectiveType":"","otherId":"au-8_smt.a","name":"a.","description":"<ul><li>a. Use internal system clocks to generate time stamps for audit records; and</li></ul>","uuid":"1fd5ced2-75da-4619-9c39-580b3bb0885f"},{"objectiveType":"","otherId":"au-8_smt.b","name":"b.","description":"<ul><li>b. Record time stamps for audit records that meet {{ insert: param, AU-8(b) }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp.</li></ul>","uuid":"8b27497f-e051-4e79-b475-2416b320e9fa"}],"description":"<ul><li>a. Use internal system clocks to generate time stamps for audit records; and</li><li>b. Record time stamps for audit records that meet {{ insert: param, AU-8(b) }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or that include the local time offset as part of the time stamp.</li></ul><br/><strong>Guidance</strong><p>Time stamps generated by the system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks (e.g., clocks synchronizing within hundreds of milliseconds or tens of milliseconds). Organizations may define different time granularities for different system components. Time service can be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.</p>","uuid":"6dc81ff9-9a78-4c0b-85f8-433496e898cb","family":"Audit and Accountability","parameters":[{"constraints":"one second granularity of time measurement","displayName":"","dataType":"","guidance":"granularity of time measurement for audit record timestamps is defined;","uuid":"d2bb66ed-db7d-4982-84b3-dc597fefbfce","otherId":"au-08_odp","parameterId":"AU-8(b)","text":"granularity of time measurement","default":"[FedRAMP Assignment: one second granularity of time measurement]"}],"subControls":null,"tests":[{"testId":"AU-08a.","test":"Assessment Objective: Determine if internal system clocks are used to generate timestamps for audit records;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing timestamp generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing timestamp generation.</li></ul>","otherId":"au-8_obj.a","defaultText":null,"uuid":"c4521adf-b773-4e2c-aa39-38a7994eb073"},{"testId":"AU-08b.","test":"Assessment Objective: Determine if timestamps are recorded for audit records that meet {{ insert: param, au-08_odp }} and that use Coordinated Universal Time, have a fixed local time offset from Coordinated Universal Time, or include the local time offset as part of the timestamp.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing timestamp generation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing timestamp generation.</li></ul>","otherId":"au-8_obj.b","defaultText":null,"uuid":"f2f64091-d840-4feb-869e-439d290d10d3"}],"weight":1,"title":"AU-08 - Time Stamps","enhancements":"","otherId":"au-8","sortId":"au-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-8"},{"objectives":[{"objectiveType":"","otherId":"au-9.4_smt","name":"AU-9(4)","description":"Authorize access to management of audit logging functionality to only {{ insert: param, AU-9(4) }}.","uuid":"35a06734-4ed0-43cc-8b2c-7bb9a8ccf5c2"}],"description":"<p>Authorize access to management of audit logging functionality to only {{ insert: param, AU-9(4) }}.</p><br/><strong>Guidance</strong><p>Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.</p>","uuid":"201a06dc-94ad-4651-a6b1-8abb93770a9b","family":"Audit and Accountability","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"a subset of privileged users or roles authorized to access management of audit logging functionality is defined;","uuid":"3f9d1407-4410-4ee4-beea-3eecb21fed6d","otherId":"au-09.04_odp","parameterId":"AU-9(4)","text":"subset of privileged users or roles","default":" [Assignment: organization-defined subset of privileged users or roles] "}],"subControls":null,"tests":[{"testId":"AU-09(04)","test":"Assessment Objective: Determine if access to management of audit logging functionality is authorized only to {{ insert: param, au-09.04_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Access control policy and procedures.</li><li>Procedures addressing protection of audit information.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System-generated list of privileged users with access to management of audit functionality.</li><li>Access authorizations.</li><li>Access control list.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms managing access to audit functionality.</li></ul>","otherId":"au-9.4_obj","defaultText":null,"uuid":"3fdd49cc-939f-4f19-8340-29edffd0b2bb"}],"weight":1,"title":"AU-09(04) - Access by Subset of Privileged Users","enhancements":null,"otherId":"au-9.4","sortId":"au-09.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-9(4)"},{"objectives":[{"objectiveType":"","otherId":"au-9_smt.a","name":"a.","description":"<ul><li>a. Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and</li></ul>","uuid":"fc2b7e1d-29d2-4875-baf8-7dbf8a003560"},{"objectiveType":"","otherId":"au-9_smt.b","name":"b.","description":"<ul><li>b. Alert {{ insert: param, AU-9(b) }} upon detection of unauthorized access, modification, or deletion of audit information.</li></ul>","uuid":"63b099d2-8663-4229-97ac-8eae76a14d46"}],"description":"<ul><li>a. Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and</li><li>b. Alert {{ insert: param, AU-9(b) }} upon detection of unauthorized access, modification, or deletion of audit information.</li></ul><br/><strong>Guidance</strong><p>Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls.</p>","uuid":"b91e1ddb-b411-4f4a-951c-c0b0840df9dc","family":"Audit and Accountability","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to be alerted upon detection of unauthorized access, modification, or deletion of audit information is/are defined;","uuid":"6b27cfb0-5845-4432-b957-4b47ce8abee9","otherId":"au-09_odp","parameterId":"AU-9(b)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"AU-09a.","test":"Assessment Objective: Determine if audit information and audit logging tools are protected from unauthorized access, modification, and deletion;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Access control policy and procedures.</li><li>Procedures addressing protection of audit information.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Audit tools.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing audit information protection.</li></ul>","otherId":"au-9_obj.a","defaultText":null,"uuid":"e95d1205-bb80-483c-8fcc-59594005045c"},{"testId":"AU-09b.","test":"Assessment Objective: Determine if \n{{ insert: param, au-09_odp }} are alerted upon detection of unauthorized access, modification, or deletion of audit information.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Access control policy and procedures.</li><li>Procedures addressing protection of audit information.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Audit tools.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit and accountability responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing audit information protection.</li></ul>","otherId":"au-9_obj.b","defaultText":null,"uuid":"673543d3-a54a-4028-a5ae-90dd90d80ccc"}],"weight":1,"title":"AU-09 - Protection of Audit Information","enhancements":"<strong>Enhancements</strong><ul><li>AU-9(4) - Access by Subset of Privileged Users</li></ul>","otherId":"au-9","sortId":"au-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-9"},{"objectives":[{"objectiveType":"","otherId":"au-11_smt","name":"AU-11","description":"Retain audit records for {{ insert: param, AU-11 }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.","uuid":"3a82fd57-e1e4-4b91-82a5-3390f9210022"}],"description":"<p>Retain audit records for {{ insert: param, AU-11 }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.</p><br/><strong>Guidance</strong><p>Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on records retention.</p><br/><strong>AU-11 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> The service provider is encouraged to align with M-21-31 where possible</li><li><b>Requirement:</b> The service provider retains audit records on-line for at least ninety days and further preserves audit records off-line for a period that is in accordance with NARA requirements.</li><li><b>Requirement:</b> The service provider must support Agency requirements to comply with M-21-31 (https://www.whitehouse.gov/wp-content/uploads/2021/08/M-21-31-Improving-the-Federal-Governments-Investigative-and-Remediation-Capabilities-Related-to-Cybersecurity-Incidents.pdf)</li></ul>","uuid":"01bb5dad-d3d2-4c59-9b93-5f40e6752bb1","family":"Audit and Accountability","parameters":[{"constraints":"a time period in compliance with M-21-31","displayName":"","dataType":"","guidance":"a time period to retain audit records that is consistent with the records retention policy is defined;","uuid":"c303d6d4-3945-47d8-9dcc-c5ce01824e83","otherId":"au-11_odp","parameterId":"AU-11","text":"time period","default":"[FedRAMP Assignment: a time period in compliance with M-21-31]"}],"subControls":null,"tests":[{"testId":"AU-11","test":"Assessment Objective: Determine if audit records are retained for {{ insert: param, au-11_odp }} to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Audit record retention policy and procedures.</li><li>Security plan.</li><li>Organization-defined retention period for audit records.</li><li>Audit record archives.</li><li>Audit logs.</li><li>Audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit record retention responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul>","otherId":"au-11_obj","defaultText":null,"uuid":"567661ca-17d8-46ef-81ab-0bd6f5f29f4b"}],"weight":1,"title":"AU-11 - Audit Record Retention","enhancements":"","otherId":"au-11","sortId":"au-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-11"},{"objectives":[{"objectiveType":"","otherId":"au-12_smt.a","name":"a.","description":"<ul><li>a. Provide audit record generation capability for the event types the system is capable of auditing as defined in AU-2a on {{ insert: param, AU-12(a) }};</li></ul>","uuid":"74a26a75-089a-4f76-b036-a0c0271e6065"},{"objectiveType":"","otherId":"au-12_smt.b","name":"b.","description":"<ul><li>b. Allow {{ insert: param, AU-12(b) }} to select the event types that are to be logged by specific components of the system; and</li></ul>","uuid":"54a9b94a-90cc-497e-8e48-53c02abe8dce"},{"objectiveType":"","otherId":"au-12_smt.c","name":"c.","description":"<ul><li>c. Generate audit records for the event types defined in AU-2c that include the audit record content defined in AU-3.</li></ul>","uuid":"34ff7a96-7bf6-415e-b549-92d138c8ecdf"}],"description":"<ul><li>a. Provide audit record generation capability for the event types the system is capable of auditing as defined in AU-2a on {{ insert: param, AU-12(a) }};</li><li>b. Allow {{ insert: param, AU-12(b) }} to select the event types that are to be logged by specific components of the system; and</li><li>c. Generate audit records for the event types defined in AU-2c that include the audit record content defined in AU-3.</li></ul><br/><strong>Guidance</strong><p>Audit records can be generated from many different system components. The event types specified in <a href=\"#au-2_smt.d\">AU-2d</a> are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records.</p>","uuid":"5928309a-3245-4101-ae6d-f622459640d0","family":"Audit and Accountability","parameters":[{"constraints":"all information system and network components where audit capability is deployed/available","displayName":"","dataType":"","guidance":"system components that provide an audit record generation capability for the events types (defined in AU-02_ODP[02]) are defined;","uuid":"90df569b-1a07-4cce-b5a9-adc756d3da75","otherId":"au-12_odp.01","parameterId":"AU-12(a)","text":"system components","default":"[FedRAMP Assignment: all information system and network components where audit capability is deployed/available]"},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles allowed to select the event types that are to be logged by specific components of the system is/are defined;","uuid":"c33cff60-b545-453d-b8b5-c9150290fe74","otherId":"au-12_odp.02","parameterId":"AU-12(b)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"AU-12a.","test":"Assessment Objective: Determine if audit record generation capability for the event types the system is capable of auditing (defined in AU-02_ODP[01]) is provided by {{ insert: param, au-12_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing audit record generation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of auditable events.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit record generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing audit record generation capability.</li></ul>","otherId":"au-12_obj.a","defaultText":null,"uuid":"a7878fad-4921-43d3-9496-57f396aff4e4"},{"testId":"AU-12b.","test":"Assessment Objective: Determine if \n{{ insert: param, au-12_odp.02 }} is/are allowed to select the event types that are to be logged by specific components of the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing audit record generation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of auditable events.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit record generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing audit record generation capability.</li></ul>","otherId":"au-12_obj.b","defaultText":null,"uuid":"b84fe1f0-524c-4fbd-94a7-2e7786411096"},{"testId":"AU-12c.","test":"Assessment Objective: Determine if audit records for the event types defined in AU-02_ODP[02] that include the audit record content defined in AU-03 are generated.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Audit and accountability policy.</li><li>Procedures addressing audit record generation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of auditable events.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with audit record generation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing audit record generation capability.</li></ul>","otherId":"au-12_obj.c","defaultText":null,"uuid":"a0513095-4d47-4ae7-84e9-c17b0cfdf713"}],"weight":1,"title":"AU-12 - Audit Record Generation","enhancements":"","otherId":"au-12","sortId":"au-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"AU-12"},{"objectives":[{"objectiveType":"","otherId":"ca-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, CA-1(a) }}:</li><ul><li>1. {{ insert: param, CA-1(a)(1) }} assessment, authorization, and monitoring policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;</li></ul>","uuid":"6942edfa-b9cc-4d24-9697-66fe28af3a20"},{"objectiveType":"","otherId":"ca-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, CA-1(b) }} to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and</li></ul>","uuid":"0140bf52-6033-4a2b-84a0-40c8d74d9e43"},{"objectiveType":"","otherId":"ca-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current assessment, authorization, and monitoring:</li><ul><li>1. Policy {{ insert: param, CA-1(c)(1)-1 }} and following {{ insert: param, CA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, CA-1(c)(2)-1 }} and following {{ insert: param, CA-1(c)(2)-2 }}.</li></ul>","uuid":"5414bc64-b836-4c56-b5ed-5881063b7524"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, CA-1(a) }}:</li><ul><li>1. {{ insert: param, CA-1(a)(1) }} assessment, authorization, and monitoring policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and the associated assessment, authorization, and monitoring controls;</li></ul><li>b. Designate an {{ insert: param, CA-1(b) }} to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures; and</li><li>c. Review and update the current assessment, authorization, and monitoring:</li><ul><li>1. Policy {{ insert: param, CA-1(c)(1)-1 }} and following {{ insert: param, CA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, CA-1(c)(2)-1 }} and following {{ insert: param, CA-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Assessment, authorization, and monitoring policy and procedures address the controls in the CA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of assessment, authorization, and monitoring policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to assessment, authorization, and monitoring policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"5ad80fc1-c440-4800-90dc-b4919a6521bd","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"6b8d30f3-01f5-444b-9a73-c58b6a7cd593","otherId":"ca-1_prm_1","parameterId":"CA-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"33d2f392-5eee-4dcc-a98a-084924fd6542","otherId":"ca-01_odp.03","parameterId":"CA-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the assessment, authorization, and monitoring policy and procedures is defined;","uuid":"e387204c-709a-4126-8ee9-772dd008b69c","otherId":"ca-01_odp.04","parameterId":"CA-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current assessment, authorization, and monitoring policy is reviewed and updated is defined;","uuid":"393742aa-c91d-459a-9f53-4b1c4efbbced","otherId":"ca-01_odp.05","parameterId":"CA-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current assessment, authorization, and monitoring policy to be reviewed and updated are defined;","uuid":"88c99b48-cc24-4b1e-9384-ea59bd525d21","otherId":"ca-01_odp.06","parameterId":"CA-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current assessment, authorization, and monitoring procedures are reviewed and updated is defined;","uuid":"e1886413-d5f1-4e9d-9994-ccd52bfccaec","otherId":"ca-01_odp.07","parameterId":"CA-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require assessment, authorization, and monitoring procedures to be reviewed and updated are defined;","uuid":"557a0cdf-dc8d-4af8-9210-cb2532bb2e9d","otherId":"ca-01_odp.08","parameterId":"CA-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"CA-01a.[01]","test":"Assessment Objective: Determine if an assessment, authorization, and monitoring policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a-1","defaultText":null,"uuid":"051f950c-f531-46fb-8d7d-594ad18816ac"},{"testId":"CA-01a.[02]","test":"Assessment Objective: Determine if the assessment, authorization, and monitoring policy is disseminated to {{ insert: param, ca-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a-2","defaultText":null,"uuid":"6227a554-deea-4e27-bee3-38c6b2cabbd8"},{"testId":"CA-01a.[03]","test":"Assessment Objective: Determine if assessment, authorization, and monitoring procedures to facilitate the implementation of the assessment, authorization, and monitoring policy and associated assessment, authorization, and monitoring controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a-3","defaultText":null,"uuid":"cde61c57-0b94-42a0-81e6-b8c797dabb54"},{"testId":"CA-01a.[04]","test":"Assessment Objective: Determine if the assessment, authorization, and monitoring procedures are disseminated to {{ insert: param, ca-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a-4","defaultText":null,"uuid":"b81d4c86-56f3-400a-8c58-ff7a8c0e12e4"},{"testId":"CA-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.a-1","defaultText":null,"uuid":"8aa8a218-f0dd-418d-a26a-cc186908b4fb"},{"testId":"CA-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.a-2","defaultText":null,"uuid":"a8b8837b-86b4-475e-884a-4e1195566c14"},{"testId":"CA-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.a-3","defaultText":null,"uuid":"e957778f-3214-4982-acba-2f3de7293cee"},{"testId":"CA-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.a-4","defaultText":null,"uuid":"479d0164-ecf9-4afa-9204-d6f7042983df"},{"testId":"CA-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.a-5","defaultText":null,"uuid":"b6470971-eddf-4874-ac89-ce41b8733c93"},{"testId":"CA-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.a-6","defaultText":null,"uuid":"7105617f-77e5-4e9a-9aa6-70e4a94919f6"},{"testId":"CA-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.a-7","defaultText":null,"uuid":"233e2b99-7763-44e3-b6ec-65ad04cbbaf1"},{"testId":"CA-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.03 }} assessment, authorization, and monitoring policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.a.1.b","defaultText":null,"uuid":"651241da-2b9f-4f49-afe9-ca43c3815ba4"},{"testId":"CA-01b.","test":"Assessment Objective: Determine if the {{ insert: param, ca-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the assessment, authorization, and monitoring policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.b","defaultText":null,"uuid":"f5ccab8f-c07b-4bfe-980c-c22b33bb1581"},{"testId":"CA-01c.01[01]","test":"Assessment Objective: Determine if the current assessment, authorization, and monitoring policy is reviewed and updated {{ insert: param, ca-01_odp.05 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.c.1-1","defaultText":null,"uuid":"ad82e4bf-13f2-4519-8b04-4a1931975441"},{"testId":"CA-01c.01[02]","test":"Assessment Objective: Determine if the current assessment, authorization, and monitoring policy is reviewed and updated following {{ insert: param, ca-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.c.1-2","defaultText":null,"uuid":"fea861d2-9071-41cf-8231-08b70ff5cffa"},{"testId":"CA-01c.02[01]","test":"Assessment Objective: Determine if the current assessment, authorization, and monitoring procedures are reviewed and updated {{ insert: param, ca-01_odp.07 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.c.2-1","defaultText":null,"uuid":"0dd2240c-e74e-43b5-a7a7-3cfed68f39d6"},{"testId":"CA-01c.02[02]","test":"Assessment Objective: Determine if the current assessment, authorization, and monitoring procedures are reviewed and updated following {{ insert: param, ca-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment, authorization, and monitoring policy responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-1_obj.c.2-2","defaultText":null,"uuid":"09f5cd6d-ad1b-4fbc-9161-bc70d1ca94ad"}],"weight":1,"title":"CA-01 - Policy and Procedures","enhancements":"","otherId":"ca-1","sortId":"ca-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-1"},{"objectives":[{"objectiveType":"","otherId":"ca-2.1_smt","name":"CA-2(1)","description":"Employ independent assessors or assessment teams to conduct control assessments.","uuid":"6b3f3c9e-794e-44cb-818d-2a8b7e466571"}],"description":"<p>Employ independent assessors or assessment teams to conduct control assessments.</p><br/><strong>Guidance</strong><p>Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of systems. Impartiality means that assessors are free from any perceived or actual conflicts of interest regarding the development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness. To achieve impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in positions of advocacy for the organizations acquiring their services.</p><p>Independent assessments can be obtained from elements within organizations or be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of systems and/or the risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. Assessor independence determination includes whether contracted assessment services have sufficient independence, such as when system owners are not directly involved in contracting processes or cannot influence the impartiality of the assessors conducting the assessments. During the system design and development phase, having independent assessors is analogous to having independent SMEs involved in design reviews.</p><p>When organizations that own the systems are small or the structures of the organizations require that assessments be conducted by individuals that are in the developmental, operational, or management chain of the system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Assessments performed for purposes other than to support authorization decisions are more likely to be useable for such decisions when performed by assessors with sufficient independence, thereby reducing the need to repeat assessments.</p><br/><strong>CA-2 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> For JAB Authorization, must use an accredited 3PAO.</li></ul>","uuid":"47283577-209e-4439-9d89-9434630c1ac2","family":"Assessment, Authorization, and Monitoring","parameters":[],"subControls":null,"tests":[{"testId":"CA-02(01)","test":"Assessment Objective: Determine if independent assessors or assessment teams are employed to conduct control assessments.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing control assessments.</li><li>Previous control assessment plan.</li><li>Previous control assessment report.</li><li>Plan of action and milestones.</li><li>Existing authorization statement.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-2.1_obj","defaultText":null,"uuid":"1944ab9e-9f24-44f6-9689-14d867fa30ac"}],"weight":1,"title":"CA-02(01) - Independent Assessors","enhancements":null,"otherId":"ca-2.1","sortId":"ca-02.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-2(1)"},{"objectives":[{"objectiveType":"","otherId":"ca-2.3_smt","name":"CA-2(3)","description":"Leverage the results of control assessments performed by {{ insert: param, CA-2(3)-1 }} on {{ insert: param, CA-2(3)-2 }} when the assessment meets {{ insert: param, CA-2(3)-3 }}.","uuid":"93d54829-4166-4cfd-b588-8645162fef15"}],"description":"<p>Leverage the results of control assessments performed by {{ insert: param, CA-2(3)-1 }} on {{ insert: param, CA-2(3)-2 }} when the assessment meets {{ insert: param, CA-2(3)-3 }}.</p><br/><strong>Guidance</strong><p>Organizations may rely on control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can decrease the time and resources required for assessments by limiting the independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include the organization’s past experience with the organization that conducted the assessment, the reputation of the assessment organization, the level of detail of supporting assessment evidence provided, and mandates imposed by applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Accredited testing laboratories that support the Common Criteria Program <a href=\"#6afc1b04-c9d6-4023-adbc-f8fbe33a3c73\">ISO 15408-1</a> , the NIST Cryptographic Module Validation Program (CMVP), or the NIST Cryptographic Algorithm Validation Program (CAVP) can provide independent assessment results that organizations can leverage.</p>","uuid":"c004729e-0ab8-4cb5-b7d8-e08a1acfcf46","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"any FedRAMP Accredited 3PAO","displayName":"","dataType":"","guidance":"external organization(s) from which the results of control assessments are leveraged are defined;","uuid":"6cabe6c0-b54a-4483-ba83-4b783ccfdf67","otherId":"ca-02.03_odp.01","parameterId":"CA-2(3)-1","text":"external organization(s)","default":"[FedRAMP Assignment: any FedRAMP Accredited 3PAO]"},{"constraints":"","displayName":"","dataType":"","guidance":"system on which a control assessment was performed by an external organization is defined;","uuid":"f3717cb2-1e89-462f-b00c-02fe50f80c4f","otherId":"ca-02.03_odp.02","parameterId":"CA-2(3)-2","text":"system","default":" [Assignment: organization-defined system] "},{"constraints":"the conditions of the JAB/AO in the FedRAMP Repository","displayName":"","dataType":"","guidance":"requirements to be met by the control assessment performed by an external organization on the system are defined;","uuid":"522713ca-e7bb-4b48-ba7a-cf7ab2b40c5d","otherId":"ca-02.03_odp.03","parameterId":"CA-2(3)-3","text":"requirements","default":"[FedRAMP Assignment: the conditions of the JAB/AO in the FedRAMP Repository]"}],"subControls":null,"tests":[{"testId":"CA-02(03)","test":"Assessment Objective: Determine if the results of control assessments performed by {{ insert: param, ca-02.03_odp.01 }} on {{ insert: param, ca-02.03_odp.02 }} are leveraged when the assessment meets {{ insert: param, ca-02.03_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing control assessments.</li><li>Control assessment requirements.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>Control assessment evidence.</li><li>Plan of action and milestones.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel performing control assessments for the specified external organization.</li></ul>","otherId":"ca-2.3_obj","defaultText":null,"uuid":"96b77aa4-2d35-4d98-b5dd-f93616894f31"}],"weight":1,"title":"CA-02(03) - Leveraging Results from External Organizations","enhancements":null,"otherId":"ca-2.3","sortId":"ca-02.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-2(3)"},{"objectives":[{"objectiveType":"","otherId":"ca-2_smt.a","name":"a.","description":"<ul><li>a. Select the appropriate assessor or assessment team for the type of assessment to be conducted;</li></ul>","uuid":"222dd3ed-97f2-45f5-a4fb-7d224e13a35b"},{"objectiveType":"","otherId":"ca-2_smt.b","name":"b.","description":"<ul><li>b. Develop a control assessment plan that describes the scope of the assessment including:</li><ul><li>1. Controls and control enhancements under assessment;</li><li>2. Assessment procedures to be used to determine control effectiveness; and</li><li>3. Assessment environment, assessment team, and assessment roles and responsibilities;</li></ul>","uuid":"7115211f-a4b2-4f13-b5a7-94e4a6cab1ff"},{"objectiveType":"","otherId":"ca-2_smt.c","name":"c.","description":"<ul><li>c. Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;</li></ul>","uuid":"dd67fb09-4784-41c1-b3e8-800b834ac4bc"},{"objectiveType":"","otherId":"ca-2_smt.d","name":"d.","description":"<ul><li>d. Assess the controls in the system and its environment of operation {{ insert: param, CA-2(d) }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;</li></ul>","uuid":"fa72ef5a-de33-43d8-9012-707407c4aa8a"},{"objectiveType":"","otherId":"ca-2_smt.e","name":"e.","description":"<ul><li>e. Produce a control assessment report that document the results of the assessment; and</li></ul>","uuid":"c3fb2b31-3d18-435b-910a-d1367e194c50"},{"objectiveType":"","otherId":"ca-2_smt.f","name":"f.","description":"<ul><li>f. Provide the results of the control assessment to {{ insert: param, CA-2(f) }}.</li></ul>","uuid":"f73f1432-16c3-4529-91ed-c2b234d1c93b"}],"description":"<ul><li>a. Select the appropriate assessor or assessment team for the type of assessment to be conducted;</li><li>b. Develop a control assessment plan that describes the scope of the assessment including:</li><ul><li>1. Controls and control enhancements under assessment;</li><li>2. Assessment procedures to be used to determine control effectiveness; and</li><li>3. Assessment environment, assessment team, and assessment roles and responsibilities;</li></ul><li>c. Ensure the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;</li><li>d. Assess the controls in the system and its environment of operation {{ insert: param, CA-2(d) }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security and privacy requirements;</li><li>e. Produce a control assessment report that document the results of the assessment; and</li><li>f. Provide the results of the control assessment to {{ insert: param, CA-2(f) }}.</li></ul><br/><strong>Guidance</strong><p>Organizations ensure that control assessors possess the required skills and technical expertise to develop effective assessment plans and to conduct assessments of system-specific, hybrid, common, and program management controls, as appropriate. The required skills include general knowledge of risk management concepts and approaches as well as comprehensive knowledge of and experience with the hardware, software, and firmware system components implemented.</p><p>Organizations assess controls in systems and the environments in which those systems operate as part of initial and ongoing authorizations, continuous monitoring, FISMA annual assessments, system design and development, systems security engineering, privacy engineering, and the system development life cycle. Assessments help to ensure that organizations meet information security and privacy requirements, identify weaknesses and deficiencies in the system design and development process, provide essential information needed to make risk-based decisions as part of authorization processes, and comply with vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls as documented in security and privacy plans. Assessments can also be conducted throughout the system development life cycle as part of systems engineering and systems security engineering processes. The design for controls can be assessed as RFPs are developed, responses assessed, and design reviews conducted. If a design to implement controls and subsequent implementation in accordance with the design are assessed during development, the final control testing can be a simple confirmation utilizing previously completed control assessment and aggregating the outcomes.</p><p>Organizations may develop a single, consolidated security and privacy assessment plan for the system or maintain separate plans. A consolidated assessment plan clearly delineates the roles and responsibilities for control assessment. If multiple organizations participate in assessing a system, a coordinated approach can reduce redundancies and associated costs.</p><p>Organizations can use other types of assessment activities, such as vulnerability scanning and system monitoring, to maintain the security and privacy posture of systems during the system life cycle. Assessment reports document assessment results in sufficient detail, as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, senior agency information security officers, and authorizing official designated representatives.</p><p>To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations, continuous monitoring, systems engineering processes, or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits, including audits by external entities such as regulatory agencies, are outside of the scope of <a href=\"#ca-2\">CA-2</a>.</p><br/><strong>CA-2 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Reference FedRAMP Annual Assessment Guidance.</li></ul>","uuid":"448e1d41-06a6-4d89-ab64-f05c7ef33cf3","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to assess controls in the system and its environment of operation is defined;","uuid":"ed5fd760-e535-4e98-a143-03ff044f9d0c","otherId":"ca-02_odp.01","parameterId":"CA-2(d)","text":"assessment frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"individuals or roles to include FedRAMP PMO","displayName":"","dataType":"","guidance":"individuals or roles to whom control assessment results are to be provided are defined;","uuid":"28498fc6-b856-4819-8c92-eb856c720fb4","otherId":"ca-02_odp.02","parameterId":"CA-2(f)","text":"individuals or roles","default":"[FedRAMP Assignment: individuals or roles to include FedRAMP PMO]"}],"subControls":null,"tests":[{"testId":"CA-02a.","test":"Assessment Objective: Determine if an appropriate assessor or assessment team is selected for the type of assessment to be conducted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.a","defaultText":null,"uuid":"bea73bd1-1543-4bde-9eba-a7ef54ef6280"},{"testId":"CA-02b.01","test":"Assessment Objective: Determine if a control assessment plan is developed that describes the scope of the assessment, including controls and control enhancements under assessment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.b.1","defaultText":null,"uuid":"0b9c8aad-49f7-4b9d-bebf-2db3f7148715"},{"testId":"CA-02b.02","test":"Assessment Objective: Determine if a control assessment plan is developed that describes the scope of the assessment, including assessment procedures to be used to determine control effectiveness;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.b.2","defaultText":null,"uuid":"0369f021-3689-4f50-ab38-bccfae04be1e"},{"testId":"CA-02b.03[01]","test":"Assessment Objective: Determine if a control assessment plan is developed that describes the scope of the assessment, including the assessment environment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.b.3-1","defaultText":null,"uuid":"1917cd88-55c5-48a9-92b5-d6d8b1696740"},{"testId":"CA-02b.03[02]","test":"Assessment Objective: Determine if a control assessment plan is developed that describes the scope of the assessment, including the assessment team;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.b.3-2","defaultText":null,"uuid":"4c5b88db-6a56-4558-995b-2d7c4817a797"},{"testId":"CA-02b.03[03]","test":"Assessment Objective: Determine if a control assessment plan is developed that describes the scope of the assessment, including assessment roles and responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.b.3-3","defaultText":null,"uuid":"2b6c4325-9ac5-435a-b243-131a242a701d"},{"testId":"CA-02c.","test":"Assessment Objective: Determine if the control assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.c","defaultText":null,"uuid":"bd151a7a-87ed-4f24-936d-fd175f315a53"},{"testId":"CA-02d.[01]","test":"Assessment Objective: Determine if controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.d-1","defaultText":null,"uuid":"382d265b-7027-4a69-9072-35edd80fab52"},{"testId":"CA-02d.[02]","test":"Assessment Objective: Determine if controls are assessed in the system and its environment of operation {{ insert: param, ca-02_odp.01 }} to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established privacy requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.d-2","defaultText":null,"uuid":"394a878c-99d2-4d12-b6da-b44a95c4d3ee"},{"testId":"CA-02e.","test":"Assessment Objective: Determine if a control assessment report is produced that documents the results of the assessment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.e","defaultText":null,"uuid":"4ae983fe-abf7-41e3-9f51-c00057a08fd4"},{"testId":"CA-02f.","test":"Assessment Objective: Determine if the results of the control assessment are provided to {{ insert: param, ca-02_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing assessment planning.</li><li>Procedures addressing control assessments.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting control assessment, control assessment plan development, and/or control assessment reporting.</li></ul>","otherId":"ca-2_obj.f","defaultText":null,"uuid":"f6b6faeb-f57d-4e3c-884d-dd652beb22b2"}],"weight":1,"title":"CA-02 - Control Assessments","enhancements":"<strong>Enhancements</strong><ul><li>CA-2(1) - Independent Assessors</li><li>CA-2(3) - Leveraging Results from External Organizations</li></ul>","otherId":"ca-2","sortId":"ca-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-2"},{"objectives":[{"objectiveType":"","otherId":"ca-3_smt.a","name":"a.","description":"<ul><li>a. Approve and manage the exchange of information between the system and other systems using {{ insert: param, CA-3(a) }};</li></ul>","uuid":"c62ce7e0-3e8d-4854-9edf-4884662bf7a7"},{"objectiveType":"","otherId":"ca-3_smt.b","name":"b.","description":"<ul><li>b. Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and</li></ul>","uuid":"7c2a3a8b-f139-4619-88ba-8815a13045c5"},{"objectiveType":"","otherId":"ca-3_smt.c","name":"c.","description":"<ul><li>c. Review and update the agreements {{ insert: param, CA-3(c) }}.</li></ul>","uuid":"467a738f-4bc1-4dc2-8777-84283fa9a59a"}],"description":"<ul><li>a. Approve and manage the exchange of information between the system and other systems using {{ insert: param, CA-3(a) }};</li><li>b. Document, as part of each exchange agreement, the interface characteristics, security and privacy requirements, controls, and responsibilities for each system, and the impact level of the information communicated; and</li><li>c. Review and update the agreements {{ insert: param, CA-3(c) }}.</li></ul><br/><strong>Guidance</strong><p>System information exchange requirements apply to information exchanges between two or more systems. System information exchanges include connections via leased lines or virtual private networks, connections to internet service providers, database sharing or exchanges of database transaction information, connections and exchanges with cloud services, exchanges via web-based services, or exchanges of files via file transfer protocols, network protocols (e.g., IPv4, IPv6), email, or other organization-to-organization communications. Organizations consider the risk related to new or increased threats that may be introduced when systems exchange information with other systems that may have different security and privacy requirements and controls. This includes systems within the same organization and systems that are external to the organization. A joint authorization of the systems exchanging information, as described in <a href=\"#ca-6.1\">CA-6(1)</a> or <a href=\"#ca-6.2\">CA-6(2)</a> , may help to communicate and reduce risk.</p><p>Authorizing officials determine the risk associated with system information exchange and the controls needed for appropriate risk mitigation. The types of agreements selected are based on factors such as the impact level of the information being exchanged, the relationship between the organizations exchanging information (e.g., government to government, government to business, business to business, government or business to service provider, government or business to individual), or the level of access to the organizational system by users of the other system. If systems that exchange information have the same authorizing official, organizations need not develop agreements. Instead, the interface characteristics between the systems (e.g., how the information is being exchanged. how the information is protected) are described in the respective security and privacy plans. If the systems that exchange information have different authorizing officials within the same organization, the organizations can develop agreements or provide the same information that would be provided in the appropriate agreement type from <a href=\"#ca-3_smt.a\">CA-3a</a> in the respective security and privacy plans for the systems. Organizations may incorporate agreement information into formal contracts, especially for information exchanges established between federal agencies and nonfederal organizations (including service providers, contractors, system developers, and system integrators). Risk considerations include systems that share the same networks.</p>","uuid":"4c6edf9f-1acc-4f1a-a4f8-4ff3f93f47a5","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"0765ccf6-8e41-4a6d-9e09-0563766ef3c0","otherId":"ca-03_odp.01","parameterId":"CA-3(a)","text":"[Selection (one or more): interconnection security agreements; information exchange security agreements; memoranda of understanding or agreement; service level agreements; user agreements; non-disclosure agreements; [(NESTED PARAMETER) Assignment for ca-03_odp.02: type of agreement]]","default":"[Selection (one or more): interconnection security agreements; information exchange security agreements; memoranda of understanding or agreement; service level agreements; user agreements; non-disclosure agreements; [(NESTED PARAMETER) Assignment for ca-03_odp.02: type of agreement]]"},{"constraints":"at least annually and on input from JAB/AO","displayName":"","dataType":"","guidance":"the frequency at which to review and update agreements is defined;","uuid":"93c30b40-946a-4500-9fa4-7a7bbaa1a673","otherId":"ca-03_odp.03","parameterId":"CA-3(c)","text":"frequency","default":"[FedRAMP Assignment: at least annually and on input from JAB/AO]"}],"subControls":null,"tests":[{"testId":"CA-03a.","test":"Assessment Objective: Determine if the exchange of information between the system and other systems is approved and managed using {{ insert: param, ca-03_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.a","defaultText":null,"uuid":"a1f78abc-2c96-41c1-ad72-9742526167ee"},{"testId":"CA-03b.[01]","test":"Assessment Objective: Determine if the interface characteristics are documented as part of each exchange agreement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.b-1","defaultText":null,"uuid":"b373d15b-3e04-4a3e-b588-4ce69d616f0b"},{"testId":"CA-03b.[02]","test":"Assessment Objective: Determine if security requirements are documented as part of each exchange agreement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.b-2","defaultText":null,"uuid":"fac766c8-ba47-4de7-b9cb-9a17c790cfc7"},{"testId":"CA-03b.[03]","test":"Assessment Objective: Determine if privacy requirements are documented as part of each exchange agreement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.b-3","defaultText":null,"uuid":"12dd5db3-adb6-48cb-939e-ec8727a23a66"},{"testId":"CA-03b.[04]","test":"Assessment Objective: Determine if controls are documented as part of each exchange agreement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.b-4","defaultText":null,"uuid":"abec56e9-58e9-479d-b8c4-0cb0113f2987"},{"testId":"CA-03b.[05]","test":"Assessment Objective: Determine if responsibilities for each system are documented as part of each exchange agreement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.b-5","defaultText":null,"uuid":"0f3e617c-1895-40ed-89e3-703acc61d4db"},{"testId":"CA-03b.[06]","test":"Assessment Objective: Determine if the impact level of the information communicated is documented as part of each exchange agreement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.b-6","defaultText":null,"uuid":"9035988b-a045-4d7a-a4fb-7af034ba096e"},{"testId":"CA-03c.","test":"Assessment Objective: Determine if agreements are reviewed and updated {{ insert: param, ca-03_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System interconnection security agreements.</li><li>Information exchange security agreements.</li><li>Memoranda of understanding or agreements.</li><li>Service level agreements.</li><li>Non-disclosure agreements.</li><li>System design documentation.</li><li>Enterprise architecture.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or approving system interconnection agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel managing the system(s) to which the interconnection security agreement applies.</li></ul>","otherId":"ca-3_obj.c","defaultText":null,"uuid":"98821a43-cca0-40c4-b8eb-e28b7f734422"}],"weight":1,"title":"CA-03 - Information Exchange","enhancements":"","otherId":"ca-3","sortId":"ca-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-3"},{"objectives":[{"objectiveType":"","otherId":"ca-5_smt.a","name":"a.","description":"<ul><li>a. Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and</li></ul>","uuid":"59983a11-cf1f-4424-95e5-ee370557ad3e"},{"objectiveType":"","otherId":"ca-5_smt.b","name":"b.","description":"<ul><li>b. Update existing plan of action and milestones {{ insert: param, CA-5(b) }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.</li></ul>","uuid":"9021144f-5802-4218-b75e-c750fcf03ba6"}],"description":"<ul><li>a. Develop a plan of action and milestones for the system to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and</li><li>b. Update existing plan of action and milestones {{ insert: param, CA-5(b) }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.</li></ul><br/><strong>Guidance</strong><p>Plans of action and milestones are useful for any type of organization to track planned remedial actions. Plans of action and milestones are required in authorization packages and subject to federal reporting requirements established by OMB.</p><br/><strong>CA-5 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Reference FedRAMP-POAM-Template</li><li><b>Requirement:</b> POA&Ms must be provided at least monthly.</li></ul>","uuid":"97765ac5-fece-4258-ab4f-cebba8fd4e15","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"at least monthly","displayName":"","dataType":"","guidance":"the frequency at which to update an existing plan of action and milestones based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities is defined;","uuid":"8ddb5b35-a254-4160-8e8d-83973cf726b9","otherId":"ca-05_odp","parameterId":"CA-5(b)","text":"frequency","default":"[FedRAMP Assignment: at least monthly]"}],"subControls":null,"tests":[{"testId":"CA-05a.","test":"Assessment Objective: Determine if a plan of action and milestones for the system is developed to document the planned remediation actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing plan of action and milestones.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>Control assessment evidence.</li><li>Plan of action and milestones.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with plan of action and milestones development and implementation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms for developing, implementing, and maintaining plan of action and milestones.</li></ul>","otherId":"ca-5_obj.a","defaultText":null,"uuid":"ff3413fa-960c-4c19-aa75-3e4a460ac68f"},{"testId":"CA-05b.","test":"Assessment Objective: Determine if existing plan of action and milestones are updated {{ insert: param, ca-05_odp }} based on the findings from control assessments, independent audits or reviews, and continuous monitoring activities.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing plan of action and milestones.</li><li>Control assessment plan.</li><li>Control assessment report.</li><li>Control assessment evidence.</li><li>Plan of action and milestones.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with plan of action and milestones development and implementation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms for developing, implementing, and maintaining plan of action and milestones.</li></ul>","otherId":"ca-5_obj.b","defaultText":null,"uuid":"ba0ff4fd-b044-416b-be36-79ab74f9deac"}],"weight":1,"title":"CA-05 - Plan of Action and Milestones","enhancements":"","otherId":"ca-5","sortId":"ca-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-5"},{"objectives":[{"objectiveType":"","otherId":"ca-6_smt.a","name":"a.","description":"<ul><li>a. Assign a senior official as the authorizing official for the system;</li></ul>","uuid":"f7d51459-30b6-4584-9815-b27ffff23b9a"},{"objectiveType":"","otherId":"ca-6_smt.b","name":"b.","description":"<ul><li>b. Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;</li></ul>","uuid":"31f3d1ae-8f1d-42e9-a2f4-6f33037b833c"},{"objectiveType":"","otherId":"ca-6_smt.c","name":"c.","description":"<ul><li>c. Ensure that the authorizing official for the system, before commencing operations:</li><ul><li>1. Accepts the use of common controls inherited by the system; and</li><li>2. Authorizes the system to operate;</li></ul>","uuid":"d491bcc9-9e14-4195-967d-088f8fb684bd"},{"objectiveType":"","otherId":"ca-6_smt.d","name":"d.","description":"<ul><li>d. Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;</li></ul>","uuid":"1a7dd753-10b0-4cf4-8005-3b62aeeb43a4"},{"objectiveType":"","otherId":"ca-6_smt.e","name":"e.","description":"<ul><li>e. Update the authorizations {{ insert: param, CA-6(e) }}.</li></ul>","uuid":"96556905-db64-4755-975a-9a4e53b2997f"}],"description":"<ul><li>a. Assign a senior official as the authorizing official for the system;</li><li>b. Assign a senior official as the authorizing official for common controls available for inheritance by organizational systems;</li><li>c. Ensure that the authorizing official for the system, before commencing operations:</li><ul><li>1. Accepts the use of common controls inherited by the system; and</li><li>2. Authorizes the system to operate;</li></ul><li>d. Ensure that the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;</li><li>e. Update the authorizations {{ insert: param, CA-6(e) }}.</li></ul><br/><strong>Guidance</strong><p>Authorizations are official management decisions by senior officials to authorize operation of systems, authorize the use of common controls for inheritance by organizational systems, and explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon controls. Authorizing officials provide budgetary oversight for organizational systems and common controls or assume responsibility for the mission and business functions supported by those systems or common controls. The authorization process is a federal responsibility, and therefore, authorizing officials must be federal employees. Authorizing officials are both responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize systems and senior officials that assume the authorization role and associated responsibilities.</p><p>Authorizing officials issue ongoing authorizations of systems based on evidence produced from implemented continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, the information contained in authorization packages (i.e., security and privacy plans, assessment reports, and plans of action and milestones) is updated on an ongoing basis. This provides authorizing officials, common control providers, and system owners with an up-to-date status of the security and privacy posture of their systems, controls, and operating environments. To reduce the cost of reauthorization, authorizing officials can leverage the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.</p><br/><strong>CA-6 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(e) Guidance:</b> Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F and according to FedRAMP Significant Change Policies and Procedures. The service provider describes the types of changes to the information system or the environment of operations that would impact the risk posture. The types of changes are approved and accepted by the JAB/AO.</li></ul>","uuid":"89fa51d0-f57f-4345-864d-87ca6c563dc2","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"in accordance with OMB A-130 requirements or when a significant change occurs","displayName":"","dataType":"","guidance":"frequency at which to update the authorizations is defined;","uuid":"7b45cb6c-b2f7-426e-a2bd-c86949125a98","otherId":"ca-06_odp","parameterId":"CA-6(e)","text":"frequency","default":"[FedRAMP Assignment: in accordance with OMB A-130 requirements or when a significant change occurs]"}],"subControls":null,"tests":[{"testId":"CA-06a.","test":"Assessment Objective: Determine if a senior official is assigned as the authorizing official for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing authorization.</li><li>System security plan, privacy plan, assessment report, plan of action and milestones.</li><li>Authorization statement.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authorization responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms that facilitate authorizations and updates.</li></ul>","otherId":"ca-6_obj.a","defaultText":null,"uuid":"21fe33fb-9795-46c0-804e-91e0de8969cd"},{"testId":"CA-06b.","test":"Assessment Objective: Determine if a senior official is assigned as the authorizing official for common controls available for inheritance by organizational systems;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing authorization.</li><li>System security plan, privacy plan, assessment report, plan of action and milestones.</li><li>Authorization statement.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authorization responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms that facilitate authorizations and updates.</li></ul>","otherId":"ca-6_obj.b","defaultText":null,"uuid":"f54a0b53-8993-490e-8581-7e942fdb9aff"},{"testId":"CA-06c.01","test":"Assessment Objective: Determine if before commencing operations, the authorizing official for the system accepts the use of common controls inherited by the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing authorization.</li><li>System security plan, privacy plan, assessment report, plan of action and milestones.</li><li>Authorization statement.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authorization responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms that facilitate authorizations and updates.</li></ul>","otherId":"ca-6_obj.c.1","defaultText":null,"uuid":"b8d539c4-2738-4df1-b203-6ce1c0d0d820"},{"testId":"CA-06c.02","test":"Assessment Objective: Determine if before commencing operations, the authorizing official for the system authorizes the system to operate;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing authorization.</li><li>System security plan, privacy plan, assessment report, plan of action and milestones.</li><li>Authorization statement.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authorization responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms that facilitate authorizations and updates.</li></ul>","otherId":"ca-6_obj.c.2","defaultText":null,"uuid":"eb86f622-a7fe-457d-967f-bac7b2b34983"},{"testId":"CA-06d.","test":"Assessment Objective: Determine if the authorizing official for common controls authorizes the use of those controls for inheritance by organizational systems;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing authorization.</li><li>System security plan, privacy plan, assessment report, plan of action and milestones.</li><li>Authorization statement.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authorization responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms that facilitate authorizations and updates.</li></ul>","otherId":"ca-6_obj.d","defaultText":null,"uuid":"3fcd08a8-0fdd-4056-a966-b08429aeb820"},{"testId":"CA-06e.","test":"Assessment Objective: Determine if the authorizations are updated {{ insert: param, ca-06_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing authorization.</li><li>System security plan, privacy plan, assessment report, plan of action and milestones.</li><li>Authorization statement.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authorization responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms that facilitate authorizations and updates.</li></ul>","otherId":"ca-6_obj.e","defaultText":null,"uuid":"aa10cd76-dac0-4ffb-a54d-0531d7ad09c8"}],"weight":1,"title":"CA-06 - Authorization","enhancements":"","otherId":"ca-6","sortId":"ca-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-6"},{"objectives":[{"objectiveType":"","otherId":"ca-7.1_smt","name":"CA-7(1)","description":"Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis.","uuid":"f7c56a50-9627-4482-a6ea-9c0df792dd2e"}],"description":"<p>Employ independent assessors or assessment teams to monitor the controls in the system on an ongoing basis.</p><br/><strong>Guidance</strong><p>Organizations maximize the value of control assessments by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of required independence is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors do not create a mutual or conflicting interest with the organizations where the assessments are being conducted, assess their own work, act as management or employees of the organizations they are serving, or place themselves in advocacy positions for the organizations acquiring their services.</p>","uuid":"2129df68-34f9-41e0-a3f1-87f930dc5288","family":"Assessment, Authorization, and Monitoring","parameters":[],"subControls":null,"tests":[{"testId":"CA-07(01)","test":"Assessment Objective: Determine if independent assessors or assessment teams are employed to monitor the controls in the system on an ongoing basis.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-7.1_obj","defaultText":null,"uuid":"543cb0c4-2bb5-4ff5-a597-db0b35dad6f5"}],"weight":1,"title":"CA-07(01) - Independent Assessment","enhancements":null,"otherId":"ca-7.1","sortId":"ca-07.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-7(1)"},{"objectives":[{"objectiveType":"","otherId":"ca-7.4_smt.a","name":"(a)","description":"<ul><li>(a) Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following: Effectiveness monitoring;</li></ul>","uuid":"723cb0e9-d43a-4a47-9bfc-459f91b30176"},{"objectiveType":"","otherId":"ca-7.4_smt.b","name":"(b)","description":"<ul><li>(b) Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following: Compliance monitoring; and</li></ul>","uuid":"5aee7370-ca8c-4ce9-b73e-ea92edf50ed8"},{"objectiveType":"","otherId":"ca-7.4_smt.c","name":"(c)","description":"<ul><li>(c) Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following: Change monitoring.</li></ul>","uuid":"0c546605-6da3-4b92-b86f-1e40f9480428"}],"description":"<p>Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:</p><ul><li>(a) Effectiveness monitoring;</li><li>(b) Compliance monitoring; and</li><li>(c) Change monitoring.</li></ul><br/><strong>Guidance</strong><p>Risk monitoring is informed by the established organizational risk tolerance. Effectiveness monitoring determines the ongoing effectiveness of the implemented risk response measures. Compliance monitoring verifies that required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk.</p>","uuid":"4c408512-324a-47e2-a60f-d1bad5be15aa","family":"Assessment, Authorization, and Monitoring","parameters":[],"subControls":null,"tests":[{"testId":"CA-07(04)(a)","test":"Assessment Objective: Determine if risk monitoring is an integral part of the continuous monitoring strategy; effectiveness monitoring is included in risk monitoring;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting risk monitoring.</li></ul>","otherId":"ca-7.4_obj.a","defaultText":null,"uuid":"54ff5704-f370-4345-a3d8-fcbce98a6cfd"},{"testId":"CA-07(04)(b)","test":"Assessment Objective: Determine if risk monitoring is an integral part of the continuous monitoring strategy; compliance monitoring is included in risk monitoring;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting risk monitoring.</li></ul>","otherId":"ca-7.4_obj.b","defaultText":null,"uuid":"72b67ca3-ba3c-446c-a100-cc330600e4f8"},{"testId":"CA-07(04)(c)","test":"Assessment Objective: Determine if risk monitoring is an integral part of the continuous monitoring strategy; change monitoring is included in risk monitoring.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting risk monitoring.</li></ul>","otherId":"ca-7.4_obj.c","defaultText":null,"uuid":"1d47e120-4fa6-468b-9786-841b519263c2"}],"weight":1,"title":"CA-07(04) - Risk Monitoring","enhancements":null,"otherId":"ca-7.4","sortId":"ca-07.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-7(4)"},{"objectives":[{"objectiveType":"","otherId":"ca-7_smt.a","name":"a.","description":"<ul><li>a. Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: Establishing the following system-level metrics to be monitored: {{ insert: param, CA-7(a) }};</li></ul>","uuid":"4685dcbd-7b9c-4f54-8aad-ecf6f6de8972"},{"objectiveType":"","otherId":"ca-7_smt.b","name":"b.","description":"<ul><li>b. Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: Establishing {{ insert: param, CA-7(b)-1 }} for monitoring and {{ insert: param, CA-7(b)-2 }} for assessment of control effectiveness;</li></ul>","uuid":"3b9731d3-c068-4e8d-bd02-f4e2ceb7a4fd"},{"objectiveType":"","otherId":"ca-7_smt.c","name":"c.","description":"<ul><li>c. Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: Ongoing control assessments in accordance with the continuous monitoring strategy;</li></ul>","uuid":"258d4442-a009-4850-b666-aab5eb2ba900"},{"objectiveType":"","otherId":"ca-7_smt.d","name":"d.","description":"<ul><li>d. Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;</li></ul>","uuid":"b771de53-4782-4eef-8bb4-85aeb2535a3c"},{"objectiveType":"","otherId":"ca-7_smt.e","name":"e.","description":"<ul><li>e. Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: Correlation and analysis of information generated by control assessments and monitoring;</li></ul>","uuid":"cef16494-c57b-4f32-b478-474d0d95470c"},{"objectiveType":"","otherId":"ca-7_smt.f","name":"f.","description":"<ul><li>f. Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: Response actions to address results of the analysis of control assessment and monitoring information; and</li></ul>","uuid":"efe526f2-0779-43fd-8730-717d6d57151d"},{"objectiveType":"","otherId":"ca-7_smt.g","name":"g.","description":"<ul><li>g. Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes: Reporting the security and privacy status of the system to {{ insert: param, CA-7(g)-1 }}{{ insert: param, CA-7(g)-2 }}.</li></ul>","uuid":"f81acaff-4441-413a-8273-fa1ec4abd53b"}],"description":"<p>Develop a system-level continuous monitoring strategy and implement continuous monitoring in accordance with the organization-level continuous monitoring strategy that includes:</p><ul><li>a. Establishing the following system-level metrics to be monitored: {{ insert: param, CA-7(a) }};</li><li>b. Establishing {{ insert: param, CA-7(b)-1 }} for monitoring and {{ insert: param, CA-7(b)-2 }} for assessment of control effectiveness;</li><li>c. Ongoing control assessments in accordance with the continuous monitoring strategy;</li><li>d. Ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;</li><li>e. Correlation and analysis of information generated by control assessments and monitoring;</li><li>f. Response actions to address results of the analysis of control assessment and monitoring information; and</li><li>g. Reporting the security and privacy status of the system to {{ insert: param, CA-7(g)-1 }}{{ insert: param, CA-7(g)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Continuous monitoring at the system level facilitates ongoing awareness of the system security and privacy posture to support organizational risk management decisions. The terms <q>continuous</q> and <q>ongoing</q> imply that organizations assess and monitor their controls and risks at a frequency sufficient to support risk-based decisions. Different types of controls may require different monitoring frequencies. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of multiple controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs allow organizations to maintain the authorizations of systems and common controls in highly dynamic environments of operation with changing mission and business needs, threats, vulnerabilities, and technologies. Having access to security and privacy information on a continuing basis through reports and dashboards gives organizational officials the ability to make effective and timely risk management decisions, including ongoing authorization decisions.</p><p>Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of systems. Monitoring requirements, including the need for specific monitoring, may be referenced in other controls and control enhancements, such as <a href=\"#ac-2_smt.g\">AC-2g</a>, <a href=\"#ac-2.7\">AC-2(7)</a>, <a href=\"#ac-2.12_smt.a\">AC-2(12)(a)</a>, <a href=\"#ac-2.7_smt.b\">AC-2(7)(b)</a>, <a href=\"#ac-2.7_smt.c\">AC-2(7)(c)</a>, <a href=\"#ac-17.1\">AC-17(1)</a>, <a href=\"#at-4_smt.a\">AT-4a</a>, <a href=\"#au-13\">AU-13</a>, <a href=\"#au-13.1\">AU-13(1)</a>, <a href=\"#au-13.2\">AU-13(2)</a>, <a href=\"#cm-3_smt.f\">CM-3f</a>, <a href=\"#cm-6_smt.d\">CM-6d</a>, <a href=\"#cm-11_smt.c\">CM-11c</a>, <a href=\"#ir-5\">IR-5</a>, <a href=\"#ma-2_smt.b\">MA-2b</a>, <a href=\"#ma-3_smt.a\">MA-3a</a>, <a href=\"#ma-4_smt.a\">MA-4a</a>, <a href=\"#pe-3_smt.d\">PE-3d</a>, <a href=\"#pe-6\">PE-6</a>, <a href=\"#pe-14_smt.b\">PE-14b</a>, <a href=\"#pe-16\">PE-16</a>, <a href=\"#pe-20\">PE-20</a>, <a href=\"#pm-6\">PM-6</a>, <a href=\"#pm-23\">PM-23</a>, <a href=\"#pm-31\">PM-31</a>, <a href=\"#ps-7_smt.e\">PS-7e</a>, <a href=\"#sa-9_smt.c\">SA-9c</a>, <a href=\"#sr-4\">SR-4</a>, <a href=\"#sc-5.3_smt.b\">SC-5(3)(b)</a>, <a href=\"#sc-7_smt.a\">SC-7a</a>, <a href=\"#sc-7.24_smt.b\">SC-7(24)(b)</a>, <a href=\"#sc-18_smt.b\">SC-18b</a>, <a href=\"#sc-43_smt.b\">SC-43b</a> , and <a href=\"#si-4\">SI-4</a>.</p><br/><strong>CA-7 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> FedRAMP does not provide a template for the Continuous Monitoring Plan. CSPs should reference the FedRAMP Continuous Monitoring Strategy Guide when developing the Continuous Monitoring Plan.</li><li><b>Requirement:</b> Operating System, Database, Web Application, Container, and Service Configuration Scans: at least monthly. All scans performed by Independent Assessor: at least annually.</li><li><b>Requirement:</b> CSOs with more than one agency ATO must implement a collaborative Continuous Monitoring (Con Mon) approach described in the FedRAMP Guide for Multi-Agency Continuous Monitoring. This requirement applies to CSPs authorized via the Agency path as each agency customer is responsible for performing Con Mon oversight. It does not apply to CSPs authorized via the JAB path because the JAB performs Con Mon oversight.</li></ul>","uuid":"9af1568f-3dc4-459a-8e66-4c81f402a27a","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"to include JAB/AO","displayName":"","dataType":"","guidance":"","uuid":"7ebf30b2-6339-4efe-8353-92205364051f","otherId":"ca-7_prm_4","parameterId":"CA-7(g)-1","text":"organization-defined personnel or roles","default":"[FedRAMP Assignment: to include JAB/AO]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"bbbc87de-e8e8-442e-a017-278798dec190","otherId":"ca-7_prm_5","parameterId":"CA-7(g)-2","text":"organization-defined frequency","default":" [Assignment: organization-defined frequency] "},{"constraints":"","displayName":"","dataType":"","guidance":"system-level metrics to be monitored are defined;","uuid":"25c42f9f-93a1-4c50-8403-aaaadc26c374","otherId":"ca-07_odp.01","parameterId":"CA-7(a)","text":"system-level metrics","default":" [Assignment: organization-defined system-level metrics] "},{"constraints":"","displayName":"","dataType":"","guidance":"frequencies at which to monitor control effectiveness are defined;","uuid":"a0d93f18-3e50-4ec8-bb42-8b15a8914aef","otherId":"ca-07_odp.02","parameterId":"CA-7(b)-1","text":"frequencies","default":" [Assignment: organization-defined frequencies] "},{"constraints":"","displayName":"","dataType":"","guidance":"frequencies at which to assess control effectiveness are defined;","uuid":"00740f93-9d4a-4c8b-835b-a5cc6ba113a8","otherId":"ca-07_odp.03","parameterId":"CA-7(b)-2","text":"frequencies","default":" [Assignment: organization-defined frequencies] "}],"subControls":null,"tests":[{"testId":"CA-07[01]","test":"Assessment Objective: Determine if a system-level continuous monitoring strategy is developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj-1","defaultText":null,"uuid":"d68d27e5-4800-4b55-9dab-bb512672508e"},{"testId":"CA-07[02]","test":"Assessment Objective: Determine if system-level continuous monitoring is implemented in accordance with the organization-level continuous monitoring strategy;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj-2","defaultText":null,"uuid":"9e10873f-6daf-45a8-a5e6-063f9238d793"},{"testId":"CA-07a.","test":"Assessment Objective: Determine if system-level continuous monitoring includes establishment of the following system-level metrics to be monitored: {{ insert: param, ca-07_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.a","defaultText":null,"uuid":"ce5b541b-8105-4849-a0e7-9d13e12e705e"},{"testId":"CA-07b.[01]","test":"Assessment Objective: Determine if system-level continuous monitoring includes established {{ insert: param, ca-07_odp.02 }} for monitoring;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.b-1","defaultText":null,"uuid":"5b26cc46-1d07-428f-aa5c-ad7577a5ac70"},{"testId":"CA-07b.[02]","test":"Assessment Objective: Determine if system-level continuous monitoring includes established {{ insert: param, ca-07_odp.03 }} for assessment of control effectiveness;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.b-2","defaultText":null,"uuid":"05ee348e-5e17-4e0b-b0af-a511f66fbaa8"},{"testId":"CA-07c.","test":"Assessment Objective: Determine if system-level continuous monitoring includes ongoing control assessments in accordance with the continuous monitoring strategy;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.c","defaultText":null,"uuid":"62e988dc-e4d2-4a6e-9691-ddb666453347"},{"testId":"CA-07d.","test":"Assessment Objective: Determine if system-level continuous monitoring includes ongoing monitoring of system and organization-defined metrics in accordance with the continuous monitoring strategy;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.d","defaultText":null,"uuid":"f00ddef1-2678-4ae4-9225-6c577e416b74"},{"testId":"CA-07e.","test":"Assessment Objective: Determine if system-level continuous monitoring includes correlation and analysis of information generated by control assessments and monitoring;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.e","defaultText":null,"uuid":"7208a3b1-3fca-4c3b-991f-da096d7c4a4c"},{"testId":"CA-07f.","test":"Assessment Objective: Determine if system-level continuous monitoring includes response actions to address the results of the analysis of control assessment and monitoring information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.f","defaultText":null,"uuid":"8d94de7f-8ecf-4e1a-bc19-87c0ddf5e8a5"},{"testId":"CA-07g.[01]","test":"Assessment Objective: Determine if system-level continuous monitoring includes reporting the security status of the system to {{ insert: param, ca-07_odp.04 }}\n{{ insert: param, ca-07_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.g-1","defaultText":null,"uuid":"b23fee97-90a3-45cc-81c8-7b9c901018d8"},{"testId":"CA-07g.[02]","test":"Assessment Objective: Determine if system-level continuous monitoring includes reporting the privacy status of the system to {{ insert: param, ca-07_odp.06 }}\n{{ insert: param, ca-07_odp.07 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Organizational continuous monitoring strategy.</li><li>System-level continuous monitoring strategy.</li><li>Procedures addressing continuous monitoring of system controls.</li><li>Procedures addressing configuration management.</li><li>Control assessment report.</li><li>Plan of action and milestones.</li><li>System monitoring records.</li><li>Configuration management records.</li><li>Impact analyses.</li><li>Status reports.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with continuous monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing continuous monitoring.</li><li>Mechanisms supporting response actions to address assessment and monitoring results.</li><li>Mechanisms supporting security and privacy status reporting.</li></ul>","otherId":"ca-7_obj.g-2","defaultText":null,"uuid":"cc1b506f-8258-4033-8ae2-9e4ee312c17b"}],"weight":1,"title":"CA-07 - Continuous Monitoring","enhancements":"<strong>Enhancements</strong><ul><li>CA-7(1) - Independent Assessment</li><li>CA-7(4) - Risk Monitoring</li></ul>","otherId":"ca-7","sortId":"ca-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-7"},{"objectives":[{"objectiveType":"","otherId":"ca-8.1_smt","name":"CA-8(1)","description":"Employ an independent penetration testing agent or team to perform penetration testing on the system or system components.","uuid":"43a79068-0b45-4139-966b-cfe967f02b4e"}],"description":"<p>Employ an independent penetration testing agent or team to perform penetration testing on the system or system components.</p><br/><strong>Guidance</strong><p>Independent penetration testing agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration testing agents or teams are free from perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. <a href=\"#ca-2.1\">CA-2(1)</a> provides additional information on independent assessments that can be applied to penetration testing.</p>","uuid":"3c5a0e0b-79c4-4034-8551-8e1a14e889f3","family":"Assessment, Authorization, and Monitoring","parameters":[],"subControls":null,"tests":[{"testId":"CA-08(01)","test":"Assessment Objective: Determine if an independent penetration testing agent or team is employed to perform penetration testing on the system or system components.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing penetration testing.</li><li>Assessment plan.</li><li>Penetration test report.</li><li>Assessment report.</li><li>Security assessment evidence.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ca-8.1_obj","defaultText":null,"uuid":"4a76da0d-c3c7-4cdc-9777-73f45797919e"}],"weight":1,"title":"CA-08(01) - Independent Penetration Testing Agent or Team","enhancements":null,"otherId":"ca-8.1","sortId":"ca-08.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-8(1)"},{"objectives":[{"objectiveType":"","otherId":"ca-8.2_smt","name":"CA-8(2)","description":"Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, CA-8(2) }}.","uuid":"a363ac4f-334d-401c-a805-7fa7981e6650"}],"description":"<p>Employ the following red-team exercises to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement: {{ insert: param, CA-8(2) }}.</p><br/><strong>Guidance</strong><p>Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and the capability to implement effective cyber defenses. Red team exercises simulate attempts by adversaries to compromise mission and business functions and provide a comprehensive assessment of the security and privacy posture of systems and organizations. Such attempts may include technology-based attacks and social engineering-based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effective when conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. The results from red team exercises can be used by organizations to improve security and privacy awareness and training and to assess control effectiveness.</p><br/><strong>CA-8(2) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> See the FedRAMP Documents page> Penetration Test Guidancehttps://www.FedRAMP.gov/documents/</li></ul>","uuid":"1b3d9cf9-4f3a-49a7-b040-604fd32cd83f","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"red team exercises to simulate attempts by adversaries to compromise organizational systems are defined;","uuid":"ce149578-75c7-4387-9303-8a8ed04a32c4","otherId":"ca-08.02_odp","parameterId":"CA-8(2)","text":"red team exercises","default":" [Assignment: organization-defined red team exercises] "}],"subControls":null,"tests":[{"testId":"CA-08(02)","test":"Assessment Objective: Determine if \n{{ insert: param, ca-08.02_odp }} are employed to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing penetration testing.</li><li>Procedures addressing red team exercises.</li><li>Assessment plan.</li><li>Results of red team exercises.</li><li>Penetration test report.</li><li>Assessment report.</li><li>Rules of engagement.</li><li>Assessment evidence.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting the employment of red team exercises.</li></ul>","otherId":"ca-8.2_obj","defaultText":null,"uuid":"40f64e74-29cc-48ed-a345-f30f54e215e2"}],"weight":1,"title":"CA-08(02) - Red Team Exercises","enhancements":null,"otherId":"ca-8.2","sortId":"ca-08.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-8(2)"},{"objectives":[{"objectiveType":"","otherId":"ca-8_smt","name":"CA-8","description":"Conduct penetration testing {{ insert: param, CA-8-1 }} on {{ insert: param, CA-8-2 }}.","uuid":"af435135-04c9-4898-a0d3-faf4343d0812"}],"description":"<p>Conduct penetration testing {{ insert: param, CA-8-1 }} on {{ insert: param, CA-8-2 }}.</p><br/><strong>Guidance</strong><p>Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is conducted by agents and teams with demonstrable skills and experience that include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries and provides a more in-depth analysis of security- and privacy-related weaknesses or deficiencies. Penetration testing is especially important when organizations are transitioning from older technologies to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).</p><p>Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted internally or externally on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes a pretest analysis based on full knowledge of the system, pretest identification of potential vulnerabilities based on the pretest analysis, and testing designed to determine the exploitability of vulnerabilities. All parties agree to the rules of engagement before commencing penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries. Penetration testing may result in the exposure of information that is protected by laws or regulations, to individuals conducting the testing. Rules of engagement, contracts, or other appropriate mechanisms can be used to communicate expectations for how to protect this information. Risk assessments guide the decisions on the level of independence required for the personnel conducting penetration testing.</p><br/><strong>CA-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Reference the FedRAMP Penetration Test Guidance.</li></ul>","uuid":"570a16fc-ab9c-424b-8958-9eb68a4b5781","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to conduct penetration testing on systems or system components is defined;","uuid":"0c3004b3-2d7f-4020-b5d6-433855e0dc36","otherId":"ca-08_odp.01","parameterId":"CA-8-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"systems or system components on which penetration testing is to be conducted are defined;","uuid":"cd6b364b-b7c4-4067-ab09-d623d6b8df87","otherId":"ca-08_odp.02","parameterId":"CA-8-2","text":"system(s) or system components","default":" [Assignment: organization-defined system(s) or system components] "}],"subControls":null,"tests":[{"testId":"CA-08","test":"Assessment Objective: Determine if penetration testing is conducted {{ insert: param, ca-08_odp.01 }} on {{ insert: param, ca-08_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Procedures addressing penetration testing.</li><li>Assessment plan.</li><li>Penetration test report.</li><li>Assessment report.</li><li>Assessment evidence.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with control assessment responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting penetration testing.</li></ul>","otherId":"ca-8_obj","defaultText":null,"uuid":"8c353130-3cf8-412e-805a-3f0bf78173ce"}],"weight":1,"title":"CA-08 - Penetration Testing","enhancements":"<strong>Enhancements</strong><ul><li>CA-8(1) - Independent Penetration Testing Agent or Team</li><li>CA-8(2) - Red Team Exercises</li></ul>","otherId":"ca-8","sortId":"ca-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-8"},{"objectives":[{"objectiveType":"","otherId":"ca-9_smt.a","name":"a.","description":"<ul><li>a. Authorize internal connections of {{ insert: param, CA-9(a) }} to the system;</li></ul>","uuid":"9cb39763-7a43-46dc-9b6d-bf8142ce35b8"},{"objectiveType":"","otherId":"ca-9_smt.b","name":"b.","description":"<ul><li>b. Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;</li></ul>","uuid":"9bde30cc-de9a-4c66-b7ee-1d41b78c1c3b"},{"objectiveType":"","otherId":"ca-9_smt.c","name":"c.","description":"<ul><li>c. Terminate internal system connections after {{ insert: param, CA-9(c) }} ; and</li></ul>","uuid":"7f1feddc-3f59-40a3-982d-775036471a02"},{"objectiveType":"","otherId":"ca-9_smt.d","name":"d.","description":"<ul><li>d. Review {{ insert: param, CA-9(d) }} the continued need for each internal connection.</li></ul>","uuid":"bc162ab3-38ad-4f16-af5a-0eb217a3e00a"}],"description":"<ul><li>a. Authorize internal connections of {{ insert: param, CA-9(a) }} to the system;</li><li>b. Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information communicated;</li><li>c. Terminate internal system connections after {{ insert: param, CA-9(c) }} ; and</li><li>d. Review {{ insert: param, CA-9(d) }} the continued need for each internal connection.</li></ul><br/><strong>Guidance</strong><p>Internal system connections are connections between organizational systems and separate constituent system components (i.e., connections between components that are part of the same system) including components used for system development. Intra-system connections include connections with mobile devices, notebook and desktop computers, tablets, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each internal system connection individually, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations, including printers, scanners, and copiers with a specified processing, transmission, and storage capability or smart phones and tablets with a specific baseline configuration. The continued need for an internal system connection is reviewed from the perspective of whether it provides support for organizational missions or business functions.</p>","uuid":"576522b9-0c3e-45a6-99d3-15edcdbd653a","family":"Assessment, Authorization, and Monitoring","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system components or classes of components requiring internal connections to the system are defined;","uuid":"3fb9d43a-0379-4b9e-aefc-c445f54045d7","otherId":"ca-09_odp.01","parameterId":"CA-9(a)","text":"system components","default":" [Assignment: organization-defined system components] "},{"constraints":"","displayName":"","dataType":"","guidance":"conditions requiring termination of internal connections are defined;","uuid":"b23fd75d-892d-4cd1-be17-0d5ac5d9c4ce","otherId":"ca-09_odp.02","parameterId":"CA-9(c)","text":"conditions","default":" [Assignment: organization-defined conditions] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to review the continued need for each internal connection is defined;","uuid":"594dc0f5-2c0e-44c4-8ea1-3617f4a2f1ee","otherId":"ca-09_odp.03","parameterId":"CA-9(d)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"CA-09a.","test":"Assessment Objective: Determine if internal connections of {{ insert: param, ca-09_odp.01 }} to the system are authorized;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of components or classes of components authorized as internal system connections.</li><li>Assessment report.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting internal system connections.</li></ul>","otherId":"ca-9_obj.a","defaultText":null,"uuid":"7ea571c0-d0bc-4627-a3ad-a24fcc78de40"},{"testId":"CA-09b.[01]","test":"Assessment Objective: Determine if for each internal connection, the interface characteristics are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of components or classes of components authorized as internal system connections.</li><li>Assessment report.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting internal system connections.</li></ul>","otherId":"ca-9_obj.b-1","defaultText":null,"uuid":"5b1c2330-a2b5-4e4f-8dc6-4faeffc6eee0"},{"testId":"CA-09b.[02]","test":"Assessment Objective: Determine if for each internal connection, the security requirements are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of components or classes of components authorized as internal system connections.</li><li>Assessment report.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting internal system connections.</li></ul>","otherId":"ca-9_obj.b-2","defaultText":null,"uuid":"1f7deaee-a583-4377-8b5f-a8b73359979a"},{"testId":"CA-09b.[03]","test":"Assessment Objective: Determine if for each internal connection, the privacy requirements are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of components or classes of components authorized as internal system connections.</li><li>Assessment report.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting internal system connections.</li></ul>","otherId":"ca-9_obj.b-3","defaultText":null,"uuid":"cc730ad2-97cf-4650-b319-15d029e19af5"},{"testId":"CA-09b.[04]","test":"Assessment Objective: Determine if for each internal connection, the nature of the information communicated is documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of components or classes of components authorized as internal system connections.</li><li>Assessment report.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting internal system connections.</li></ul>","otherId":"ca-9_obj.b-4","defaultText":null,"uuid":"66055c39-fad7-475c-a005-e9d535a35e91"},{"testId":"CA-09c.","test":"Assessment Objective: Determine if internal system connections are terminated after {{ insert: param, ca-09_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of components or classes of components authorized as internal system connections.</li><li>Assessment report.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting internal system connections.</li></ul>","otherId":"ca-9_obj.c","defaultText":null,"uuid":"abb7c616-5861-4f87-82ba-a62c97cea2ad"},{"testId":"CA-09d.","test":"Assessment Objective: Determine if the continued need for each internal connection is reviewed {{ insert: param, ca-09_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Assessment, authorization, and monitoring policy.</li><li>Access control policy.</li><li>Procedures addressing system connections.</li><li>System and communications protection policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of components or classes of components authorized as internal system connections.</li><li>Assessment report.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing, implementing, or authorizing internal system connections.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting internal system connections.</li></ul>","otherId":"ca-9_obj.d","defaultText":null,"uuid":"7c81b29e-67ad-4adb-bd93-959bf04c8f6d"}],"weight":1,"title":"CA-09 - Internal System Connections","enhancements":"","otherId":"ca-9","sortId":"ca-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CA-9"},{"objectives":[{"objectiveType":"","otherId":"cm-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, CM-1(a) }}:</li><ul><li>1. {{ insert: param, CM-1(a)(1) }} configuration management policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;</li></ul>","uuid":"6d7eca9e-d3d9-43a2-a2f0-c6e6065948c4"},{"objectiveType":"","otherId":"cm-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, CM-1(b) }} to manage the development, documentation, and dissemination of the configuration management policy and procedures; and</li></ul>","uuid":"3f2c7a78-5f1f-45a9-ad74-50e9c9ff6887"},{"objectiveType":"","otherId":"cm-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current configuration management:</li><ul><li>1. Policy {{ insert: param, CM-1(c)(1)-1 }} and following {{ insert: param, CM-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, CM-1(c)(2)-1 }} and following {{ insert: param, CM-1(c)(2)-2 }}.</li></ul>","uuid":"4058f5ce-69ae-4678-8d30-fad6df1320c3"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, CM-1(a) }}:</li><ul><li>1. {{ insert: param, CM-1(a)(1) }} configuration management policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;</li></ul><li>b. Designate an {{ insert: param, CM-1(b) }} to manage the development, documentation, and dissemination of the configuration management policy and procedures; and</li><li>c. Review and update the current configuration management:</li><ul><li>1. Policy {{ insert: param, CM-1(c)(1)-1 }} and following {{ insert: param, CM-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, CM-1(c)(2)-1 }} and following {{ insert: param, CM-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Configuration management policy and procedures address the controls in the CM family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of configuration management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to configuration management policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"138b13a8-7de5-467d-af54-0fa677a227be","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"a22947c8-6eab-4de4-8050-dac58e72b7ec","otherId":"cm-1_prm_1","parameterId":"CM-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"60038d09-c9ce-4568-896f-b2f5e8915da4","otherId":"cm-01_odp.03","parameterId":"CM-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the configuration management policy and procedures is defined;","uuid":"3541eb58-1060-4f79-8818-62f24e3a6c72","otherId":"cm-01_odp.04","parameterId":"CM-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current configuration management policy is reviewed and updated is defined;","uuid":"ba606476-cbe3-4bf2-af9f-9c2d096fd122","otherId":"cm-01_odp.05","parameterId":"CM-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current configuration management policy to be reviewed and updated are defined;","uuid":"25bf2009-2cd5-4ab6-be0f-306c2ad7fdf7","otherId":"cm-01_odp.06","parameterId":"CM-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current configuration management procedures are reviewed and updated is defined;","uuid":"e404c6a5-3864-4304-ab58-78a3a0ad5be0","otherId":"cm-01_odp.07","parameterId":"CM-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require configuration management procedures to be reviewed and updated are defined;","uuid":"2e45bf54-984f-40a6-8d8d-5199d9cdfd4f","otherId":"cm-01_odp.08","parameterId":"CM-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"CM-01a.[01]","test":"Assessment Objective: Determine if a configuration management policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a-1","defaultText":null,"uuid":"bae170ef-21f5-4d2a-86b9-3517afa051d7"},{"testId":"CM-01a.[02]","test":"Assessment Objective: Determine if the configuration management policy is disseminated to {{ insert: param, cm-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a-2","defaultText":null,"uuid":"994ba742-cbb1-46d4-9b44-473d4ef126f1"},{"testId":"CM-01a.[03]","test":"Assessment Objective: Determine if configuration management procedures to facilitate the implementation of the configuration management policy and associated configuration management controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a-3","defaultText":null,"uuid":"7f6c41d8-f6fe-48d2-b826-77a1d6d68b25"},{"testId":"CM-01a.[04]","test":"Assessment Objective: Determine if the configuration management procedures are disseminated to {{ insert: param, cm-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a-4","defaultText":null,"uuid":"df2831ef-f020-4cf8-af88-081560a5ddc2"},{"testId":"CM-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.a-1","defaultText":null,"uuid":"584b6215-437f-4009-9bea-7ddc34df918b"},{"testId":"CM-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.a-2","defaultText":null,"uuid":"86ed94f3-1b7c-46fa-8479-607a89c3a337"},{"testId":"CM-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.a-3","defaultText":null,"uuid":"bc36a35f-1743-4db4-aded-757ba768c6cd"},{"testId":"CM-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.a-4","defaultText":null,"uuid":"38b38305-12cb-4958-a1c3-d049c5a8c588"},{"testId":"CM-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.a-5","defaultText":null,"uuid":"712a5b8b-ad4b-4737-80ad-3b297ba60ce8"},{"testId":"CM-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.a-6","defaultText":null,"uuid":"a3df439e-37b0-411e-a8cb-ff13ee74248b"},{"testId":"CM-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.03 }} of the configuration management policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.a-7","defaultText":null,"uuid":"32876c7b-81cd-4b13-94c7-6141ba9e1b81"},{"testId":"CM-01a.01(b)","test":"Assessment Objective: Determine if the configuration management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.a.1.b","defaultText":null,"uuid":"def69415-8632-4adc-bae2-c85aac39f9ce"},{"testId":"CM-01b.","test":"Assessment Objective: Determine if the {{ insert: param, cm-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the configuration management policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.b","defaultText":null,"uuid":"938de457-35f1-44bd-9774-7024afa6740d"},{"testId":"CM-01c.01[01]","test":"Assessment Objective: Determine if the current configuration management policy is reviewed and updated {{ insert: param, cm-01_odp.05 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.c.1-1","defaultText":null,"uuid":"394ecb8c-0dd7-4c4b-a126-5b7ddf8a9449"},{"testId":"CM-01c.01[02]","test":"Assessment Objective: Determine if the current configuration management policy is reviewed and updated following {{ insert: param, cm-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.c.1-2","defaultText":null,"uuid":"735053d1-bd93-421c-a1f0-262b17ecda8d"},{"testId":"CM-01c.02[01]","test":"Assessment Objective: Determine if the current configuration management procedures are reviewed and updated {{ insert: param, cm-01_odp.07 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.c.2-1","defaultText":null,"uuid":"dce29c05-a32f-44a6-8d50-5a6cfd4d3a56"},{"testId":"CM-01c.02[02]","test":"Assessment Objective: Determine if the current configuration management procedures are reviewed and updated following {{ insert: param, cm-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy and procedures.</li><li>Security and privacy program policies and procedures.</li><li>Assessment or audit findings.</li><li>Documentation of security incidents or breaches.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy.</li><li>Other relevant artifacts, documents, or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cm-1_obj.c.2-2","defaultText":null,"uuid":"7a74c8d4-8668-4abf-bc69-4b1e4775e50a"}],"weight":1,"title":"CM-01 - Policy and Procedures","enhancements":"","otherId":"cm-1","sortId":"cm-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-1"},{"objectives":[{"objectiveType":"","otherId":"cm-2.2_smt","name":"CM-2(2)","description":"Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, CM-2(2) }}.","uuid":"2231c870-add4-4d3c-ad9b-4188df9b68ec"}],"description":"<p>Maintain the currency, completeness, accuracy, and availability of the baseline configuration of the system using {{ insert: param, CM-2(2) }}.</p><br/><strong>Guidance</strong><p>Automated mechanisms that help organizations maintain consistent baseline configurations for systems include configuration management tools, hardware, software, firmware inventory tools, and network management tools. Automated tools can be used at the organization level, mission and business process level, or system level on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used to track version numbers on operating systems, applications, types of software installed, and current patch levels. Automation support for accuracy and currency can be satisfied by the implementation of <a href=\"#cm-8.2\">CM-8(2)</a> for organizations that combine system component inventory and baseline configuration activities.</p>","uuid":"43714a43-f401-4aae-a188-57c344035a2b","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms for maintaining baseline configuration of the system are defined;","uuid":"271cbf4b-9a62-4f9b-9367-2da5973408f0","otherId":"cm-02.02_odp","parameterId":"CM-2(2)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"CM-02(02)[01]","test":"Assessment Objective: Determine if the currency of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Configuration change control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Automated mechanisms implementing baseline configuration maintenance.</li></ul>","otherId":"cm-2.2_obj-1","defaultText":null,"uuid":"51dab921-5383-4812-9027-085d3e7a581b"},{"testId":"CM-02(02)[02]","test":"Assessment Objective: Determine if the completeness of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Configuration change control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Automated mechanisms implementing baseline configuration maintenance.</li></ul>","otherId":"cm-2.2_obj-2","defaultText":null,"uuid":"3dfe5840-aa22-4d52-9314-aa14be1b6944"},{"testId":"CM-02(02)[03]","test":"Assessment Objective: Determine if the accuracy of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Configuration change control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Automated mechanisms implementing baseline configuration maintenance.</li></ul>","otherId":"cm-2.2_obj-3","defaultText":null,"uuid":"11699fdc-df64-4329-a2c0-396a5be5155d"},{"testId":"CM-02(02)[04]","test":"Assessment Objective: Determine if the availability of the baseline configuration of the system is maintained using {{ insert: param, cm-02.02_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Configuration change control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Automated mechanisms implementing baseline configuration maintenance.</li></ul>","otherId":"cm-2.2_obj-4","defaultText":null,"uuid":"d7a9e70c-d901-4bee-adc3-40f30536b975"}],"weight":1,"title":"CM-02(02) - Automation Support for Accuracy and Currency","enhancements":null,"otherId":"cm-2.2","sortId":"cm-02.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-2(2)"},{"objectives":[{"objectiveType":"","otherId":"cm-2.3_smt","name":"CM-2(3)","description":"Retain {{ insert: param, CM-2(3) }} of previous versions of baseline configurations of the system to support rollback.","uuid":"9cfa9803-ae0f-4ffe-9db6-76438e59e0a8"}],"description":"<p>Retain {{ insert: param, CM-2(3) }} of previous versions of baseline configurations of the system to support rollback.</p><br/><strong>Guidance</strong><p>Retaining previous versions of baseline configurations to support rollback include hardware, software, firmware, configuration files, configuration records, and associated documentation.</p>","uuid":"2c126ae9-018a-49d9-a66e-0a90c22aca50","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the number of previous baseline configuration versions to be retained is defined;","uuid":"5a5ca476-cf1f-4032-a99f-3acadc612faa","otherId":"cm-02.03_odp","parameterId":"CM-2(3)","text":"number","default":" [Assignment: organization-defined number] "}],"subControls":null,"tests":[{"testId":"CM-02(03)","test":"Assessment Objective: Determine if \n{{ insert: param, cm-02.03_odp }} of previous baseline configuration version(s) of the system is/are retained to support rollback.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Copies of previous baseline configuration versions.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li></ul>","otherId":"cm-2.3_obj","defaultText":null,"uuid":"793fecd3-f781-4e28-ace9-3c598d6ed4c4"}],"weight":1,"title":"CM-02(03) - Retention of Previous Configurations","enhancements":null,"otherId":"cm-2.3","sortId":"cm-02.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-2(3)"},{"objectives":[{"objectiveType":"","otherId":"cm-2.7_smt.a","name":"(a)","description":"<ul><li>(a) Issue {{ insert: param, CM-2(7)(a)-1 }} with {{ insert: param, CM-2(7)(a)-2 }} to individuals traveling to locations that the organization deems to be of significant risk; and</li></ul>","uuid":"29d80f43-0da4-4a45-b010-81b1c569fb7d"},{"objectiveType":"","otherId":"cm-2.7_smt.b","name":"(b)","description":"<ul><li>(b) Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, CM-2(7)(b) }}.</li></ul>","uuid":"e408fb19-2585-4d2a-96fb-2ae05c142ed1"}],"description":"<ul><li>(a) Issue {{ insert: param, CM-2(7)(a)-1 }} with {{ insert: param, CM-2(7)(a)-2 }} to individuals traveling to locations that the organization deems to be of significant risk; and</li><li>(b) Apply the following controls to the systems or components when the individuals return from travel: {{ insert: param, CM-2(7)(b) }}.</li></ul><br/><strong>Guidance</strong><p>When it is known that systems or system components will be in high-risk areas external to the organization, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take actions for notebook computers used by individuals departing on and returning from travel. Actions include determining the locations that are of concern, defining the required configurations for the components, ensuring that components are configured as intended before travel is initiated, and applying controls to the components after travel is completed. Specially configured notebook computers include computers with sanitized hard drives, limited applications, and more stringent configuration settings. Controls applied to mobile devices upon return from travel include examining the mobile device for signs of physical tampering and purging and reimaging disk drives. Protecting information that resides on mobile devices is addressed in the <a href=\"#mp\">MP</a> (Media Protection) family.</p>","uuid":"237b891f-2907-4629-8ac4-9725e2e676a1","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the systems or system components to be issued when individuals travel to high-risk areas are defined;","uuid":"e2d54c56-8f53-47de-b767-407673b6cfa3","otherId":"cm-02.07_odp.01","parameterId":"CM-2(7)(a)-1","text":"systems or system components","default":" [Assignment: organization-defined systems or system components] "},{"constraints":"","displayName":"","dataType":"","guidance":"configurations for systems or system components to be issued when individuals travel to high-risk areas are defined;","uuid":"7c63853d-8dbf-4b4c-9835-030b03aaaf9e","otherId":"cm-02.07_odp.02","parameterId":"CM-2(7)(a)-2","text":"configurations","default":" [Assignment: organization-defined configurations] "},{"constraints":"","displayName":"","dataType":"","guidance":"the controls to be applied when the individuals return from travel are defined;","uuid":"b1125e9e-158f-4a79-8450-75f9eb15f18b","otherId":"cm-02.07_odp.03","parameterId":"CM-2(7)(b)","text":"controls","default":" [Assignment: organization-defined controls] "}],"subControls":null,"tests":[{"testId":"CM-02(07)(a)","test":"Assessment Objective: Determine if \n{{ insert: param, cm-02.07_odp.01 }} with {{ insert: param, cm-02.07_odp.02 }} are issued to individuals traveling to locations that the organization deems to be of significant risk;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Configuration management plan.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Procedures addressing system component installations and upgrades.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Records of system baseline configuration reviews and updates.</li><li>System component installations/upgrades and associated records.</li><li>Change control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li></ul>","otherId":"cm-2.7_obj.a","defaultText":null,"uuid":"a283184b-3c9c-4afe-ac68-b35844236bec"},{"testId":"CM-02(07)(b)","test":"Assessment Objective: Determine if \n{{ insert: param, cm-02.07_odp.03 }} are applied to the systems or system components when the individuals return from travel.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Configuration management plan.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Procedures addressing system component installations and upgrades.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Records of system baseline configuration reviews and updates.</li><li>System component installations/upgrades and associated records.</li><li>Change control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li></ul>","otherId":"cm-2.7_obj.b","defaultText":null,"uuid":"1cad0c21-c067-46a0-aafb-5c18f5c1e188"}],"weight":1,"title":"CM-02(07) - Configure Systems and Components for High-risk Areas","enhancements":null,"otherId":"cm-2.7","sortId":"cm-02.07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-2(7)"},{"objectives":[{"objectiveType":"","otherId":"cm-2_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and maintain under configuration control, a current baseline configuration of the system; and</li></ul>","uuid":"0e2c6f5a-858c-44a8-9b49-3d884106c66a"},{"objectiveType":"","otherId":"cm-2_smt.b","name":"b.","description":"<ul><li>b. Review and update the baseline configuration of the system:</li><ul><li>1. {{ insert: param, CM-2(b)(1) }};</li><li>2. When required due to {{ insert: param, CM-2(b)(2) }} ; and</li><li>3. When system components are installed or upgraded.</li></ul>","uuid":"ccd7c8ba-3539-41e3-b64c-63f716c50885"}],"description":"<ul><li>a. Develop, document, and maintain under configuration control, a current baseline configuration of the system; and</li><li>b. Review and update the baseline configuration of the system:</li><ul><li>1. {{ insert: param, CM-2(b)(1) }};</li><li>2. When required due to {{ insert: param, CM-2(b)(2) }} ; and</li><li>3. When system components are installed or upgraded.</li></ul><br/><strong>Guidance</strong><p>Baseline configurations for systems and system components include connectivity, operational, and communications aspects of systems. Baseline configurations are documented, formally reviewed, and agreed-upon specifications for systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, or changes to systems and include security and privacy control implementations, operational procedures, information about system components, network topology, and logical placement of components in the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.</p><br/><strong>CM-2 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(b) (1) Guidance:</b> Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F.</li></ul>","uuid":"248e1e97-6bd6-4b2b-a158-ca83294e7a2a","family":"Configuration Management","parameters":[{"constraints":"at least annually and when a significant change occurs","displayName":"","dataType":"","guidance":"the frequency of baseline configuration review and update is defined;","uuid":"aa8a0431-312f-4830-afa3-bfbb914507a3","otherId":"cm-02_odp.01","parameterId":"CM-2(b)(1)","text":"frequency","default":"[FedRAMP Assignment: at least annually and when a significant change occurs]"},{"constraints":"to include when directed by the JAB","displayName":"","dataType":"","guidance":"the circumstances requiring baseline configuration review and update are defined;","uuid":"245283fd-c629-4af5-9674-4cfc2783f70e","otherId":"cm-02_odp.02","parameterId":"CM-2(b)(2)","text":"circumstances","default":"[FedRAMP Assignment: to include when directed by the JAB]"}],"subControls":null,"tests":[{"testId":"CM-02a.[01]","test":"Assessment Objective: Determine if a current baseline configuration of the system is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>Enterprise architecture documentation.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Change control records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Mechanisms supporting configuration control of the baseline configuration.</li></ul>","otherId":"cm-2_obj.a-1","defaultText":null,"uuid":"de4491ed-f23f-41fa-ad2a-0e15e66447fe"},{"testId":"CM-02a.[02]","test":"Assessment Objective: Determine if a current baseline configuration of the system is maintained under configuration control;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>Enterprise architecture documentation.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Change control records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Mechanisms supporting configuration control of the baseline configuration.</li></ul>","otherId":"cm-2_obj.a-2","defaultText":null,"uuid":"745212dd-5a23-46af-ac6a-008bdce1813c"},{"testId":"CM-02b.01","test":"Assessment Objective: Determine if the baseline configuration of the system is reviewed and updated {{ insert: param, cm-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>Enterprise architecture documentation.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Change control records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Mechanisms supporting configuration control of the baseline configuration.</li></ul>","otherId":"cm-2_obj.b.1","defaultText":null,"uuid":"7901e0a6-43be-40bb-bda5-a3e67bf86b1e"},{"testId":"CM-02b.02","test":"Assessment Objective: Determine if the baseline configuration of the system is reviewed and updated when required due to {{ insert: param, cm-02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>Enterprise architecture documentation.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Change control records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Mechanisms supporting configuration control of the baseline configuration.</li></ul>","otherId":"cm-2_obj.b.2","defaultText":null,"uuid":"926a9ed1-e6c0-420e-a52c-b8aac699a4f1"},{"testId":"CM-02b.03","test":"Assessment Objective: Determine if the baseline configuration of the system is reviewed and updated when system components are installed or upgraded.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing the baseline configuration of the system.</li><li>Configuration management plan.</li><li>Enterprise architecture documentation.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Change control records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing baseline configurations.</li><li>Mechanisms supporting configuration control of the baseline configuration.</li></ul>","otherId":"cm-2_obj.b.3","defaultText":null,"uuid":"596a9f20-72d0-4791-ad2a-25fd1389333a"}],"weight":1,"title":"CM-02 - Baseline Configuration","enhancements":"<strong>Enhancements</strong><ul><li>CM-2(2) - Automation Support for Accuracy and Currency</li><li>CM-2(3) - Retention of Previous Configurations</li><li>CM-2(7) - Configure Systems and Components for High-risk Areas</li></ul>","otherId":"cm-2","sortId":"cm-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-2"},{"objectives":[{"objectiveType":"","otherId":"cm-3.2_smt","name":"CM-3(2)","description":"Test, validate, and document changes to the system before finalizing the implementation of the changes.","uuid":"96e489c0-1c2a-418f-b0ba-645aeeb3601f"}],"description":"<p>Test, validate, and document changes to the system before finalizing the implementation of the changes.</p><br/><strong>Guidance</strong><p>Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in <a href=\"#cm-6\">CM-6</a> . Organizations ensure that testing does not interfere with system operations that support organizational mission and business functions. Individuals or groups conducting tests understand security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken offline, or replicated to the extent feasible, before testing can be conducted. If systems must be taken offline for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls.</p>","uuid":"abcb8e3f-048c-441f-aa6f-984221475eb4","family":"Configuration Management","parameters":[],"subControls":null,"tests":[{"testId":"CM-03(02)[01]","test":"Assessment Objective: Determine if changes to the system are tested before finalizing the implementation of the changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Configuration management plan.</li><li>Procedures addressing system configuration change control.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Test records.</li><li>Validation records.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms supporting and/or implementing, testing, validating, and documenting system changes.</li></ul>","otherId":"cm-3.2_obj-1","defaultText":null,"uuid":"a8b2aa65-8144-4406-8810-22a6748c1eee"},{"testId":"CM-03(02)[02]","test":"Assessment Objective: Determine if changes to the system are validated before finalizing the implementation of the changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Configuration management plan.</li><li>Procedures addressing system configuration change control.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Test records.</li><li>Validation records.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms supporting and/or implementing, testing, validating, and documenting system changes.</li></ul>","otherId":"cm-3.2_obj-2","defaultText":null,"uuid":"bcb5043e-76dd-4dc2-8327-48da2c253266"},{"testId":"CM-03(02)[03]","test":"Assessment Objective: Determine if changes to the system are documented before finalizing the implementation of the changes.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Configuration management plan.</li><li>Procedures addressing system configuration change control.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Test records.</li><li>Validation records.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms supporting and/or implementing, testing, validating, and documenting system changes.</li></ul>","otherId":"cm-3.2_obj-3","defaultText":null,"uuid":"405886a7-3bd3-43ae-94ec-1e3d88f65778"}],"weight":1,"title":"CM-03(02) - Testing, Validation, and Documentation of Changes","enhancements":null,"otherId":"cm-3.2","sortId":"cm-03.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-3(2)"},{"objectives":[{"objectiveType":"","otherId":"cm-3.4_smt","name":"CM-3(4)","description":"Require {{ insert: param, CM-3(4)-1 }} to be members of the {{ insert: param, CM-3(4)-2 }}.","uuid":"82a4e054-17f7-43d1-9db1-a2172be8d199"}],"description":"<p>Require {{ insert: param, CM-3(4)-1 }} to be members of the {{ insert: param, CM-3(4)-2 }}.</p><br/><strong>Guidance</strong><p>Information security and privacy representatives include system security officers, senior agency information security officers, senior agency officials for privacy, or system privacy officers. Representation by personnel with information security and privacy expertise is important because changes to system configurations can have unintended side effects, some of which may be security- or privacy-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security and privacy posture of systems. The configuration change control element referred to in the second organization-defined parameter reflects the change control elements defined by organizations in <a href=\"#cm-3_smt.g\">CM-3g</a>.</p>","uuid":"b59e5168-80d2-4b31-b7bf-405727ddc211","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"1565b74b-9119-48b4-a2a1-dc431a88dc80","otherId":"cm-3.4_prm_1","parameterId":"CM-3(4)-1","text":"organization-defined security and privacy representatives","default":" [Assignment: organization-defined security and privacy representatives] "},{"constraints":"Configuration control board (CCB) or similar (as defined in CM-3)","displayName":"","dataType":"","guidance":"the configuration change control element of which the security and privacy representatives are to be members is defined;","uuid":"ebb741af-553c-48a7-b189-499f59fcabb4","otherId":"cm-03.04_odp.03","parameterId":"CM-3(4)-2","text":"configuration change control element","default":"[FedRAMP Assignment: Configuration control board (CCB) or similar (as defined in CM-3)]"}],"subControls":null,"tests":[{"testId":"CM-03(04)[01]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-03.04_odp.01 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li></ul>","otherId":"cm-3.4_obj-1","defaultText":null,"uuid":"cb260a66-cad1-4c99-8c85-1c49ce01a4a9"},{"testId":"CM-03(04)[02]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-03.04_odp.02 }} are required to be members of the {{ insert: param, cm-03.04_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li></ul>","otherId":"cm-3.4_obj-2","defaultText":null,"uuid":"ba6cc65f-8959-459a-904d-980ae2321847"}],"weight":1,"title":"CM-03(04) - Security and Privacy Representatives","enhancements":null,"otherId":"cm-3.4","sortId":"cm-03.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-3(4)"},{"objectives":[{"objectiveType":"","otherId":"cm-3_smt.a","name":"a.","description":"<ul><li>a. Determine and document the types of changes to the system that are configuration-controlled;</li></ul>","uuid":"c8218f67-4df4-45f1-8f5c-d0e6b0773d36"},{"objectiveType":"","otherId":"cm-3_smt.b","name":"b.","description":"<ul><li>b. Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;</li></ul>","uuid":"c1856e20-dbbb-4254-8d33-deb0c2b8e485"},{"objectiveType":"","otherId":"cm-3_smt.c","name":"c.","description":"<ul><li>c. Document configuration change decisions associated with the system;</li></ul>","uuid":"1dbfe414-b4ca-4462-94ce-05895ae545b6"},{"objectiveType":"","otherId":"cm-3_smt.d","name":"d.","description":"<ul><li>d. Implement approved configuration-controlled changes to the system;</li></ul>","uuid":"21d093c7-535d-4140-ae01-c6d0e4814a57"},{"objectiveType":"","otherId":"cm-3_smt.e","name":"e.","description":"<ul><li>e. Retain records of configuration-controlled changes to the system for {{ insert: param, CM-3(e) }};</li></ul>","uuid":"06cdf05c-9b46-4782-9c5f-38a016803cc2"},{"objectiveType":"","otherId":"cm-3_smt.f","name":"f.","description":"<ul><li>f. Monitor and review activities associated with configuration-controlled changes to the system; and</li></ul>","uuid":"58f07dce-6029-423d-8211-6a9fb344fa5f"},{"objectiveType":"","otherId":"cm-3_smt.g","name":"g.","description":"<ul><li>g. Coordinate and provide oversight for configuration change control activities through {{ insert: param, CM-3(g)-1 }} that convenes {{ insert: param, CM-3(g)-2 }}.</li></ul>","uuid":"ea71e93e-e275-4c75-8b13-d029ceeef1b7"}],"description":"<ul><li>a. Determine and document the types of changes to the system that are configuration-controlled;</li><li>b. Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security and privacy impact analyses;</li><li>c. Document configuration change decisions associated with the system;</li><li>d. Implement approved configuration-controlled changes to the system;</li><li>e. Retain records of configuration-controlled changes to the system for {{ insert: param, CM-3(e) }};</li><li>f. Monitor and review activities associated with configuration-controlled changes to the system; and</li><li>g. Coordinate and provide oversight for configuration change control activities through {{ insert: param, CM-3(g)-1 }} that convenes {{ insert: param, CM-3(g)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Configuration change control for organizational systems involves the systematic proposal, justification, implementation, testing, review, and disposition of system changes, including system upgrades and modifications. Configuration change control includes changes to baseline configurations, configuration items of systems, operational procedures, configuration settings for system components, remediate vulnerabilities, and unscheduled or unauthorized changes. Processes for managing configuration changes to systems include Configuration Control Boards or Change Advisory Boards that review and approve proposed changes. For changes that impact privacy risk, the senior agency official for privacy updates privacy impact assessments and system of records notices. For new systems or major upgrades, organizations consider including representatives from the development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to systems and the auditing activities required to implement such changes. See also <a href=\"#sa-10\">SA-10</a>.</p><br/><strong>CM-3 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(e) Guidance:</b> In accordance with record retention policies and procedures.</li><li><b>Requirement:</b> The service provider establishes a central means of communicating major changes to or developments in the information system or environment of operations that may affect its services to the federal government and associated service consumers (e.g., electronic bulletin board, web status page). The means of communication are approved and accepted by the JAB/AO.</li></ul>","uuid":"d3ec9441-b2d1-4146-8a71-44898ddfc411","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the time period to retain records of configuration-controlled changes is defined;","uuid":"4ecb8413-2eac-4137-b318-d40862f81670","otherId":"cm-03_odp.01","parameterId":"CM-3(e)","text":"time period","default":" [Assignment: organization-defined time period] "},{"constraints":"","displayName":"","dataType":"","guidance":"the configuration change control element responsible for coordinating and overseeing change control activities is defined;","uuid":"88fd95a4-071e-44e0-a721-87d9da33ad22","otherId":"cm-03_odp.02","parameterId":"CM-3(g)-1","text":"configuration change control element","default":" [Assignment: organization-defined configuration change control element] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"fbee3b02-75c2-4f7c-9865-9adc3244f927","otherId":"cm-03_odp.03","parameterId":"CM-3(g)-2","text":"[Selection (one or more): [(NESTED PARAMETER) Assignment for cm-03_odp.04: frequency]; when [(NESTED PARAMETER) Assignment for cm-03_odp.05: configuration change conditions]]","default":"[Selection (one or more): [(NESTED PARAMETER) Assignment for cm-03_odp.04: frequency]; when [(NESTED PARAMETER) Assignment for cm-03_odp.05: configuration change conditions]]"}],"subControls":null,"tests":[{"testId":"CM-03a.","test":"Assessment Objective: Determine if the types of changes to the system that are configuration-controlled are determined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.a","defaultText":null,"uuid":"d1ecb3ab-2b1b-4771-bef2-82f048135134"},{"testId":"CM-03b.[01]","test":"Assessment Objective: Determine if proposed configuration-controlled changes to the system are reviewed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.b-1","defaultText":null,"uuid":"4c5887e1-7b50-4c2c-97fa-2c97b60b92c0"},{"testId":"CM-03b.[02]","test":"Assessment Objective: Determine if proposed configuration-controlled changes to the system are approved or disapproved with explicit consideration for security and privacy impact analyses;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.b-2","defaultText":null,"uuid":"dee172a4-ae8a-45d0-9858-c3a0ef135f2a"},{"testId":"CM-03c.","test":"Assessment Objective: Determine if configuration change decisions associated with the system are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.c","defaultText":null,"uuid":"04a0cf49-24f9-43b1-ba08-5fd4a4f380f4"},{"testId":"CM-03d.","test":"Assessment Objective: Determine if approved configuration-controlled changes to the system are implemented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.d","defaultText":null,"uuid":"4370089e-8701-4a82-a990-cd768957ee82"},{"testId":"CM-03e.","test":"Assessment Objective: Determine if records of configuration-controlled changes to the system are retained for {{ insert: param, cm-03_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.e","defaultText":null,"uuid":"91b8a81d-4635-437f-a9bd-f4b97c50e2d7"},{"testId":"CM-03f.[01]","test":"Assessment Objective: Determine if activities associated with configuration-controlled changes to the system are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.f-1","defaultText":null,"uuid":"7e606ada-45ea-41a8-b54a-8a549963351a"},{"testId":"CM-03f.[02]","test":"Assessment Objective: Determine if activities associated with configuration-controlled changes to the system are reviewed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.f-2","defaultText":null,"uuid":"6a5c84db-760a-4de6-8fcd-a7232dcb8eb3"},{"testId":"CM-03g.[01]","test":"Assessment Objective: Determine if configuration change control activities are coordinated and overseen by {{ insert: param, cm-03_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.g-1","defaultText":null,"uuid":"9929225d-bd28-4155-8cc3-d86e760679e6"},{"testId":"CM-03g.[02]","test":"Assessment Objective: Determine if the configuration control element convenes {{ insert: param, cm-03_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system configuration change control.</li><li>Configuration management plan.</li><li>System architecture and configuration documentation.</li><li>Change control records.</li><li>System audit records.</li><li>Change control audit and review reports.</li><li>Agenda/minutes/documentation from configuration change control oversight meetings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessments.</li><li>System of records notices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with configuration change control responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for configuration change control.</li><li>Mechanisms that implement configuration change control.</li></ul>","otherId":"cm-3_obj.g-2","defaultText":null,"uuid":"61445100-d363-40f3-8319-a834eb95e29f"}],"weight":1,"title":"CM-03 - Configuration Change Control","enhancements":"<strong>Enhancements</strong><ul><li>CM-3(2) - Testing, Validation, and Documentation of Changes</li><li>CM-3(4) - Security and Privacy Representatives</li></ul>","otherId":"cm-3","sortId":"cm-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-3"},{"objectives":[{"objectiveType":"","otherId":"cm-4.2_smt","name":"CM-4(2)","description":"After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.","uuid":"aab7ff00-cc8e-4066-8521-6b789efb5771"}],"description":"<p>After system changes, verify that the impacted controls are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.</p><br/><strong>Guidance</strong><p>Implementation in this context refers to installing changed code in the operational system that may have an impact on security or privacy controls.</p>","uuid":"e35256f6-10b8-4083-87fe-51c5ba0d0277","family":"Configuration Management","parameters":[],"subControls":null,"tests":[{"testId":"CM-04(02)[01]","test":"Assessment Objective: Determine if the impacted controls are implemented correctly with regard to meeting the security requirements for the system after system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Privacy risk assessment documentation.</li><li>Configuration management plan.</li><li>Security and privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>Control assessment results.</li><li>System audit records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security and privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Security and privacy assessors.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy impact analyses.</li><li>Mechanisms supporting and/or implementing security and privacy impact analyses of changes.</li></ul>","otherId":"cm-4.2_obj-1","defaultText":null,"uuid":"a2f8951d-b788-4554-a5f7-b7c9c9c133b1"},{"testId":"CM-04(02)[02]","test":"Assessment Objective: Determine if the impacted controls are implemented correctly with regard to meeting the privacy requirements for the system after system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Privacy risk assessment documentation.</li><li>Configuration management plan.</li><li>Security and privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>Control assessment results.</li><li>System audit records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security and privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Security and privacy assessors.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy impact analyses.</li><li>Mechanisms supporting and/or implementing security and privacy impact analyses of changes.</li></ul>","otherId":"cm-4.2_obj-2","defaultText":null,"uuid":"78e76278-c252-4a4c-b37b-34a0072a96e8"},{"testId":"CM-04(02)[03]","test":"Assessment Objective: Determine if the impacted controls are operating as intended with regard to meeting the security requirements for the system after system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Privacy risk assessment documentation.</li><li>Configuration management plan.</li><li>Security and privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>Control assessment results.</li><li>System audit records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security and privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Security and privacy assessors.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy impact analyses.</li><li>Mechanisms supporting and/or implementing security and privacy impact analyses of changes.</li></ul>","otherId":"cm-4.2_obj-3","defaultText":null,"uuid":"2eac0c3f-c38a-4897-b031-32a2a31929ae"},{"testId":"CM-04(02)[04]","test":"Assessment Objective: Determine if the impacted controls are operating as intended with regard to meeting the privacy requirements for the system after system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Privacy risk assessment documentation.</li><li>Configuration management plan.</li><li>Security and privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>Control assessment results.</li><li>System audit records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security and privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Security and privacy assessors.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy impact analyses.</li><li>Mechanisms supporting and/or implementing security and privacy impact analyses of changes.</li></ul>","otherId":"cm-4.2_obj-4","defaultText":null,"uuid":"03a08940-ee13-471c-b055-235b42b88c2b"},{"testId":"CM-04(02)[05]","test":"Assessment Objective: Determine if the impacted controls are producing the desired outcome with regard to meeting the security requirements for the system after system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Privacy risk assessment documentation.</li><li>Configuration management plan.</li><li>Security and privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>Control assessment results.</li><li>System audit records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security and privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Security and privacy assessors.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy impact analyses.</li><li>Mechanisms supporting and/or implementing security and privacy impact analyses of changes.</li></ul>","otherId":"cm-4.2_obj-5","defaultText":null,"uuid":"57edd6e2-ac64-44a9-9807-4fae142b9aea"},{"testId":"CM-04(02)[06]","test":"Assessment Objective: Determine if the impacted controls are producing the desired outcome with regard to meeting the privacy requirements for the system after system changes.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Privacy risk assessment documentation.</li><li>Configuration management plan.</li><li>Security and privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>Control assessment results.</li><li>System audit records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security and privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Security and privacy assessors.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy impact analyses.</li><li>Mechanisms supporting and/or implementing security and privacy impact analyses of changes.</li></ul>","otherId":"cm-4.2_obj-6","defaultText":null,"uuid":"4ef32292-ca89-4d68-8220-75d45b1f5254"}],"weight":1,"title":"CM-04(02) - Verification of Controls","enhancements":null,"otherId":"cm-4.2","sortId":"cm-04.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-4(2)"},{"objectives":[{"objectiveType":"","otherId":"cm-4_smt","name":"CM-4","description":"Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.","uuid":"dc68b894-974d-4de1-bbd0-49dc97f6083c"}],"description":"<p>Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.</p><br/><strong>Guidance</strong><p>Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems as well as the security or privacy ramifications. Impact analyses include reviewing security and privacy plans, policies, and procedures to understand control requirements; reviewing system design documentation and operational procedures to understand control implementation and how specific system changes might affect the controls; reviewing the impact of changes on organizational supply chain partners with stakeholders; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses also include risk assessments to understand the impact of the changes and determine if additional controls are required.</p>","uuid":"5b720c74-efb1-4aa2-a9f0-0b826b5dac1d","family":"Configuration Management","parameters":[],"subControls":null,"tests":[{"testId":"CM-04[01]","test":"Assessment Objective: Determine if changes to the system are analyzed to determine potential security impacts prior to change implementation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Configuration management plan.</li><li>Security impact analysis documentation.</li><li>Privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation, system design documentation.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security impact analyses.</li><li>Organizational personnel with responsibility for conducting privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security impact analyses.</li><li>Organizational processes for privacy impact analyses.</li></ul>","otherId":"cm-4_obj-1","defaultText":null,"uuid":"ab2d3022-7bca-4bcf-b883-a8475950bdf1"},{"testId":"CM-04[02]","test":"Assessment Objective: Determine if changes to the system are analyzed to determine potential privacy impacts prior to change implementation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing security impact analyses for changes to the system.</li><li>Procedures addressing privacy impact analyses for changes to the system.</li><li>Configuration management plan.</li><li>Security impact analysis documentation.</li><li>Privacy impact analysis documentation.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation, system design documentation.</li><li>Analysis tools and associated outputs.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for conducting security impact analyses.</li><li>Organizational personnel with responsibility for conducting privacy impact analyses.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li><li>System/network administrators.</li><li>Members of change control board or similar.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security impact analyses.</li><li>Organizational processes for privacy impact analyses.</li></ul>","otherId":"cm-4_obj-2","defaultText":null,"uuid":"c3665b75-6ecc-4e0d-811c-79be02d275cb"}],"weight":1,"title":"CM-04 - Impact Analyses","enhancements":"<strong>Enhancements</strong><ul><li>CM-4(2) - Verification of Controls</li></ul>","otherId":"cm-4","sortId":"cm-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-4"},{"objectives":[{"objectiveType":"","otherId":"cm-5.1_smt.a","name":"(a)","description":"<ul><li>(a) Enforce access restrictions using {{ insert: param, CM-5(1)(a) }} ; and</li></ul>","uuid":"80158300-bbc8-4aa5-991e-e24fb4770e04"},{"objectiveType":"","otherId":"cm-5.1_smt.b","name":"(b)","description":"<ul><li>(b) Automatically generate audit records of the enforcement actions.</li></ul>","uuid":"c38afa0c-5813-4464-80ec-7b280e27ca6c"}],"description":"<ul><li>(a) Enforce access restrictions using {{ insert: param, CM-5(1)(a) }} ; and</li><li>(b) Automatically generate audit records of the enforcement actions.</li></ul><br/><strong>Guidance</strong><p>Organizations log system accesses associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.</p>","uuid":"6de1e86e-ef7c-4591-9cf2-25384a046696","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"mechanisms used to automate the enforcement of access restrictions are defined;","uuid":"45d51304-ff39-404a-be1b-f75248d18625","otherId":"cm-05.01_odp","parameterId":"CM-5(1)(a)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"CM-05(01)(a)","test":"Assessment Objective: Determine if access restrictions for change are enforced using {{ insert: param, cm-05.01_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Automated mechanisms implementing the enforcement of access restrictions for changes to the system.</li><li>Automated mechanisms supporting auditing of enforcement actions.</li></ul>","otherId":"cm-5.1_obj.a","defaultText":null,"uuid":"0583b403-73d1-490c-9062-22cc7eb92fa0"},{"testId":"CM-05(01)(b)","test":"Assessment Objective: Determine if audit records of enforcement actions are automatically generated.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Automated mechanisms implementing the enforcement of access restrictions for changes to the system.</li><li>Automated mechanisms supporting auditing of enforcement actions.</li></ul>","otherId":"cm-5.1_obj.b","defaultText":null,"uuid":"fd2d7caf-ca23-4ebe-8304-e6392b7564a3"}],"weight":1,"title":"CM-05(01) - Automated Access Enforcement and Audit Records","enhancements":null,"otherId":"cm-5.1","sortId":"cm-05.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-5(1)"},{"objectives":[{"objectiveType":"","otherId":"cm-5.5_smt.a","name":"(a)","description":"<ul><li>(a) Limit privileges to change system components and system-related information within a production or operational environment; and</li></ul>","uuid":"98d8b3c2-b506-45c0-9889-988dc3555278"},{"objectiveType":"","otherId":"cm-5.5_smt.b","name":"(b)","description":"<ul><li>(b) Review and reevaluate privileges {{ insert: param, CM-5(5)(b) }}.</li></ul>","uuid":"2222a22f-bb90-4e85-b632-5809152414aa"}],"description":"<ul><li>(a) Limit privileges to change system components and system-related information within a production or operational environment; and</li><li>(b) Review and reevaluate privileges {{ insert: param, CM-5(5)(b) }}.</li></ul><br/><strong>Guidance</strong><p>In many organizations, systems support multiple mission and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The relationships between systems and mission/business processes are, in some cases, unknown to developers. System-related information includes operational procedures.</p>","uuid":"f5eb9718-d940-4417-982b-02236bf85ea3","family":"Configuration Management","parameters":[{"constraints":"at least quarterly","displayName":"","dataType":"","guidance":"","uuid":"01a9e0ee-baa7-47e5-8cd3-798887bd2bb8","otherId":"cm-5.5_prm_1","parameterId":"CM-5(5)(b)","text":"organization-defined frequency","default":"[FedRAMP Assignment: at least quarterly]"}],"subControls":null,"tests":[{"testId":"CM-05(05)(a)[01]","test":"Assessment Objective: Determine if privileges to change system components within a production or operational environment are limited;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>User privilege reviews.</li><li>User privilege recertifications.</li><li>System component inventory.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting and/or implementing access restrictions for change.</li></ul>","otherId":"cm-5.5_obj.a-1","defaultText":null,"uuid":"17b7d38f-589d-464f-be49-88c7af2ec5b5"},{"testId":"CM-05(05)(a)[02]","test":"Assessment Objective: Determine if privileges to change system-related information within a production or operational environment are limited;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>User privilege reviews.</li><li>User privilege recertifications.</li><li>System component inventory.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting and/or implementing access restrictions for change.</li></ul>","otherId":"cm-5.5_obj.a-2","defaultText":null,"uuid":"96843b6f-fcf4-455b-99ba-d37a2533c090"},{"testId":"CM-05(05)(b)[01]","test":"Assessment Objective: Determine if privileges are reviewed {{ insert: param, cm-05.05_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>User privilege reviews.</li><li>User privilege recertifications.</li><li>System component inventory.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting and/or implementing access restrictions for change.</li></ul>","otherId":"cm-5.5_obj.b-1","defaultText":null,"uuid":"dedcd3b0-61e3-4bdd-ad34-503ca677811d"},{"testId":"CM-05(05)(b)[02]","test":"Assessment Objective: Determine if privileges are reevaluated {{ insert: param, cm-05.05_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>User privilege reviews.</li><li>User privilege recertifications.</li><li>System component inventory.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting and/or implementing access restrictions for change.</li></ul>","otherId":"cm-5.5_obj.b-2","defaultText":null,"uuid":"12ef8d5b-3ac9-4c43-8bf2-0314ef36c283"}],"weight":1,"title":"CM-05(05) - Privilege Limitation for Production and Operation","enhancements":null,"otherId":"cm-5.5","sortId":"cm-05.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-5(5)"},{"objectives":[{"objectiveType":"","otherId":"cm-5_smt","name":"CM-5","description":"Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.","uuid":"27aed104-0cb1-46a4-966c-f32cd5797022"}],"description":"<p>Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.</p><br/><strong>Guidance</strong><p>Changes to the hardware, software, or firmware components of systems or the operational procedures related to the system can potentially have significant effects on the security of the systems or individuals’ privacy. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes. Access restrictions include physical and logical access controls (see <a href=\"#ac-3\">AC-3</a> and <a href=\"#pe-3\">PE-3</a> ), software libraries, workflow automation, media libraries, abstract layers (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).</p>","uuid":"72629e7a-cc9c-4e24-9bce-d719a8e56738","family":"Configuration Management","parameters":[],"subControls":null,"tests":[{"testId":"CM-05[01]","test":"Assessment Objective: Determine if physical access restrictions associated with changes to the system are defined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Logical access approvals.</li><li>Physical access approvals.</li><li>Access credentials.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system.</li></ul>","otherId":"cm-5_obj-1","defaultText":null,"uuid":"da5c231e-9d22-486d-9ec8-1277be23cf1f"},{"testId":"CM-05[02]","test":"Assessment Objective: Determine if physical access restrictions associated with changes to the system are approved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Logical access approvals.</li><li>Physical access approvals.</li><li>Access credentials.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system.</li></ul>","otherId":"cm-5_obj-2","defaultText":null,"uuid":"af9f48ae-4628-4bb4-ba06-f881b3e16c44"},{"testId":"CM-05[03]","test":"Assessment Objective: Determine if physical access restrictions associated with changes to the system are enforced;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Logical access approvals.</li><li>Physical access approvals.</li><li>Access credentials.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system.</li></ul>","otherId":"cm-5_obj-3","defaultText":null,"uuid":"4a6fa1e3-8991-4473-8220-ebaded98f286"},{"testId":"CM-05[04]","test":"Assessment Objective: Determine if logical access restrictions associated with changes to the system are defined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Logical access approvals.</li><li>Physical access approvals.</li><li>Access credentials.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system.</li></ul>","otherId":"cm-5_obj-4","defaultText":null,"uuid":"b94f75e9-67c5-43ec-b2c8-87e6e043b23b"},{"testId":"CM-05[05]","test":"Assessment Objective: Determine if logical access restrictions associated with changes to the system are approved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Logical access approvals.</li><li>Physical access approvals.</li><li>Access credentials.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system.</li></ul>","otherId":"cm-5_obj-5","defaultText":null,"uuid":"b051d107-2a64-41be-b62c-a412fa398798"},{"testId":"CM-05[06]","test":"Assessment Objective: Determine if logical access restrictions associated with changes to the system are enforced.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing access restrictions for changes to the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Logical access approvals.</li><li>Physical access approvals.</li><li>Access credentials.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with logical access control responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing access restrictions to change.</li><li>Mechanisms supporting, implementing, or enforcing access restrictions associated with changes to the system.</li></ul>","otherId":"cm-5_obj-6","defaultText":null,"uuid":"a163a6ff-abc6-45f9-a190-5aca706c3efc"}],"weight":1,"title":"CM-05 - Access Restrictions for Change","enhancements":"<strong>Enhancements</strong><ul><li>CM-5(1) - Automated Access Enforcement and Audit Records</li><li>CM-5(5) - Privilege Limitation for Production and Operation</li></ul>","otherId":"cm-5","sortId":"cm-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-5"},{"objectives":[{"objectiveType":"","otherId":"cm-6.1_smt","name":"CM-6(1)","description":"Manage, apply, and verify configuration settings for {{ insert: param, CM-6(1)-1 }} using {{ insert: param, CM-6(1)-2 }}.","uuid":"8e41b0fa-bc64-453f-bc20-83a04e668805"}],"description":"<p>Manage, apply, and verify configuration settings for {{ insert: param, CM-6(1)-1 }} using {{ insert: param, CM-6(1)-2 }}.</p><br/><strong>Guidance</strong><p>Automated tools (e.g., hardening tools, baseline configuration tools) can improve the accuracy, consistency, and availability of configuration settings information. Automation can also provide data aggregation and data correlation capabilities, alerting mechanisms, and dashboards to support risk-based decision-making within the organization.</p>","uuid":"25cd2b9a-a1fd-44fb-8e16-592209856270","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"0bc4e23b-abae-4fea-a05c-b1b4d28674be","otherId":"cm-6.1_prm_2","parameterId":"CM-6(1)-2","text":"organization-defined automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "},{"constraints":"","displayName":"","dataType":"","guidance":"system components for which to manage, apply, and verify configuration settings are defined;","uuid":"9fb6b59e-db91-4f00-95b2-3eab97caf034","otherId":"cm-06.01_odp.01","parameterId":"CM-6(1)-1","text":"system components","default":" [Assignment: organization-defined system components] "}],"subControls":null,"tests":[{"testId":"CM-06(01)[01]","test":"Assessment Objective: Determine if configuration settings for {{ insert: param, cm-06.01_odp.01 }} are managed using {{ insert: param, cm-06.01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Automated mechanisms implemented to manage, apply, and verify system configuration settings.</li></ul>","otherId":"cm-6.1_obj-1","defaultText":null,"uuid":"889a2b9e-32aa-449f-85d8-c35c1f0ddc5a"},{"testId":"CM-06(01)[02]","test":"Assessment Objective: Determine if configuration settings for {{ insert: param, cm-06.01_odp.01 }} are applied using {{ insert: param, cm-06.01_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Automated mechanisms implemented to manage, apply, and verify system configuration settings.</li></ul>","otherId":"cm-6.1_obj-2","defaultText":null,"uuid":"528f1d46-ac31-45a3-bbd7-e7214df12e9d"},{"testId":"CM-06(01)[03]","test":"Assessment Objective: Determine if configuration settings for {{ insert: param, cm-06.01_odp.01 }} are verified using {{ insert: param, cm-06.01_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Automated mechanisms implemented to manage, apply, and verify system configuration settings.</li></ul>","otherId":"cm-6.1_obj-3","defaultText":null,"uuid":"5cefd885-26d8-4154-859c-b8f4339d090a"}],"weight":1,"title":"CM-06(01) - Automated Management, Application, and Verification","enhancements":null,"otherId":"cm-6.1","sortId":"cm-06.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-6(1)"},{"objectives":[{"objectiveType":"","otherId":"cm-6_smt.a","name":"a.","description":"<ul><li>a. Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using {{ insert: param, CM-6(a) }};</li></ul>","uuid":"eccea71d-42c7-4927-b126-1d66014317b7"},{"objectiveType":"","otherId":"cm-6_smt.b","name":"b.","description":"<ul><li>b. Implement the configuration settings;</li></ul>","uuid":"f40d7a80-cab7-49db-a1d6-c9e595e55479"},{"objectiveType":"","otherId":"cm-6_smt.c","name":"c.","description":"<ul><li>c. Identify, document, and approve any deviations from established configuration settings for {{ insert: param, CM-6(c)-1 }} based on {{ insert: param, CM-6(c)-2 }} ; and</li></ul>","uuid":"01dd0940-e602-4683-95a6-4b482e3cb194"},{"objectiveType":"","otherId":"cm-6_smt.d","name":"d.","description":"<ul><li>d. Monitor and control changes to the configuration settings in accordance with organizational policies and procedures.</li></ul>","uuid":"15600c36-8919-4d53-909c-88d7a7c7610e"}],"description":"<ul><li>a. Establish and document configuration settings for components employed within the system that reflect the most restrictive mode consistent with operational requirements using {{ insert: param, CM-6(a) }};</li><li>b. Implement the configuration settings;</li><li>c. Identify, document, and approve any deviations from established configuration settings for {{ insert: param, CM-6(c)-1 }} based on {{ insert: param, CM-6(c)-2 }} ; and</li><li>d. Monitor and control changes to the configuration settings in accordance with organizational policies and procedures.</li></ul><br/><strong>Guidance</strong><p>Configuration settings are the parameters that can be changed in the hardware, software, or firmware components of the system that affect the security and privacy posture or functionality of the system. Information technology products for which configuration settings can be defined include mainframe computers, servers, workstations, operating systems, mobile devices, input/output devices, protocols, and applications. Parameters that impact the security posture of systems include registry settings; account, file, or directory permission settings; and settings for functions, protocols, ports, services, and remote connections. Privacy parameters are parameters impacting the privacy posture of systems, including the parameters required to satisfy other privacy controls. Privacy parameters include settings for access controls, data processing preferences, and processing and retention permissions. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for systems. The established settings become part of the configuration baseline for the system.</p><p>Common secure configurations (also known as security configuration checklists, lockdown and hardening guides, and security reference guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for information technology products and platforms as well as instructions for configuring those products or platforms to meet operational requirements. Common secure configurations can be developed by a variety of organizations, including information technology product developers, manufacturers, vendors, federal agencies, consortia, academia, industry, and other organizations in the public and private sectors.</p><p>Implementation of a common secure configuration may be mandated at the organization level, mission and business process level, system level, or at a higher level, including by a regulatory agency. Common secure configurations include the United States Government Configuration Baseline <a href=\"#98498928-3ca3-44b3-8b1e-f48685373087\">USGCB</a> and security technical implementation guides (STIGs), which affect the implementation of <a href=\"#cm-6\">CM-6</a> and other controls such as <a href=\"#ac-19\">AC-19</a> and <a href=\"#cm-7\">CM-7</a> . The Security Content Automation Protocol (SCAP) and the defined standards within the protocol provide an effective method to uniquely identify, track, and control configuration settings.</p><br/><strong>CM-6 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Compliance checks are used to evaluate configuration settings and provide general insight into the overall effectiveness of configuration management activities. CSPs and 3PAOs typically combine compliance check findings into a single CM-6 finding, which is acceptable. However, for initial assessments, annual assessments, and significant change requests, FedRAMP requires a clear understanding, on a per-control basis, where risks exist. Therefore, 3PAOs must also analyze compliance check findings as part of the controls assessment. Where a direct mapping exists, the 3PAO must document additional findings per control in the corresponding SAR Risk Exposure Table (RET), which are then documented in the CSP's Plan of Action and Milestones (POA&M). This will likely result in the details of individual control findings overlapping with those in the combined CM-6 finding, which is acceptable.During monthly continuous monitoring, new findings from CSP compliance checks may be combined into a single CM-6 POA&M item. CSPs are not required to map the findings to specific controls because controls are only assessed during initial assessments, annual assessments, and significant change requests.</li><li><b>(a) Requirement 1:</b> The service provider shall use the DoD STIGs to establish configuration settings; Center for Internet Security up to Level 2 (CIS Level 2) guidelines shall be used if STIGs are not available; Custom baselines shall be used if CIS is not available.</li><li><b>(a) Requirement 2:</b> The service provider shall ensure that checklists for configuration settings are Security Content Automation Protocol (SCAP) validated or SCAP compatible (if validated checklists are not available).</li></ul>","uuid":"cfc3adf9-2f40-466f-8b6d-f50182af9ff8","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"common secure configurations to establish and document configuration settings for components employed within the system are defined;","uuid":"3a821578-bc9f-495c-bd31-d56907cf650a","otherId":"cm-06_odp.01","parameterId":"CM-6(a)","text":"common secure configurations","default":" [Assignment: organization-defined common secure configurations] "},{"constraints":"","displayName":"","dataType":"","guidance":"system components for which approval of deviations is needed are defined;","uuid":"939b6422-2f9b-4543-a4e8-ccb6ea038c01","otherId":"cm-06_odp.02","parameterId":"CM-6(c)-1","text":"system components","default":" [Assignment: organization-defined system components] "},{"constraints":"","displayName":"","dataType":"","guidance":"operational requirements necessitating approval of deviations are defined;","uuid":"b856393f-6899-4106-9b93-19cb5b8d052a","otherId":"cm-06_odp.03","parameterId":"CM-6(c)-2","text":"operational requirements","default":" [Assignment: organization-defined operational requirements] "}],"subControls":null,"tests":[{"testId":"CM-06a.","test":"Assessment Objective: Determine if configuration settings that reflect the most restrictive mode consistent with operational requirements are established and documented for components employed within the system using {{ insert: param, cm-06_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>System component inventory.</li><li>Evidence supporting approved deviations from established configuration settings.</li><li>Change control records.</li><li>System data processing and retention permissions.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with privacy configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Mechanisms that implement, monitor, and/or control system configuration settings.</li><li>Mechanisms that identify and/or document deviations from established configuration settings.</li></ul>","otherId":"cm-6_obj.a","defaultText":null,"uuid":"e82515c2-1ac1-4a9e-ac72-08840031b8f4"},{"testId":"CM-06b.","test":"Assessment Objective: Determine if the configuration settings documented in CM-06a are implemented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>System component inventory.</li><li>Evidence supporting approved deviations from established configuration settings.</li><li>Change control records.</li><li>System data processing and retention permissions.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with privacy configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Mechanisms that implement, monitor, and/or control system configuration settings.</li><li>Mechanisms that identify and/or document deviations from established configuration settings.</li></ul>","otherId":"cm-6_obj.b","defaultText":null,"uuid":"cc97ddab-1a68-4457-8f5c-843628af9100"},{"testId":"CM-06c.[01]","test":"Assessment Objective: Determine if any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are identified and documented based on {{ insert: param, cm-06_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>System component inventory.</li><li>Evidence supporting approved deviations from established configuration settings.</li><li>Change control records.</li><li>System data processing and retention permissions.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with privacy configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Mechanisms that implement, monitor, and/or control system configuration settings.</li><li>Mechanisms that identify and/or document deviations from established configuration settings.</li></ul>","otherId":"cm-6_obj.c-1","defaultText":null,"uuid":"9c4e7b4a-7fa1-43ec-999d-cbdda7f84f6b"},{"testId":"CM-06c.[02]","test":"Assessment Objective: Determine if any deviations from established configuration settings for {{ insert: param, cm-06_odp.02 }} are approved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>System component inventory.</li><li>Evidence supporting approved deviations from established configuration settings.</li><li>Change control records.</li><li>System data processing and retention permissions.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with privacy configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Mechanisms that implement, monitor, and/or control system configuration settings.</li><li>Mechanisms that identify and/or document deviations from established configuration settings.</li></ul>","otherId":"cm-6_obj.c-2","defaultText":null,"uuid":"2a4abbd4-a1d1-4656-92c4-ad6b75046935"},{"testId":"CM-06d.[01]","test":"Assessment Objective: Determine if changes to the configuration settings are monitored in accordance with organizational policies and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>System component inventory.</li><li>Evidence supporting approved deviations from established configuration settings.</li><li>Change control records.</li><li>System data processing and retention permissions.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with privacy configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Mechanisms that implement, monitor, and/or control system configuration settings.</li><li>Mechanisms that identify and/or document deviations from established configuration settings.</li></ul>","otherId":"cm-6_obj.d-1","defaultText":null,"uuid":"61a13e73-aa63-4303-ae47-01748faa383a"},{"testId":"CM-06d.[02]","test":"Assessment Objective: Determine if changes to the configuration settings are controlled in accordance with organizational policies and procedures.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration settings for the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>System component inventory.</li><li>Evidence supporting approved deviations from established configuration settings.</li><li>Change control records.</li><li>System data processing and retention permissions.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with privacy configuration management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing configuration settings.</li><li>Mechanisms that implement, monitor, and/or control system configuration settings.</li><li>Mechanisms that identify and/or document deviations from established configuration settings.</li></ul>","otherId":"cm-6_obj.d-2","defaultText":null,"uuid":"8026884c-a1f9-468e-b76b-485c1a6c050f"}],"weight":1,"title":"CM-06 - Configuration Settings","enhancements":"<strong>Enhancements</strong><ul><li>CM-6(1) - Automated Management, Application, and Verification</li></ul>","otherId":"cm-6","sortId":"cm-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-6"},{"objectives":[{"objectiveType":"","otherId":"cm-7.1_smt.a","name":"(a)","description":"<ul><li>(a) Review the system {{ insert: param, CM-7(1)(a) }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and</li></ul>","uuid":"8dc97be1-b012-4173-872d-a7201fb4a6b5"},{"objectiveType":"","otherId":"cm-7.1_smt.b","name":"(b)","description":"<ul><li>(b) Disable or remove {{ insert: param, CM-7(1)(b) }}.</li></ul>","uuid":"a5811da4-0ad5-4b63-ab17-f17483d2a244"}],"description":"<ul><li>(a) Review the system {{ insert: param, CM-7(1)(a) }} to identify unnecessary and/or nonsecure functions, ports, protocols, software, and services; and</li><li>(b) Disable or remove {{ insert: param, CM-7(1)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Organizations review functions, ports, protocols, and services provided by systems or system components to determine the functions and services that are candidates for elimination. Such reviews are especially important during transition periods from older technologies to newer technologies (e.g., transition from IPv4 to IPv6). These technology transitions may require implementing the older and newer technologies simultaneously during the transition period and returning to minimum essential functions, ports, protocols, and services at the earliest opportunity. Organizations can either decide the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Unsecure protocols include Bluetooth, FTP, and peer-to-peer networking.</p>","uuid":"01d1e12f-5b17-4c99-9d4a-969ef8f0cf33","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"3dcf0118-f26c-4d36-b6b8-de5fb92c1b71","otherId":"cm-7.1_prm_2","parameterId":"CM-7(1)(b)","text":"organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure","default":" [Assignment: organization-defined functions, ports, protocols, software, and services within the system deemed to be unnecessary and/or nonsecure] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to review the system to identify unnecessary and/or non-secure functions, ports, protocols, software, and/or services is defined;","uuid":"a6539530-54b4-497e-8219-fe15cf34e364","otherId":"cm-07.01_odp.01","parameterId":"CM-7(1)(a)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"CM-07(01)(a)","test":"Assessment Objective: Determine if the system is reviewed {{ insert: param, cm-07.01_odp.01 }} to identify unnecessary and/or non-secure functions, ports, protocols, software, and services:<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>Documented reviews of functions, ports, protocols, and/or services.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system.</li><li>Mechanisms implementing review and disabling of functions, ports, protocols, and/or services.</li></ul>","otherId":"cm-7.1_obj.a","defaultText":null,"uuid":"bd4a6c94-a551-4940-ab21-c81d6c771af0"},{"testId":"CM-07(01)(b)[01]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-07.01_odp.02 }} deemed to be unnecessary and/or non-secure are disabled or removed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>Documented reviews of functions, ports, protocols, and/or services.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system.</li><li>Mechanisms implementing review and disabling of functions, ports, protocols, and/or services.</li></ul>","otherId":"cm-7.1_obj.b-1","defaultText":null,"uuid":"e0a6144f-5173-47c7-b67a-3d7e99963cda"},{"testId":"CM-07(01)(b)[02]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-07.01_odp.03 }} deemed to be unnecessary and/or non-secure are disabled or removed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>Documented reviews of functions, ports, protocols, and/or services.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system.</li><li>Mechanisms implementing review and disabling of functions, ports, protocols, and/or services.</li></ul>","otherId":"cm-7.1_obj.b-2","defaultText":null,"uuid":"395edf89-12ae-414c-a06c-43e51417385f"},{"testId":"CM-07(01)(b)[03]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-07.01_odp.04 }} deemed to be unnecessary and/or non-secure are disabled or removed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>Documented reviews of functions, ports, protocols, and/or services.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system.</li><li>Mechanisms implementing review and disabling of functions, ports, protocols, and/or services.</li></ul>","otherId":"cm-7.1_obj.b-3","defaultText":null,"uuid":"41ef5c31-aa4f-400d-8f0b-c76c9686ca8e"},{"testId":"CM-07(01)(b)[04]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-07.01_odp.05 }} deemed to be unnecessary and/or non-secure is disabled or removed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>Documented reviews of functions, ports, protocols, and/or services.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system.</li><li>Mechanisms implementing review and disabling of functions, ports, protocols, and/or services.</li></ul>","otherId":"cm-7.1_obj.b-4","defaultText":null,"uuid":"33c0ddd9-b35a-4f82-b38f-a8aa219a0caf"},{"testId":"CM-07(01)(b)[05]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-07.01_odp.06 }} deemed to be unnecessary and/or non-secure are disabled or removed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Common secure configuration checklists.</li><li>Documented reviews of functions, ports, protocols, and/or services.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing or disabling functions, ports, protocols, and services on the system.</li><li>Mechanisms implementing review and disabling of functions, ports, protocols, and/or services.</li></ul>","otherId":"cm-7.1_obj.b-5","defaultText":null,"uuid":"f246d2e2-07d5-43cd-81a6-bfc1b9ba1f5e"}],"weight":1,"title":"CM-07(01) - Periodic Review","enhancements":null,"otherId":"cm-7.1","sortId":"cm-07.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-7(1)"},{"objectives":[{"objectiveType":"","otherId":"cm-7.2_smt","name":"CM-7(2)","description":"Prevent program execution in accordance with {{ insert: param, CM-7(2) }}.","uuid":"13794a80-cf89-4eec-b067-8614296a5356"}],"description":"<p>Prevent program execution in accordance with {{ insert: param, CM-7(2) }}.</p><br/><strong>Guidance</strong><p>Prevention of program execution addresses organizational policies, rules of behavior, and/or access agreements that restrict software usage and the terms and conditions imposed by the developer or manufacturer, including software licensing and copyrights. Restrictions include prohibiting auto-execute features, restricting roles allowed to approve program execution, permitting or prohibiting specific software programs, or restricting the number of program instances executed at the same time.</p><br/><strong>CM-7 (2) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> This control refers to software deployment by CSP personnel into the production environment. The control requires a policy that states conditions for deploying software. This control shall be implemented in a technical manner on the information system to only allow programs to run that adhere to the policy (i.e. allow-listing). This control is not to be based off of strictly written policy on what is allowed or not allowed to run.</li></ul>","uuid":"43a327dc-585e-4572-b925-52b2f014ac87","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"fcf31b7a-db71-4500-a26f-69e5accb52a1","otherId":"cm-07.02_odp.01","parameterId":"CM-7(2)","text":"[Selection (one or more): [(NESTED PARAMETER) Assignment for cm-07.02_odp.02: policies, rules of behavior, and/or access agreements regarding software program usage and restrictions]; rules authorizing the terms and conditions of software program usage]","default":"[Selection (one or more): [(NESTED PARAMETER) Assignment for cm-07.02_odp.02: policies, rules of behavior, and/or access agreements regarding software program usage and restrictions]; rules authorizing the terms and conditions of software program usage]"}],"subControls":null,"tests":[{"testId":"CM-07(02)","test":"Assessment Objective: Determine if program execution is prevented in accordance with {{ insert: param, cm-07.02_odp.01 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>Specifications for preventing software program execution.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes preventing program execution on the system.</li><li>Organizational processes for software program usage and restrictions.</li><li>Mechanisms preventing program execution on the system.</li><li>Mechanisms supporting and/or implementing software program usage and restrictions.</li></ul>","otherId":"cm-7.2_obj","defaultText":null,"uuid":"369b4709-82b4-4eb0-895c-a0c55c4f0939"}],"weight":1,"title":"CM-07(02) - Prevent Program Execution","enhancements":null,"otherId":"cm-7.2","sortId":"cm-07.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-7(2)"},{"objectives":[{"objectiveType":"","otherId":"cm-7.5_smt.a","name":"(a)","description":"<ul><li>(a) Identify {{ insert: param, CM-7(5)(a) }};</li></ul>","uuid":"f8e220a0-a8e9-452c-b729-5b678fc3c587"},{"objectiveType":"","otherId":"cm-7.5_smt.b","name":"(b)","description":"<ul><li>(b) Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and</li></ul>","uuid":"3d7d1df6-bdd3-4a20-9d02-679499904a19"},{"objectiveType":"","otherId":"cm-7.5_smt.c","name":"(c)","description":"<ul><li>(c) Review and update the list of authorized software programs {{ insert: param, CM-7(5)(c) }}.</li></ul>","uuid":"80431eb8-6674-40ed-b710-7071d85f6117"}],"description":"<ul><li>(a) Identify {{ insert: param, CM-7(5)(a) }};</li><li>(b) Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and</li><li>(c) Review and update the list of authorized software programs {{ insert: param, CM-7(5)(c) }}.</li></ul><br/><strong>Guidance</strong><p>Authorized software programs can be limited to specific versions or from a specific source. To facilitate a comprehensive authorized software process and increase the strength of protection for attacks that bypass application level authorized software, software programs may be decomposed into and monitored at different levels of detail. These levels include applications, application programming interfaces, application modules, scripts, system processes, system services, kernel functions, registries, drivers, and dynamic link libraries. The concept of permitting the execution of authorized software may also be applied to user actions, system ports and protocols, IP addresses/ranges, websites, and MAC addresses. Organizations consider verifying the integrity of authorized software programs using digital signatures, cryptographic checksums, or hash functions. Verification of authorized software can occur either prior to execution or at system startup. The identification of authorized URLs for websites is addressed in <a href=\"#ca-3.5\">CA-3(5)</a> and <a href=\"#sc-7\">SC-7</a>.</p>","uuid":"dffe3622-d3a1-4859-92c1-b20134328d02","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"software programs authorized to execute on the system are defined;","uuid":"e33e0783-e548-4ace-a5eb-9b2f33136df2","otherId":"cm-07.05_odp.01","parameterId":"CM-7(5)(a)","text":"software programs","default":" [Assignment: organization-defined software programs] "},{"constraints":"at least quarterly or when there is a change","displayName":"","dataType":"","guidance":"frequency at which to review and update the list of authorized software programs is defined;","uuid":"97d14c57-6422-40c8-90c1-141bd18e6293","otherId":"cm-07.05_odp.02","parameterId":"CM-7(5)(c)","text":"frequency","default":"[FedRAMP Assignment: at least quarterly or when there is a change]"}],"subControls":null,"tests":[{"testId":"CM-07(05)(a)","test":"Assessment Objective: Determine if \n{{ insert: param, cm-07.05_odp.01 }} are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of software programs authorized to execute on the system.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>Review and update records associated with list of authorized software programs.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for identifying software authorized to execute on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational process for identifying, reviewing, and updating programs authorized to execute on the system.</li><li>Organizational process for implementing authorized software policy.</li><li>Mechanisms supporting and/or implementing authorized software policy.</li></ul>","otherId":"cm-7.5_obj.a","defaultText":null,"uuid":"8e57d6d3-ab70-4ae9-9b6b-6318f978babc"},{"testId":"CM-07(05)(b)","test":"Assessment Objective: Determine if a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system is employed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of software programs authorized to execute on the system.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>Review and update records associated with list of authorized software programs.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for identifying software authorized to execute on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational process for identifying, reviewing, and updating programs authorized to execute on the system.</li><li>Organizational process for implementing authorized software policy.</li><li>Mechanisms supporting and/or implementing authorized software policy.</li></ul>","otherId":"cm-7.5_obj.b","defaultText":null,"uuid":"1aad0070-dce6-4f6e-8f96-9d7f598745d4"},{"testId":"CM-07(05)(c)","test":"Assessment Objective: Determine if the list of authorized software programs is reviewed and updated {{ insert: param, cm-07.05_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of software programs authorized to execute on the system.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>Review and update records associated with list of authorized software programs.</li><li>Change control records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for identifying software authorized to execute on the system.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational process for identifying, reviewing, and updating programs authorized to execute on the system.</li><li>Organizational process for implementing authorized software policy.</li><li>Mechanisms supporting and/or implementing authorized software policy.</li></ul>","otherId":"cm-7.5_obj.c","defaultText":null,"uuid":"41afc567-3853-4f1e-8336-9e901810fb9f"}],"weight":1,"title":"CM-07(05) - Authorized Software — Allow-by-exception","enhancements":null,"otherId":"cm-7.5","sortId":"cm-07.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-7(5)"},{"objectives":[{"objectiveType":"","otherId":"cm-7_smt.a","name":"a.","description":"<ul><li>a. Configure the system to provide only {{ insert: param, CM-7(a) }} ; and</li></ul>","uuid":"385f58e4-d236-4322-899e-ce04a8bd4d4a"},{"objectiveType":"","otherId":"cm-7_smt.b","name":"b.","description":"<ul><li>b. Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, CM-7(b) }}.</li></ul>","uuid":"c0c7f8e6-c900-43bc-8a4f-2b4c0b977473"}],"description":"<ul><li>a. Configure the system to provide only {{ insert: param, CM-7(a) }} ; and</li><li>b. Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: {{ insert: param, CM-7(b) }}.</li></ul><br/><strong>Guidance</strong><p>Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see <a href=\"#sa-8\">SA-8</a>, <a href=\"#sc-2\">SC-2</a> , and <a href=\"#sc-3\">SC-3</a>).</p><br/><strong>CM-7 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(b) Requirement:</b> The service provider shall use Security guidelines (See CM-6) to establish list of prohibited or restricted functions, ports, protocols, and/or services or establishes its own list of prohibited or restricted functions, ports, protocols, and/or services if STIGs or CIS is not available.</li></ul>","uuid":"5a21e162-4ab6-4d4e-8004-9e1481ab1f87","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"b1c36d63-e4ef-478e-a2fe-237f5deddec7","otherId":"cm-7_prm_2","parameterId":"CM-7(b)","text":"organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services","default":" [Assignment: organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services] "},{"constraints":"","displayName":"","dataType":"","guidance":"mission-essential capabilities for the system are defined;","uuid":"9b229c4e-96b2-480f-9787-c971da883a01","otherId":"cm-07_odp.01","parameterId":"CM-7(a)","text":"mission-essential capabilities","default":" [Assignment: organization-defined mission-essential capabilities] "}],"subControls":null,"tests":[{"testId":"CM-07a.","test":"Assessment Objective: Determine if the system is configured to provide only {{ insert: param, cm-07_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services.</li><li>Mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services.</li></ul>","otherId":"cm-7_obj.a","defaultText":null,"uuid":"47b39662-ae4d-4752-8794-3f3c4b709fcb"},{"testId":"CM-07b.[01]","test":"Assessment Objective: Determine if the use of {{ insert: param, cm-07_odp.02 }} is prohibited or restricted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services.</li><li>Mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services.</li></ul>","otherId":"cm-7_obj.b-1","defaultText":null,"uuid":"2bcd8582-4b55-4348-bc04-f4dada9342d0"},{"testId":"CM-07b.[02]","test":"Assessment Objective: Determine if the use of {{ insert: param, cm-07_odp.03 }} is prohibited or restricted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services.</li><li>Mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services.</li></ul>","otherId":"cm-7_obj.b-2","defaultText":null,"uuid":"4ec0425d-a769-4231-b46c-a246228a9187"},{"testId":"CM-07b.[03]","test":"Assessment Objective: Determine if the use of {{ insert: param, cm-07_odp.04 }} is prohibited or restricted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services.</li><li>Mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services.</li></ul>","otherId":"cm-7_obj.b-3","defaultText":null,"uuid":"9eedfd29-c1fd-49b3-b4da-b768efc84ce8"},{"testId":"CM-07b.[04]","test":"Assessment Objective: Determine if the use of {{ insert: param, cm-07_odp.05 }} is prohibited or restricted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services.</li><li>Mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services.</li></ul>","otherId":"cm-7_obj.b-4","defaultText":null,"uuid":"9560868d-3283-4814-8c78-737972af97c2"},{"testId":"CM-07b.[05]","test":"Assessment Objective: Determine if the use of {{ insert: param, cm-07_odp.06 }} is prohibited or restricted.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing least functionality in the system.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System component inventory.</li><li>Common secure configuration checklists.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security configuration management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes prohibiting or restricting functions, ports, protocols, software, and/or services.</li><li>Mechanisms implementing restrictions or prohibition of functions, ports, protocols, software, and/or services.</li></ul>","otherId":"cm-7_obj.b-5","defaultText":null,"uuid":"31ce4868-b761-459b-8e25-92ef70d39579"}],"weight":1,"title":"CM-07 - Least Functionality","enhancements":"<strong>Enhancements</strong><ul><li>CM-7(1) - Periodic Review</li><li>CM-7(2) - Prevent Program Execution</li><li>CM-7(5) - Authorized Software — Allow-by-exception</li></ul>","otherId":"cm-7","sortId":"cm-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-7"},{"objectives":[{"objectiveType":"","otherId":"cm-8.1_smt","name":"CM-8(1)","description":"Update the inventory of system components as part of component installations, removals, and system updates.","uuid":"26879754-e360-4b29-bbfb-6b70b33061f7"}],"description":"<p>Update the inventory of system components as part of component installations, removals, and system updates.</p><br/><strong>Guidance</strong><p>Organizations can improve the accuracy, completeness, and consistency of system component inventories if the inventories are updated as part of component installations or removals or during general system updates. If inventories are not updated at these key times, there is a greater likelihood that the information will not be appropriately captured and documented. System updates include hardware, software, and firmware components.</p>","uuid":"bfa29a18-52e1-45fa-aece-04ba787d4118","family":"Configuration Management","parameters":[],"subControls":null,"tests":[{"testId":"CM-08(01)[01]","test":"Assessment Objective: Determine if the inventory of system components is updated as part of component installations;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>Change control records.</li><li>Component installation records.</li><li>Component removal records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory updating responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for updating the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory updates.</li></ul>","otherId":"cm-8.1_obj-1","defaultText":null,"uuid":"369cfff1-f076-40ff-a1f9-086635bf2b7d"},{"testId":"CM-08(01)[02]","test":"Assessment Objective: Determine if the inventory of system components is updated as part of component removals;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>Change control records.</li><li>Component installation records.</li><li>Component removal records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory updating responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for updating the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory updates.</li></ul>","otherId":"cm-8.1_obj-2","defaultText":null,"uuid":"c5b118d6-0a29-48f7-9f34-61e8f9fc6153"},{"testId":"CM-08(01)[03]","test":"Assessment Objective: Determine if the inventory of system components is updated as part of system updates.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>Change control records.</li><li>Component installation records.</li><li>Component removal records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory updating responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for updating the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory updates.</li></ul>","otherId":"cm-8.1_obj-3","defaultText":null,"uuid":"f239420e-2750-45d5-bda9-394fd7ccbf89"}],"weight":1,"title":"CM-08(01) - Updates During Installation and Removal","enhancements":null,"otherId":"cm-8.1","sortId":"cm-08.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-8(1)"},{"objectives":[{"objectiveType":"","otherId":"cm-8.3_smt.a","name":"(a)","description":"<ul><li>(a) Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, CM-8(3)(a)-1 }}{{ insert: param, CM-8(3)(a)-2 }} ; and</li></ul>","uuid":"b9f09442-abc8-43eb-965a-7da8cb3c5302"},{"objectiveType":"","otherId":"cm-8.3_smt.b","name":"(b)","description":"<ul><li>(b) Take the following actions when unauthorized components are detected: {{ insert: param, CM-8(3)(b) }}.</li></ul>","uuid":"adf5819e-d2d6-4ee1-a8eb-996890023806"}],"description":"<ul><li>(a) Detect the presence of unauthorized hardware, software, and firmware components within the system using {{ insert: param, CM-8(3)(a)-1 }}{{ insert: param, CM-8(3)(a)-2 }} ; and</li><li>(b) Take the following actions when unauthorized components are detected: {{ insert: param, CM-8(3)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Automated unauthorized component detection is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms may also be used to prevent the connection of unauthorized components (see <a href=\"#cm-7.9\">CM-7(9)</a> ). Automated mechanisms can be implemented in systems or in separate system components. When acquiring and implementing automated mechanisms, organizations consider whether such mechanisms depend on the ability of the system component to support an agent or supplicant in order to be detected since some types of components do not have or cannot support agents (e.g., IoT devices, sensors). Isolation can be achieved , for example, by placing unauthorized system components in separate domains or subnets or quarantining such components. This type of component isolation is commonly referred to as <q>sandboxing.</q>\n</p>","uuid":"01fc4e68-ae18-4610-8e2a-46def5d7d243","family":"Configuration Management","parameters":[{"constraints":"automated mechanisms with a maximum five-minute delay in detection","displayName":"","dataType":"","guidance":"","uuid":"74a447fc-29f1-4aad-b567-0c34f7620cb9","otherId":"cm-8.3_prm_1","parameterId":"CM-8(3)(a)-1","text":"organization-defined automated mechanisms","default":"[FedRAMP Assignment: automated mechanisms with a maximum five-minute delay in detection]"},{"constraints":"continuously","displayName":"","dataType":"","guidance":"frequency at which automated mechanisms are used to detect the presence of unauthorized system components within the system is defined;","uuid":"88b080bc-589b-450b-be0e-7e364887d119","otherId":"cm-08.03_odp.04","parameterId":"CM-8(3)(a)-2","text":"frequency","default":"[FedRAMP Assignment: continuously]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"33d4c55e-06ff-4861-a114-0849a5a46acb","otherId":"cm-08.03_odp.05","parameterId":"CM-8(3)(b)","text":"[Selection (one or more): disable network access by unauthorized components; isolate unauthorized components; notify [(NESTED PARAMETER) Assignment for cm-08.03_odp.06: personnel or roles]]","default":"[Selection (one or more): disable network access by unauthorized components; isolate unauthorized components; notify [(NESTED PARAMETER) Assignment for cm-08.03_odp.06: personnel or roles]]"}],"subControls":null,"tests":[{"testId":"CM-08(03)(a)[01]","test":"Assessment Objective: Determine if the presence of unauthorized hardware within the system is detected using {{ insert: param, cm-08.03_odp.01 }}\n{{ insert: param, cm-08.03_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>System component inventory.</li><li>Change control records.</li><li>Alerts/notifications of unauthorized components within the system.</li><li>System monitoring records.</li><li>System maintenance records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for detection of unauthorized system components.</li><li>Organizational processes for taking action when unauthorized system components are detected.</li><li>Automated mechanisms supporting and/or implementing the detection of unauthorized system components.</li><li>Automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected.</li></ul>","otherId":"cm-8.3_obj.a-1","defaultText":null,"uuid":"6ebacf17-8929-4d1d-87d1-bc2f3dbad4ef"},{"testId":"CM-08(03)(a)[02]","test":"Assessment Objective: Determine if the presence of unauthorized software within the system is detected using {{ insert: param, cm-08.03_odp.02 }}\n{{ insert: param, cm-08.03_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>System component inventory.</li><li>Change control records.</li><li>Alerts/notifications of unauthorized components within the system.</li><li>System monitoring records.</li><li>System maintenance records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for detection of unauthorized system components.</li><li>Organizational processes for taking action when unauthorized system components are detected.</li><li>Automated mechanisms supporting and/or implementing the detection of unauthorized system components.</li><li>Automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected.</li></ul>","otherId":"cm-8.3_obj.a-2","defaultText":null,"uuid":"b042b5a7-bf83-4bcf-96fe-e32dfd074881"},{"testId":"CM-08(03)(a)[03]","test":"Assessment Objective: Determine if the presence of unauthorized firmware within the system is detected using {{ insert: param, cm-08.03_odp.03 }}\n{{ insert: param, cm-08.03_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>System component inventory.</li><li>Change control records.</li><li>Alerts/notifications of unauthorized components within the system.</li><li>System monitoring records.</li><li>System maintenance records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for detection of unauthorized system components.</li><li>Organizational processes for taking action when unauthorized system components are detected.</li><li>Automated mechanisms supporting and/or implementing the detection of unauthorized system components.</li><li>Automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected.</li></ul>","otherId":"cm-8.3_obj.a-3","defaultText":null,"uuid":"fa561d37-ce16-4cda-b35c-4534d8890008"},{"testId":"CM-08(03)(b)[01]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized hardware is detected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>System component inventory.</li><li>Change control records.</li><li>Alerts/notifications of unauthorized components within the system.</li><li>System monitoring records.</li><li>System maintenance records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for detection of unauthorized system components.</li><li>Organizational processes for taking action when unauthorized system components are detected.</li><li>Automated mechanisms supporting and/or implementing the detection of unauthorized system components.</li><li>Automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected.</li></ul>","otherId":"cm-8.3_obj.b-1","defaultText":null,"uuid":"946fe7e5-ce77-4bc3-8c48-a8443878bff0"},{"testId":"CM-08(03)(b)[02]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized software is detected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>System component inventory.</li><li>Change control records.</li><li>Alerts/notifications of unauthorized components within the system.</li><li>System monitoring records.</li><li>System maintenance records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for detection of unauthorized system components.</li><li>Organizational processes for taking action when unauthorized system components are detected.</li><li>Automated mechanisms supporting and/or implementing the detection of unauthorized system components.</li><li>Automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected.</li></ul>","otherId":"cm-8.3_obj.b-2","defaultText":null,"uuid":"55e9afbd-a643-489f-b0a2-da46b644cb40"},{"testId":"CM-08(03)(b)[03]","test":"Assessment Objective: Determine if \n{{ insert: param, cm-08.03_odp.05 }} are taken when unauthorized firmware is detected.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>System component inventory.</li><li>Change control records.</li><li>Alerts/notifications of unauthorized components within the system.</li><li>System monitoring records.</li><li>System maintenance records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized system component detection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for detection of unauthorized system components.</li><li>Organizational processes for taking action when unauthorized system components are detected.</li><li>Automated mechanisms supporting and/or implementing the detection of unauthorized system components.</li><li>Automated mechanisms supporting and/or implementing actions taken when unauthorized system components are detected.</li></ul>","otherId":"cm-8.3_obj.b-3","defaultText":null,"uuid":"2bd1adf1-ae08-4461-b4bf-290d55661588"}],"weight":1,"title":"CM-08(03) - Automated Unauthorized Component Detection","enhancements":null,"otherId":"cm-8.3","sortId":"cm-08.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-8(3)"},{"objectives":[{"objectiveType":"","otherId":"cm-8_smt.a","name":"a.","description":"<ul><li>a. Develop and document an inventory of system components that:</li><ul><li>1. Accurately reflects the system;</li><li>2. Includes all components within the system;</li><li>3. Does not include duplicate accounting of components or components assigned to any other system;</li><li>4. Is at the level of granularity deemed necessary for tracking and reporting; and</li><li>5. Includes the following information to achieve system component accountability: {{ insert: param, CM-8(a)(5) }} ; and</li></ul>","uuid":"a0e54126-6987-4850-b2da-bab36f7ac7e3"},{"objectiveType":"","otherId":"cm-8_smt.b","name":"b.","description":"<ul><li>b. Review and update the system component inventory {{ insert: param, CM-8(b) }}.</li></ul>","uuid":"dbd2f209-021c-4bac-8696-a04af4853565"}],"description":"<ul><li>a. Develop and document an inventory of system components that:</li><ul><li>1. Accurately reflects the system;</li><li>2. Includes all components within the system;</li><li>3. Does not include duplicate accounting of components or components assigned to any other system;</li><li>4. Is at the level of granularity deemed necessary for tracking and reporting; and</li><li>5. Includes the following information to achieve system component accountability: {{ insert: param, CM-8(a)(5) }} ; and</li></ul><li>b. Review and update the system component inventory {{ insert: param, CM-8(b) }}.</li></ul><br/><strong>Guidance</strong><p>System components are discrete, identifiable information technology assets that include hardware, software, and firmware. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for component accountability. The information necessary for effective accountability of system components includes the system name, software owners, software version numbers, hardware inventory specifications, software license information, and for networked components, the machine names and network addresses across all implemented protocols (e.g., IPv4, IPv6). Inventory specifications include date of receipt, cost, model, serial number, manufacturer, supplier information, component type, and physical location.</p><p>Preventing duplicate accounting of system components addresses the lack of accountability that occurs when component ownership and system association is not known, especially in large or complex connected systems. Effective prevention of duplicate accounting of system components necessitates use of a unique identifier for each component. For software inventory, centrally managed software that is accessed via other systems is addressed as a component of the system on which it is installed and managed. Software installed on multiple organizational systems and managed at the system level is addressed for each individual system and may appear more than once in a centralized component inventory, necessitating a system association for each software instance in the centralized inventory to avoid duplicate accounting of components. Scanning systems implementing multiple network protocols (e.g., IPv4 and IPv6) can result in duplicate components being identified in different address spaces. The implementation of <a href=\"#cm-8.7\">CM-8(7)</a> can help to eliminate duplicate accounting of components.</p><br/><strong>CM-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> must be provided at least monthly or when there is a change.</li></ul>","uuid":"74aa69bc-c046-40ea-b69b-d5aa60bb7139","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"information deemed necessary to achieve effective system component accountability is defined;","uuid":"cb5ea960-fe8a-4a3a-9bba-6b721aa9c610","otherId":"cm-08_odp.01","parameterId":"CM-8(a)(5)","text":"information","default":" [Assignment: organization-defined information] "},{"constraints":"at least monthly","displayName":"","dataType":"","guidance":"frequency at which to review and update the system component inventory is defined;","uuid":"eb67d121-3138-46fa-8784-591494149ce0","otherId":"cm-08_odp.02","parameterId":"CM-8(b)","text":"frequency","default":"[FedRAMP Assignment: at least monthly]"}],"subControls":null,"tests":[{"testId":"CM-08a.01","test":"Assessment Objective: Determine if an inventory of system components that accurately reflects the system is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory.</li></ul>","otherId":"cm-8_obj.a.1","defaultText":null,"uuid":"2d2f3c3d-bc0f-44b2-b112-4a82e9c0ea54"},{"testId":"CM-08a.02","test":"Assessment Objective: Determine if an inventory of system components that includes all components within the system is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory.</li></ul>","otherId":"cm-8_obj.a.2","defaultText":null,"uuid":"61ea29c6-9298-4804-8b99-071bd0c6d724"},{"testId":"CM-08a.03","test":"Assessment Objective: Determine if an inventory of system components that does not include duplicate accounting of components or components assigned to any other system is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory.</li></ul>","otherId":"cm-8_obj.a.3","defaultText":null,"uuid":"0ec9bec3-c1d3-43bc-9df2-d1f74780611d"},{"testId":"CM-08a.04","test":"Assessment Objective: Determine if an inventory of system components that is at the level of granularity deemed necessary for tracking and reporting is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory.</li></ul>","otherId":"cm-8_obj.a.4","defaultText":null,"uuid":"97f10202-624f-457a-a801-4cbc297b2946"},{"testId":"CM-08a.05","test":"Assessment Objective: Determine if an inventory of system components that includes {{ insert: param, cm-08_odp.01 }} is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory.</li></ul>","otherId":"cm-8_obj.a.5","defaultText":null,"uuid":"c6007d2c-8ac1-4e29-9c22-d4f8520d06ec"},{"testId":"CM-08b.","test":"Assessment Objective: Determine if the system component inventory is reviewed and updated {{ insert: param, cm-08_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing system component inventory.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System component inventory.</li><li>Inventory reviews and update records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with component inventory management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing the system component inventory.</li><li>Mechanisms supporting and/or implementing system component inventory.</li></ul>","otherId":"cm-8_obj.b","defaultText":null,"uuid":"4c5c99f0-8c3c-4590-842e-0082b69760e0"}],"weight":1,"title":"CM-08 - System Component Inventory","enhancements":"<strong>Enhancements</strong><ul><li>CM-8(1) - Updates During Installation and Removal</li><li>CM-8(3) - Automated Unauthorized Component Detection</li></ul>","otherId":"cm-8","sortId":"cm-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-8"},{"objectives":[{"objectiveType":"","otherId":"cm-9_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and implement a configuration management plan for the system that: Addresses roles, responsibilities, and configuration management processes and procedures;</li></ul>","uuid":"a89d9f4c-4e66-4100-a5d8-5a14047c6be3"},{"objectiveType":"","otherId":"cm-9_smt.b","name":"b.","description":"<ul><li>b. Develop, document, and implement a configuration management plan for the system that: Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;</li></ul>","uuid":"8492dc0d-e471-40e8-bea1-b65c91eed531"},{"objectiveType":"","otherId":"cm-9_smt.c","name":"c.","description":"<ul><li>c. Develop, document, and implement a configuration management plan for the system that: Defines the configuration items for the system and places the configuration items under configuration management;</li></ul>","uuid":"34498758-a793-464a-9873-37ff4ba08351"},{"objectiveType":"","otherId":"cm-9_smt.d","name":"d.","description":"<ul><li>d. Develop, document, and implement a configuration management plan for the system that: Is reviewed and approved by {{ insert: param, CM-9(d) }} ; and</li></ul>","uuid":"c26c1b7e-a40d-4acd-85ab-1b054229ab97"},{"objectiveType":"","otherId":"cm-9_smt.e","name":"e.","description":"<ul><li>e. Develop, document, and implement a configuration management plan for the system that: Protects the configuration management plan from unauthorized disclosure and modification.</li></ul>","uuid":"52b06f6f-82da-42a9-b783-5b3be525b06a"}],"description":"<p>Develop, document, and implement a configuration management plan for the system that:</p><ul><li>a. Addresses roles, responsibilities, and configuration management processes and procedures;</li><li>b. Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;</li><li>c. Defines the configuration items for the system and places the configuration items under configuration management;</li><li>d. Is reviewed and approved by {{ insert: param, CM-9(d) }} ; and</li><li>e. Protects the configuration management plan from unauthorized disclosure and modification.</li></ul><br/><strong>Guidance</strong><p>Configuration management activities occur throughout the system development life cycle. As such, there are developmental configuration management activities (e.g., the control of code and software libraries) and operational configuration management activities (e.g., control of installed components and how the components are configured). Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Configuration management plans define processes and procedures for how configuration management is used to support system development life cycle activities.</p><p>Configuration management plans are generated during the development and acquisition stage of the system development life cycle. The plans describe how to advance changes through change management processes; update configuration settings and baselines; maintain component inventories; control development, test, and operational environments; and develop, release, and update key documents.</p><p>Organizations can employ templates to help ensure the consistent and timely development and implementation of configuration management plans. Templates can represent a configuration management plan for the organization with subsets of the plan implemented on a system by system basis. Configuration management approval processes include the designation of key stakeholders responsible for reviewing and approving proposed changes to systems, and personnel who conduct security and privacy impact analyses prior to the implementation of changes to the systems. Configuration items are the system components, such as the hardware, software, firmware, and documentation to be configuration-managed. As systems continue through the system development life cycle, new configuration items may be identified, and some existing configuration items may no longer need to be under configuration control.</p>","uuid":"89976a84-6751-4c6c-847e-66640c9f34d8","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to review and approve the configuration management plan is/are defined;","uuid":"567998af-e2d5-48fb-988e-225614bf80f7","otherId":"cm-09_odp","parameterId":"CM-9(d)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"CM-09[01]","test":"Assessment Objective: Determine if a configuration management plan for the system is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj-1","defaultText":null,"uuid":"5ef8b6a0-f017-4157-80ba-bf6e1f2fb9d7"},{"testId":"CM-09[02]","test":"Assessment Objective: Determine if a configuration management plan for the system is implemented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj-2","defaultText":null,"uuid":"3fb3c0ff-1206-45c1-b649-b02095fad9ea"},{"testId":"CM-09a.[01]","test":"Assessment Objective: Determine if the configuration management plan addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.a-1","defaultText":null,"uuid":"9db73d73-6031-44e8-a588-097958c33e6b"},{"testId":"CM-09a.[02]","test":"Assessment Objective: Determine if the configuration management plan addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.a-2","defaultText":null,"uuid":"1a76cbe0-0c76-4b29-b13b-95cd6eb84655"},{"testId":"CM-09a.[03]","test":"Assessment Objective: Determine if the configuration management plan addresses configuration management processes and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.a-3","defaultText":null,"uuid":"25b8085f-c204-49ca-87b8-f8c18200b128"},{"testId":"CM-09b.[01]","test":"Assessment Objective: Determine if the configuration management plan establishes a process for identifying configuration items throughout the system development life cycle;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.b-1","defaultText":null,"uuid":"66ebd20c-9604-4c29-b650-6319e4d0ca07"},{"testId":"CM-09b.[02]","test":"Assessment Objective: Determine if the configuration management plan establishes a process for managing the configuration of the configuration items;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.b-2","defaultText":null,"uuid":"8f13306a-8d0e-4a3f-b64f-cb56ded27b26"},{"testId":"CM-09c.[01]","test":"Assessment Objective: Determine if the configuration management plan defines the configuration items for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.c-1","defaultText":null,"uuid":"742ea69e-cd9c-4871-8dfe-781836a207ab"},{"testId":"CM-09c.[02]","test":"Assessment Objective: Determine if the configuration management plan places the configuration items under configuration management;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.c-2","defaultText":null,"uuid":"8d44324e-be98-473c-8143-eead05f57356"},{"testId":"CM-09d.","test":"Assessment Objective: Determine if the configuration management plan is reviewed and approved by {{ insert: param, cm-09_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.d","defaultText":null,"uuid":"d0079042-4a2f-48cb-853f-1758785eddf9"},{"testId":"CM-09e.[01]","test":"Assessment Objective: Determine if the configuration management plan is protected from unauthorized disclosure;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.e-1","defaultText":null,"uuid":"ab7e07e6-9096-45d1-9646-4969a81bf70b"},{"testId":"CM-09e.[02]","test":"Assessment Objective: Determine if the configuration management plan is protected from unauthorized modification.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing configuration management planning.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for developing the configuration management plan.</li><li>Organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan.</li><li>Organizational personnel with responsibilities for protecting the configuration management plan.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing and documenting the configuration management plan.</li><li>Organizational processes for identifying and managing configuration items.</li><li>Organizational processes for protecting the configuration management plan.</li><li>Mechanisms implementing the configuration management plan.</li><li>Mechanisms for managing configuration items.</li><li>Mechanisms for protecting the configuration management plan.</li></ul>","otherId":"cm-9_obj.e-2","defaultText":null,"uuid":"94245e69-f804-4212-8a65-6fe82ea72303"}],"weight":1,"title":"CM-09 - Configuration Management Plan","enhancements":"","otherId":"cm-9","sortId":"cm-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-9"},{"objectives":[{"objectiveType":"","otherId":"cm-10_smt.a","name":"a.","description":"<ul><li>a. Use software and associated documentation in accordance with contract agreements and copyright laws;</li></ul>","uuid":"7a487f1e-1063-41d0-b4f2-831ceeb1d09c"},{"objectiveType":"","otherId":"cm-10_smt.b","name":"b.","description":"<ul><li>b. Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and</li></ul>","uuid":"31ca4e98-6e97-46f3-850a-600f87bcc798"},{"objectiveType":"","otherId":"cm-10_smt.c","name":"c.","description":"<ul><li>c. Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.</li></ul>","uuid":"aeaff98a-1fa5-4709-9bb2-a854abf68c54"}],"description":"<ul><li>a. Use software and associated documentation in accordance with contract agreements and copyright laws;</li><li>b. Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and</li><li>c. Control and document the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.</li></ul><br/><strong>Guidance</strong><p>Software license tracking can be accomplished by manual or automated methods, depending on organizational needs. Examples of contract agreements include software license agreements and non-disclosure agreements.</p>","uuid":"34d0f592-d72e-44bf-8215-c5e979bedfb4","family":"Configuration Management","parameters":[],"subControls":null,"tests":[{"testId":"CM-10a.","test":"Assessment Objective: Determine if software and associated documentation are used in accordance with contract agreements and copyright laws;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Software usage restrictions.</li><li>Software contract agreements and copyright laws.</li><li>Site license documentation.</li><li>List of software usage restrictions.</li><li>Software license tracking reports.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>Organizational personnel with software license management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for tracking the use of software protected by quantity licenses.</li><li>Organizational processes for controlling/documenting the use of peer-to-peer file sharing technology.</li><li>Mechanisms implementing software license tracking.</li><li>Mechanisms implementing and controlling the use of peer-to-peer files sharing technology.</li></ul>","otherId":"cm-10_obj.a","defaultText":null,"uuid":"e15a7efe-a51c-491e-bc02-cd30782bfe4b"},{"testId":"CM-10b.","test":"Assessment Objective: Determine if the use of software and associated documentation protected by quantity licenses is tracked to control copying and distribution;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Software usage restrictions.</li><li>Software contract agreements and copyright laws.</li><li>Site license documentation.</li><li>List of software usage restrictions.</li><li>Software license tracking reports.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>Organizational personnel with software license management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for tracking the use of software protected by quantity licenses.</li><li>Organizational processes for controlling/documenting the use of peer-to-peer file sharing technology.</li><li>Mechanisms implementing software license tracking.</li><li>Mechanisms implementing and controlling the use of peer-to-peer files sharing technology.</li></ul>","otherId":"cm-10_obj.b","defaultText":null,"uuid":"05756b49-f1a8-4a6a-87a1-b9d08980bd3e"},{"testId":"CM-10c.","test":"Assessment Objective: Determine if the use of peer-to-peer file sharing technology is controlled and documented to ensure that peer-to-peer file sharing is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Software usage restrictions.</li><li>Software contract agreements and copyright laws.</li><li>Site license documentation.</li><li>List of software usage restrictions.</li><li>Software license tracking reports.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>Organizational personnel with software license management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for tracking the use of software protected by quantity licenses.</li><li>Organizational processes for controlling/documenting the use of peer-to-peer file sharing technology.</li><li>Mechanisms implementing software license tracking.</li><li>Mechanisms implementing and controlling the use of peer-to-peer files sharing technology.</li></ul>","otherId":"cm-10_obj.c","defaultText":null,"uuid":"fb5df100-47ae-41a9-9b23-9a3d38ddcae3"}],"weight":1,"title":"CM-10 - Software Usage Restrictions","enhancements":"","otherId":"cm-10","sortId":"cm-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-10"},{"objectives":[{"objectiveType":"","otherId":"cm-11_smt.a","name":"a.","description":"<ul><li>a. Establish {{ insert: param, CM-11(a) }} governing the installation of software by users;</li></ul>","uuid":"6c4dd905-dfcb-45af-b999-ae0a06a1278e"},{"objectiveType":"","otherId":"cm-11_smt.b","name":"b.","description":"<ul><li>b. Enforce software installation policies through the following methods: {{ insert: param, CM-11(b) }} ; and</li></ul>","uuid":"6f484054-67d2-4fcc-8695-3fdabe5f1b09"},{"objectiveType":"","otherId":"cm-11_smt.c","name":"c.","description":"<ul><li>c. Monitor policy compliance {{ insert: param, CM-11(c) }}.</li></ul>","uuid":"3a857655-fa6d-420f-a234-8e4eec9a57dd"}],"description":"<ul><li>a. Establish {{ insert: param, CM-11(a) }} governing the installation of software by users;</li><li>b. Enforce software installation policies through the following methods: {{ insert: param, CM-11(b) }} ; and</li><li>c. Monitor policy compliance {{ insert: param, CM-11(c) }}.</li></ul><br/><strong>Guidance</strong><p>If provided the necessary privileges, users can install software in organizational systems. To maintain control over the software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations include updates and security patches to existing software and downloading new applications from organization-approved <q>app stores.</q> Prohibited software installations include software with unknown or suspect pedigrees or software that organizations consider potentially malicious. Policies selected for governing user-installed software are organization-developed or provided by some external entity. Policy enforcement methods can include procedural methods and automated methods.</p>","uuid":"1144e817-df7f-4af0-b840-863a0e2d7589","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"policies governing the installation of software by users are defined;","uuid":"d9652a90-300e-4b2a-99f4-6b4ac9ac00e2","otherId":"cm-11_odp.01","parameterId":"CM-11(a)","text":"policies","default":" [Assignment: organization-defined policies] "},{"constraints":"","displayName":"","dataType":"","guidance":"methods used to enforce software installation policies are defined;","uuid":"3b26cd25-3550-4ee9-b8de-d69678e1118c","otherId":"cm-11_odp.02","parameterId":"CM-11(b)","text":"methods","default":" [Assignment: organization-defined methods] "},{"constraints":"Continuously (via CM-7 (5))","displayName":"","dataType":"","guidance":"frequency with which to monitor compliance is defined;","uuid":"6b27333c-095f-4ae4-8bc6-b93bb2781d17","otherId":"cm-11_odp.03","parameterId":"CM-11(c)","text":"frequency","default":"[FedRAMP Assignment: Continuously (via CM-7 (5))]"}],"subControls":null,"tests":[{"testId":"CM-11a.","test":"Assessment Objective: Determine if \n{{ insert: param, cm-11_odp.01 }} governing the installation of software by users are established;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing user-installed software.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of rules governing user installed software.</li><li>System monitoring records.</li><li>System audit records.</li><li>Continuous monitoring strategy.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for governing user-installed software.</li><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>Organizational personnel monitoring compliance with user-installed software policy.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing user-installed software on the system.</li><li>Mechanisms enforcing policies and methods for governing the installation of software by users.</li><li>Mechanisms monitoring policy compliance.</li></ul>","otherId":"cm-11_obj.a","defaultText":null,"uuid":"040fe83c-0c01-4bba-8941-3dd01c2dd0c3"},{"testId":"CM-11b.","test":"Assessment Objective: Determine if software installation policies are enforced through {{ insert: param, cm-11_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing user-installed software.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of rules governing user installed software.</li><li>System monitoring records.</li><li>System audit records.</li><li>Continuous monitoring strategy.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for governing user-installed software.</li><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>Organizational personnel monitoring compliance with user-installed software policy.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing user-installed software on the system.</li><li>Mechanisms enforcing policies and methods for governing the installation of software by users.</li><li>Mechanisms monitoring policy compliance.</li></ul>","otherId":"cm-11_obj.b","defaultText":null,"uuid":"a4e7d1e0-7048-4353-b186-f8963ac8eca2"},{"testId":"CM-11c.","test":"Assessment Objective: Determine if compliance with {{ insert: param, cm-11_odp.01 }} is monitored {{ insert: param, cm-11_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing user-installed software.</li><li>Configuration management plan.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of rules governing user installed software.</li><li>System monitoring records.</li><li>System audit records.</li><li>Continuous monitoring strategy.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for governing user-installed software.</li><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>Organizational personnel monitoring compliance with user-installed software policy.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing user-installed software on the system.</li><li>Mechanisms enforcing policies and methods for governing the installation of software by users.</li><li>Mechanisms monitoring policy compliance.</li></ul>","otherId":"cm-11_obj.c","defaultText":null,"uuid":"89bdbf50-dc2a-44ad-815b-802fc7d034f4"}],"weight":1,"title":"CM-11 - User-installed Software","enhancements":"","otherId":"cm-11","sortId":"cm-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-11"},{"objectives":[{"objectiveType":"","otherId":"cm-12.1_smt","name":"CM-12(1)","description":"Use automated tools to identify {{ insert: param, CM-12(1)-1 }} on {{ insert: param, CM-12(1)-2 }} to ensure controls are in place to protect organizational information and individual privacy.","uuid":"cafd0f64-dfdf-4e22-879d-5ce4d138244c"}],"description":"<p>Use automated tools to identify {{ insert: param, CM-12(1)-1 }} on {{ insert: param, CM-12(1)-2 }} to ensure controls are in place to protect organizational information and individual privacy.</p><br/><strong>Guidance</strong><p>The use of automated tools helps to increase the effectiveness and efficiency of the information location capability implemented within the system. Automation also helps organizations manage the data produced during information location activities and share such information across the organization. The output of automated information location tools can be used to guide and inform system architecture and design decisions.</p><br/><strong>CM-12 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> According to FedRAMP Authorization Boundary Guidance.</li></ul>","uuid":"4295d288-f0f1-40f3-8c05-7a2252736a62","family":"Configuration Management","parameters":[{"constraints":"Federal data and system data that must be protected at the High or Moderate impact levels","displayName":"","dataType":"","guidance":"information to be protected is defined by information type;","uuid":"fe4c1f33-cca1-433c-b4d3-7e18eee78961","otherId":"cm-12.01_odp.01","parameterId":"CM-12(1)-1","text":"information by information type","default":"[FedRAMP Assignment: Federal data and system data that must be protected at the High or Moderate impact levels]"},{"constraints":"","displayName":"","dataType":"","guidance":"system components where the information is located are defined;","uuid":"9b003ae7-59c7-4b31-b05c-b903d1435cd8","otherId":"cm-12.01_odp.02","parameterId":"CM-12(1)-2","text":"system components","default":" [Assignment: organization-defined system components] "}],"subControls":null,"tests":[{"testId":"CM-12(01)","test":"Assessment Objective: Determine if automated tools are used to identify {{ insert: param, cm-12.01_odp.01 }} on {{ insert: param, cm-12.01_odp.02 }} to ensure that controls are in place to protect organizational information and individual privacy.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Automated mechanisms enforcing policies and methods for governing information location.</li><li>Automated tools used to identify information on system components.</li></ul>","otherId":"cm-12.1_obj","defaultText":null,"uuid":"4c4b301f-6915-4556-923e-6a77920e3d51"}],"weight":1,"title":"CM-12(01) - Automated Tools to Support Information Location","enhancements":null,"otherId":"cm-12.1","sortId":"cm-12.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-12(1)"},{"objectives":[{"objectiveType":"","otherId":"cm-12_smt.a","name":"a.","description":"<ul><li>a. Identify and document the location of {{ insert: param, CM-12(a) }} and the specific system components on which the information is processed and stored;</li></ul>","uuid":"aac67b56-9af5-4ade-8f37-d53de4d6fcbc"},{"objectiveType":"","otherId":"cm-12_smt.b","name":"b.","description":"<ul><li>b. Identify and document the users who have access to the system and system components where the information is processed and stored; and</li></ul>","uuid":"bb3ea19d-a023-451d-9bdf-1a4a38ad7744"},{"objectiveType":"","otherId":"cm-12_smt.c","name":"c.","description":"<ul><li>c. Document changes to the location (i.e., system or system components) where the information is processed and stored.</li></ul>","uuid":"55df3c84-185f-4c5e-ae3e-f036fab6dde6"}],"description":"<ul><li>a. Identify and document the location of {{ insert: param, CM-12(a) }} and the specific system components on which the information is processed and stored;</li><li>b. Identify and document the users who have access to the system and system components where the information is processed and stored; and</li><li>c. Document changes to the location (i.e., system or system components) where the information is processed and stored.</li></ul><br/><strong>Guidance</strong><p>Information location addresses the need to understand where information is being processed and stored. Information location includes identifying where specific information types and information reside in system components and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components. The security category of the information is also a factor in determining the controls necessary to protect the information and the system component where the information resides (see <a href=\"#628d22a1-6a11-4784-bc59-5cd9497b5445\">FIPS 199</a> ). The location of the information and system components is also a factor in the architecture and design of the system (see <a href=\"#sa-4\">SA-4</a>, <a href=\"#sa-8\">SA-8</a>, <a href=\"#sa-17\">SA-17</a>).</p><br/><strong>CM-12 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> According to FedRAMP Authorization Boundary Guidance</li></ul>","uuid":"9b79c2bd-fb31-48d0-8263-177e7366c8e2","family":"Configuration Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"information for which the location is to be identified and documented is defined;","uuid":"b3f91c18-90f4-44c5-ba00-1f45fc5517f0","otherId":"cm-12_odp","parameterId":"CM-12(a)","text":"information","default":" [Assignment: organization-defined information] "}],"subControls":null,"tests":[{"testId":"CM-12a.[01]","test":"Assessment Objective: Determine if the location of {{ insert: param, cm-12_odp }} is identified and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Audit records.</li><li>List of users with system and system component access.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location and user access to information.</li><li>Organizational personnel with responsibilities for operating, using, and/or maintaining the system.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Mechanisms enforcing policies and methods for governing information location.</li></ul>","otherId":"cm-12_obj.a-1","defaultText":null,"uuid":"4d976b00-94ed-4826-aee4-ae440d81dfda"},{"testId":"CM-12a.[02]","test":"Assessment Objective: Determine if the specific system components on which {{ insert: param, cm-12_odp }} is processed are identified and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Audit records.</li><li>List of users with system and system component access.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location and user access to information.</li><li>Organizational personnel with responsibilities for operating, using, and/or maintaining the system.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Mechanisms enforcing policies and methods for governing information location.</li></ul>","otherId":"cm-12_obj.a-2","defaultText":null,"uuid":"058455f3-01bf-4a6a-9ba4-c4308972d3b4"},{"testId":"CM-12a.[03]","test":"Assessment Objective: Determine if the specific system components on which {{ insert: param, cm-12_odp }} is stored are identified and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Audit records.</li><li>List of users with system and system component access.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location and user access to information.</li><li>Organizational personnel with responsibilities for operating, using, and/or maintaining the system.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Mechanisms enforcing policies and methods for governing information location.</li></ul>","otherId":"cm-12_obj.a-3","defaultText":null,"uuid":"cbe9f69a-4ab3-45b1-869d-476c0dfab6ab"},{"testId":"CM-12b.[01]","test":"Assessment Objective: Determine if the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is processed are identified and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Audit records.</li><li>List of users with system and system component access.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location and user access to information.</li><li>Organizational personnel with responsibilities for operating, using, and/or maintaining the system.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Mechanisms enforcing policies and methods for governing information location.</li></ul>","otherId":"cm-12_obj.b-1","defaultText":null,"uuid":"542774d0-320d-48a8-81c7-b836ba35179f"},{"testId":"CM-12b.[02]","test":"Assessment Objective: Determine if the users who have access to the system and system components where {{ insert: param, cm-12_odp }} is stored are identified and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Audit records.</li><li>List of users with system and system component access.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location and user access to information.</li><li>Organizational personnel with responsibilities for operating, using, and/or maintaining the system.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Mechanisms enforcing policies and methods for governing information location.</li></ul>","otherId":"cm-12_obj.b-2","defaultText":null,"uuid":"e91cb529-b9c3-43e4-ab5f-469d7651301c"},{"testId":"CM-12c.[01]","test":"Assessment Objective: Determine if changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is processed are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Audit records.</li><li>List of users with system and system component access.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location and user access to information.</li><li>Organizational personnel with responsibilities for operating, using, and/or maintaining the system.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Mechanisms enforcing policies and methods for governing information location.</li></ul>","otherId":"cm-12_obj.c-1","defaultText":null,"uuid":"b9a23b57-adc9-4d01-b4c9-ccc0b8a82dd7"},{"testId":"CM-12c.[02]","test":"Assessment Objective: Determine if changes to the location (i.e., system or system components) where {{ insert: param, cm-12_odp }} is stored are documented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Configuration management policy.</li><li>Procedures addressing identification and documentation of information location.</li><li>Configuration management plan.</li><li>System design documentation.</li><li>System architecture documentation.</li><li>Pii inventory documentation.</li><li>Data mapping documentation.</li><li>Audit records.</li><li>List of users with system and system component access.</li><li>Change control records.</li><li>System component inventory.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for managing information location and user access to information.</li><li>Organizational personnel with responsibilities for operating, using, and/or maintaining the system.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes governing information location.</li><li>Mechanisms enforcing policies and methods for governing information location.</li></ul>","otherId":"cm-12_obj.c-2","defaultText":null,"uuid":"0a65eecf-15ae-4013-a0de-1bbc46082af5"}],"weight":1,"title":"CM-12 - Information Location","enhancements":"<strong>Enhancements</strong><ul><li>CM-12(1) - Automated Tools to Support Information Location</li></ul>","otherId":"cm-12","sortId":"cm-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CM-12"},{"objectives":[{"objectiveType":"","otherId":"cp-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, CP-1(a) }}:</li><ul><li>1. {{ insert: param, CP-1(a)(1) }} contingency planning policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;</li></ul>","uuid":"0e3b05a6-e99f-47b9-baf6-a0723434b3e4"},{"objectiveType":"","otherId":"cp-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, CP-1(b) }} to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and</li></ul>","uuid":"96b22811-990b-463d-8436-6c36578dae9c"},{"objectiveType":"","otherId":"cp-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current contingency planning:</li><ul><li>1. Policy {{ insert: param, CP-1(c)(1)-1 }} and following {{ insert: param, CP-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, CP-1(c)(2)-1 }} and following {{ insert: param, CP-1(c)(2)-2 }}.</li></ul>","uuid":"ccbd869a-aef6-46a6-8ec8-3b02a61ea35c"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, CP-1(a) }}:</li><ul><li>1. {{ insert: param, CP-1(a)(1) }} contingency planning policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;</li></ul><li>b. Designate an {{ insert: param, CP-1(b) }} to manage the development, documentation, and dissemination of the contingency planning policy and procedures; and</li><li>c. Review and update the current contingency planning:</li><ul><li>1. Policy {{ insert: param, CP-1(c)(1)-1 }} and following {{ insert: param, CP-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, CP-1(c)(2)-1 }} and following {{ insert: param, CP-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Contingency planning policy and procedures address the controls in the CP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of contingency planning policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to contingency planning policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"bf392bec-421a-4e0a-9a4c-636315b0449e","family":"Contingency Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"6ba3e5f3-13dd-492b-9fd7-aa7adf4d91fd","otherId":"cp-1_prm_1","parameterId":"CP-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"27c546d9-7051-49bd-b212-c3155f8b6938","otherId":"cp-01_odp.03","parameterId":"CP-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the contingency planning policy and procedures is defined;","uuid":"62e47bca-5fbe-4a54-9303-6e7aae49aec4","otherId":"cp-01_odp.04","parameterId":"CP-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current contingency planning policy is reviewed and updated is defined;","uuid":"f3aaaae7-6520-4688-b470-73537186cccf","otherId":"cp-01_odp.05","parameterId":"CP-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current contingency planning policy to be reviewed and updated are defined;","uuid":"9d5e5c0a-dbb5-4743-9fe6-3e53381e8702","otherId":"cp-01_odp.06","parameterId":"CP-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current contingency planning procedures are reviewed and updated is defined;","uuid":"65ba4032-cf0e-4c9c-83f4-50ca94867c93","otherId":"cp-01_odp.07","parameterId":"CP-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require procedures to be reviewed and updated are defined;","uuid":"02ed8059-f8d9-4500-b932-1a5090335893","otherId":"cp-01_odp.08","parameterId":"CP-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"CP-01a.[01]","test":"Assessment Objective: Determine if a contingency planning policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a-1","defaultText":null,"uuid":"3932641d-cf05-4749-927e-2e3934e4037e"},{"testId":"CP-01a.[02]","test":"Assessment Objective: Determine if the contingency planning policy is disseminated to {{ insert: param, cp-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a-2","defaultText":null,"uuid":"fe140b25-fdeb-40f8-81e4-62c80f1b8c06"},{"testId":"CP-01a.[03]","test":"Assessment Objective: Determine if contingency planning procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a-3","defaultText":null,"uuid":"dbd59e13-2b41-40c4-be78-8374d7676d9d"},{"testId":"CP-01a.[04]","test":"Assessment Objective: Determine if the contingency planning procedures are disseminated to {{ insert: param, cp-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a-4","defaultText":null,"uuid":"e03844fb-cc3e-4fca-b5e8-989a181b0759"},{"testId":"CP-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.a-1","defaultText":null,"uuid":"7fb63164-1146-4183-9f86-4fbe80f21c96"},{"testId":"CP-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.a-2","defaultText":null,"uuid":"cfb35da0-b6b6-4457-871a-bec1aa02998c"},{"testId":"CP-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.a-3","defaultText":null,"uuid":"9818ddc4-6818-48db-8fc7-ed3ceb494220"},{"testId":"CP-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.a-4","defaultText":null,"uuid":"bd80d8e4-14b2-49e3-8c4c-ab6206978ce2"},{"testId":"CP-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.a-5","defaultText":null,"uuid":"282a843f-a873-4b98-9637-cfeae8a07662"},{"testId":"CP-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.a-6","defaultText":null,"uuid":"920034f4-1247-4886-853a-ca9646ea33c1"},{"testId":"CP-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.a-7","defaultText":null,"uuid":"739864d8-b037-431f-a510-72688819e2d3"},{"testId":"CP-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.03 }} contingency planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.a.1.b","defaultText":null,"uuid":"cf07009e-50d9-4c8b-af00-d8718a2b78e8"},{"testId":"CP-01b.","test":"Assessment Objective: Determine if the {{ insert: param, cp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the contingency planning policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.b","defaultText":null,"uuid":"8e3256bc-f80e-4fcc-b30d-f6c53a6e8f62"},{"testId":"CP-01c.01[01]","test":"Assessment Objective: Determine if the current contingency planning policy is reviewed and updated {{ insert: param, cp-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.c.1-1","defaultText":null,"uuid":"194376dc-861f-4cba-9b88-617ea48b8a8e"},{"testId":"CP-01c.01[02]","test":"Assessment Objective: Determine if the current contingency planning policy is reviewed and updated following {{ insert: param, cp-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.c.1-2","defaultText":null,"uuid":"76a4c278-be32-456b-a581-13eb3e324ed1"},{"testId":"CP-01c.02[01]","test":"Assessment Objective: Determine if the current contingency planning procedures are reviewed and updated {{ insert: param, cp-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.c.2-1","defaultText":null,"uuid":"57f4c7c5-bf86-4c59-bcc0-379ebcd27148"},{"testId":"CP-01c.02[02]","test":"Assessment Objective: Determine if the current contingency planning procedures are reviewed and updated following {{ insert: param, cp-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"cp-1_obj.c.2-2","defaultText":null,"uuid":"19fe87a2-7ad0-4cad-aa11-bf1bd4f08a99"}],"weight":1,"title":"CP-01 - Policy and Procedures","enhancements":"","otherId":"cp-1","sortId":"cp-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-1"},{"objectives":[{"objectiveType":"","otherId":"cp-2.1_smt","name":"CP-2(1)","description":"Coordinate contingency plan development with organizational elements responsible for related plans.","uuid":"fdfe5a34-1c08-4523-a4ce-d9a7715b256b"}],"description":"<p>Coordinate contingency plan development with organizational elements responsible for related plans.</p><br/><strong>Guidance</strong><p>Plans that are related to contingency plans include Business Continuity Plans, Disaster Recovery Plans, Critical Infrastructure Plans, Continuity of Operations Plans, Crisis Communications Plans, Insider Threat Implementation Plans, Data Breach Response Plans, Cyber Incident Response Plans, Breach Response Plans, and Occupant Emergency Plans.</p>","uuid":"d6ce57f8-2645-4f61-89eb-9ae1403daf2e","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-02(01)","test":"Assessment Objective: Determine if contingency plan development is coordinated with organizational elements responsible for related plans.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Business contingency plans.</li><li>Disaster recovery plans.</li><li>Continuity of operations plans.</li><li>Crisis communications plans.</li><li>Critical infrastructure plans.</li><li>Cyber incident response plan.</li><li>Insider threat implementation plans.</li><li>Occupant emergency plans.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Personnel with responsibility for related plans.</li></ul>","otherId":"cp-2.1_obj","defaultText":null,"uuid":"a99f1f67-6343-4cf6-8e00-3de5f30f4648"}],"weight":1,"title":"CP-02(01) - Coordinate with Related Plans","enhancements":null,"otherId":"cp-2.1","sortId":"cp-02.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-2(1)"},{"objectives":[{"objectiveType":"","otherId":"cp-2.3_smt","name":"CP-2(3)","description":"Plan for the resumption of {{ insert: param, CP-2(3)-1 }} mission and business functions within {{ insert: param, CP-2(3)-2 }} of contingency plan activation.","uuid":"c115db17-a092-4e70-be9e-1ccb930c2668"}],"description":"<p>Plan for the resumption of {{ insert: param, CP-2(3)-1 }} mission and business functions within {{ insert: param, CP-2(3)-2 }} of contingency plan activation.</p><br/><strong>Guidance</strong><p>Organizations may choose to conduct contingency planning activities to resume mission and business functions as part of business continuity planning or as part of business impact analyses. Organizations prioritize the resumption of mission and business functions. The time period for resuming mission and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure.</p>","uuid":"229e8eee-1eb7-4219-a699-0cabfdb41f32","family":"Contingency Planning","parameters":[{"constraints":"all","displayName":"","dataType":"","guidance":"","uuid":"ae118677-112f-4aa2-a8e1-549705c417eb","otherId":"cp-02.03_odp.01","parameterId":"CP-2(3)-1","text":"[Selection: all; essential]","default":"[FedRAMP Assignment: all]"},{"constraints":"time period defined in service provider and organization SLA","displayName":"","dataType":"","guidance":"the contingency plan activation time period within which to resume mission and business functions is defined;","uuid":"689aea10-70ca-4668-92f1-17e586a98527","otherId":"cp-02.03_odp.02","parameterId":"CP-2(3)-2","text":"time period","default":"[FedRAMP Assignment: time period defined in service provider and organization SLA]"}],"subControls":null,"tests":[{"testId":"CP-02(03)","test":"Assessment Objective: Determine if the resumption of {{ insert: param, cp-02.03_odp.01 }} mission and business functions are planned for within {{ insert: param, cp-02.03_odp.02 }} of contingency plan activation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Business impact assessment.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other related plans.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li></ul><br>Test (Select From):<ul><li>Organizational processes for resumption of missions and business functions.</li></ul>","otherId":"cp-2.3_obj","defaultText":null,"uuid":"1f085f94-d95c-4b1a-a512-983d4f49e815"}],"weight":1,"title":"CP-02(03) - Resume Mission and Business Functions","enhancements":null,"otherId":"cp-2.3","sortId":"cp-02.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-2(3)"},{"objectives":[{"objectiveType":"","otherId":"cp-2.8_smt","name":"CP-2(8)","description":"Identify critical system assets supporting {{ insert: param, CP-2(8) }} mission and business functions.","uuid":"8028101b-dd5c-42f7-afab-d130bc0add58"}],"description":"<p>Identify critical system assets supporting {{ insert: param, CP-2(8) }} mission and business functions.</p><br/><strong>Guidance</strong><p>Organizations may choose to identify critical assets as part of criticality analysis, business continuity planning, or business impact analyses. Organizations identify critical system assets so that additional controls can be employed (beyond the controls routinely implemented) to help ensure that organizational mission and business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include technical and operational aspects. Technical aspects include system components, information technology services, information technology products, and mechanisms. Operational aspects include procedures (i.e., manually executed operations) and personnel (i.e., individuals operating technical controls and/or executing manual procedures). Organizational program protection plans can assist in identifying critical assets. If critical assets are resident within or supported by external service providers, organizations consider implementing <a href=\"#cp-2.7\">CP-2(7)</a> as a control enhancement.</p>","uuid":"2c8808e5-e9c4-40d3-804a-c457078e586c","family":"Contingency Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"7ab47915-87c6-4589-8127-ec371cbd81ff","otherId":"cp-02.08_odp","parameterId":"CP-2(8)","text":"[Selection: all; essential]","default":"[Selection: all; essential]"}],"subControls":null,"tests":[{"testId":"CP-02(08)","test":"Assessment Objective: Determine if critical system assets supporting {{ insert: param, cp-02.08_odp }} mission and business functions are identified.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Business impact assessment.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-2.8_obj","defaultText":null,"uuid":"530385af-6e2b-47b8-b7de-a5db691d7f71"}],"weight":1,"title":"CP-02(08) - Identify Critical Assets","enhancements":null,"otherId":"cp-2.8","sortId":"cp-02.08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-2(8)"},{"objectives":[{"objectiveType":"","otherId":"cp-2_smt.a","name":"a.","description":"<ul><li>a. Develop a contingency plan for the system that:</li><ul><li>1. Identifies essential mission and business functions and associated contingency requirements;</li><li>2. Provides recovery objectives, restoration priorities, and metrics;</li><li>3. Addresses contingency roles, responsibilities, assigned individuals with contact information;</li><li>4. Addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;</li><li>5. Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented;</li><li>6. Addresses the sharing of contingency information; and</li><li>7. Is reviewed and approved by {{ insert: param, CP-2(a)(7) }};</li></ul>","uuid":"2dcf3e7f-d054-4d36-afe7-43fff0d41eba"},{"objectiveType":"","otherId":"cp-2_smt.b","name":"b.","description":"<ul><li>b. Distribute copies of the contingency plan to {{ insert: param, CP-2(b) }};</li></ul>","uuid":"de8a0de3-21a0-4618-b3ee-df417d6cf7a3"},{"objectiveType":"","otherId":"cp-2_smt.c","name":"c.","description":"<ul><li>c. Coordinate contingency planning activities with incident handling activities;</li></ul>","uuid":"82e847f5-1091-452f-aba9-b86a67b9edf6"},{"objectiveType":"","otherId":"cp-2_smt.d","name":"d.","description":"<ul><li>d. Review the contingency plan for the system {{ insert: param, CP-2(d) }};</li></ul>","uuid":"17f681da-f3e5-423b-811b-23f0e2b2af02"},{"objectiveType":"","otherId":"cp-2_smt.e","name":"e.","description":"<ul><li>e. Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;</li></ul>","uuid":"be88df8d-b594-48a0-aefb-014187a841b5"},{"objectiveType":"","otherId":"cp-2_smt.f","name":"f.","description":"<ul><li>f. Communicate contingency plan changes to {{ insert: param, CP-2(f) }};</li></ul>","uuid":"2f768346-7bfb-4eb4-8011-89ce4ade5f4b"},{"objectiveType":"","otherId":"cp-2_smt.g","name":"g.","description":"<ul><li>g. Incorporate lessons learned from contingency plan testing, training, or actual contingency activities into contingency testing and training; and</li></ul>","uuid":"bae19178-0d3f-4dfc-a946-7bff3c33bbce"},{"objectiveType":"","otherId":"cp-2_smt.h","name":"h.","description":"<ul><li>h. Protect the contingency plan from unauthorized disclosure and modification.</li></ul>","uuid":"34b639b3-ab9f-44d6-ac96-1dcef0a7cf84"}],"description":"<ul><li>a. Develop a contingency plan for the system that:</li><ul><li>1. Identifies essential mission and business functions and associated contingency requirements;</li><li>2. Provides recovery objectives, restoration priorities, and metrics;</li><li>3. Addresses contingency roles, responsibilities, assigned individuals with contact information;</li><li>4. Addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;</li><li>5. Addresses eventual, full system restoration without deterioration of the controls originally planned and implemented;</li><li>6. Addresses the sharing of contingency information; and</li><li>7. Is reviewed and approved by {{ insert: param, CP-2(a)(7) }};</li></ul><li>b. Distribute copies of the contingency plan to {{ insert: param, CP-2(b) }};</li><li>c. Coordinate contingency planning activities with incident handling activities;</li><li>d. Review the contingency plan for the system {{ insert: param, CP-2(d) }};</li><li>e. Update the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;</li><li>f. Communicate contingency plan changes to {{ insert: param, CP-2(f) }};</li><li>g. Incorporate lessons learned from contingency plan testing, training, or actual contingency activities into contingency testing and training; and</li><li>h. Protect the contingency plan from unauthorized disclosure and modification.</li></ul><br/><strong>Guidance</strong><p>Contingency planning for systems is part of an overall program for achieving continuity of operations for organizational mission and business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. Contingency planning is considered throughout the system development life cycle and is a fundamental part of the system design. Systems can be designed for redundancy, to provide backup capabilities, and for resilience. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, organizational risk tolerance, and system impact level.</p><p>Actions addressed in contingency plans include orderly system degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations ensure that the necessary planning activities are in place and activated in the event of an incident. Organizations consider whether continuity of operations during an incident conflicts with the capability to automatically disable the system, as specified in <a href=\"#ir-4.5\">IR-4(5)</a> . Incident response planning is part of contingency planning for organizations and is addressed in the <a href=\"#ir\">IR</a> (Incident Response) family.</p><br/><strong>CP-2 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> For JAB authorizations the contingency lists include designated FedRAMP personnel.</li><li><b>Requirement:</b> CSPs must use the FedRAMP Information System Contingency Plan (ISCP) Template (available on the fedramp.gov: https://www.fedramp.gov/assets/resources/templates/SSP-A06-FedRAMP-ISCP-Template.docx).</li></ul>","uuid":"add29f05-dc68-4153-854d-8f50f29d55c6","family":"Contingency Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"34cffc1f-75ee-4c52-ba73-8aecc7504e8a","otherId":"cp-2_prm_1","parameterId":"CP-2(a)(7)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"41b7c4e4-7639-4c7b-a241-ad77d1923491","otherId":"cp-2_prm_2","parameterId":"CP-2(b)","text":"organization-defined key contingency personnel (identified by name and/or by role) and organizational elements","default":" [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"ed675a27-644a-483f-a662-f8f585a3aac9","otherId":"cp-2_prm_4","parameterId":"CP-2(f)","text":"organization-defined key contingency personnel (identified by name and/or by role) and organizational elements","default":" [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency of contingency plan review is defined;","uuid":"aa2b2770-6540-45c0-bc2d-348609198b3a","otherId":"cp-02_odp.05","parameterId":"CP-2(d)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"CP-02a.01","test":"Assessment Objective: Determine if a contingency plan for the system is developed that identifies essential mission and business functions and associated contingency requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.1","defaultText":null,"uuid":"e54bc604-961b-4af2-a389-8f2e117b14b4"},{"testId":"CP-02a.02[01]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that provides recovery objectives;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.2-1","defaultText":null,"uuid":"4454ec66-f102-4dc4-89a8-c068038e797f"},{"testId":"CP-02a.02[02]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that provides restoration priorities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.2-2","defaultText":null,"uuid":"0d00c724-dcbe-4bc8-857f-fa36c30d9e05"},{"testId":"CP-02a.02[03]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that provides metrics;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.2-3","defaultText":null,"uuid":"cddc2bad-7b4b-4ef4-a9cc-591647e15f9a"},{"testId":"CP-02a.03[01]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that addresses contingency roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.3-1","defaultText":null,"uuid":"300aeb2c-813b-41f4-8cf1-5cd781894529"},{"testId":"CP-02a.03[02]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that addresses contingency responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.3-2","defaultText":null,"uuid":"d7470514-03dd-4da1-8f63-6daab081c73f"},{"testId":"CP-02a.03[03]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that addresses assigned individuals with contact information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.3-3","defaultText":null,"uuid":"e2018249-6567-4826-adcb-1658403baad2"},{"testId":"CP-02a.04","test":"Assessment Objective: Determine if a contingency plan for the system is developed that addresses maintaining essential mission and business functions despite a system disruption, compromise, or failure;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.4","defaultText":null,"uuid":"35a1f8b3-617e-4fc1-ae75-582250300bcd"},{"testId":"CP-02a.05","test":"Assessment Objective: Determine if a contingency plan for the system is developed that addresses eventual, full-system restoration without deterioration of the controls originally planned and implemented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.5","defaultText":null,"uuid":"f04cb540-ea6d-4e59-be89-56fe445f0c2c"},{"testId":"CP-02a.06","test":"Assessment Objective: Determine if a contingency plan for the system is developed that addresses the sharing of contingency information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.6","defaultText":null,"uuid":"52d8a1af-d368-4abe-8ba0-4935245407f1"},{"testId":"CP-02a.07[01]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that is reviewed by {{ insert: param, cp-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.7-1","defaultText":null,"uuid":"ae2c303d-4a6f-4d14-bfe0-a21efdd9fa5f"},{"testId":"CP-02a.07[02]","test":"Assessment Objective: Determine if a contingency plan for the system is developed that is approved by {{ insert: param, cp-02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.a.7-2","defaultText":null,"uuid":"5e020319-fc91-4044-9c09-a41742aa32e4"},{"testId":"CP-02b.[01]","test":"Assessment Objective: Determine if copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.b-1","defaultText":null,"uuid":"8504e995-4af5-49a3-b8e1-1066b7df2125"},{"testId":"CP-02b.[02]","test":"Assessment Objective: Determine if copies of the contingency plan are distributed to {{ insert: param, cp-02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.b-2","defaultText":null,"uuid":"1cacbe6a-1382-437c-8cd6-ece3c183e8a2"},{"testId":"CP-02c.","test":"Assessment Objective: Determine if contingency planning activities are coordinated with incident handling activities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.c","defaultText":null,"uuid":"6c5ceb97-ee82-48c9-9315-f101e2e9380d"},{"testId":"CP-02d.","test":"Assessment Objective: Determine if the contingency plan for the system is reviewed {{ insert: param, cp-02_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.d","defaultText":null,"uuid":"b7f66e1e-7af2-42ee-9565-a8e2e5f795d7"},{"testId":"CP-02e.[01]","test":"Assessment Objective: Determine if the contingency plan is updated to address changes to the organization, system, or environment of operation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.e-1","defaultText":null,"uuid":"5af957f6-e92a-4eb1-9798-a9a2f7e7532f"},{"testId":"CP-02e.[02]","test":"Assessment Objective: Determine if the contingency plan is updated to address problems encountered during contingency plan implementation, execution, or testing;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.e-2","defaultText":null,"uuid":"5e52f839-db18-4317-9b1f-14c4900080b3"},{"testId":"CP-02f.[01]","test":"Assessment Objective: Determine if contingency plan changes are communicated to {{ insert: param, cp-02_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.f-1","defaultText":null,"uuid":"40df3ce3-239a-4da9-9bbd-67c9a6eb19f6"},{"testId":"CP-02f.[02]","test":"Assessment Objective: Determine if contingency plan changes are communicated to {{ insert: param, cp-02_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.f-2","defaultText":null,"uuid":"ec95eb50-4f20-4b46-ad39-ded03cbd812e"},{"testId":"CP-02g.[01]","test":"Assessment Objective: Determine if lessons learned from contingency plan testing or actual contingency activities are incorporated into contingency testing;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.g-1","defaultText":null,"uuid":"fbefacbd-027c-4c96-ab45-8620278a5ed0"},{"testId":"CP-02g.[02]","test":"Assessment Objective: Determine if lessons learned from contingency plan training or actual contingency activities are incorporated into contingency testing and training;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.g-2","defaultText":null,"uuid":"9ac71a31-ac65-4a35-8de7-f91794d11f4c"},{"testId":"CP-02h.[01]","test":"Assessment Objective: Determine if the contingency plan is protected from unauthorized disclosure;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.h-1","defaultText":null,"uuid":"1d3a4d2b-8767-4b6e-9c8d-8caa5e91e7e2"},{"testId":"CP-02h.[02]","test":"Assessment Objective: Determine if the contingency plan is protected from unauthorized modification.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency operations for the system.</li><li>Contingency plan.</li><li>Evidence of contingency plan reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning and plan implementation responsibilities.</li><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan development, review, update, and protection.</li><li>Mechanisms for developing, reviewing, updating, and/or protecting the contingency plan.</li></ul>","otherId":"cp-2_obj.h-2","defaultText":null,"uuid":"3706ae67-805a-4c50-bb98-5b6d387f9c74"}],"weight":1,"title":"CP-02 - Contingency Plan","enhancements":"<strong>Enhancements</strong><ul><li>CP-2(1) - Coordinate with Related Plans</li><li>CP-2(3) - Resume Mission and Business Functions</li><li>CP-2(8) - Identify Critical Assets</li></ul>","otherId":"cp-2","sortId":"cp-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-2"},{"objectives":[{"objectiveType":"","otherId":"cp-3_smt.a","name":"a.","description":"<ul><li>a. Provide contingency training to system users consistent with assigned roles and responsibilities:</li><ul><li>1. Within {{ insert: param, CP-3(a)(1) }} of assuming a contingency role or responsibility;</li><li>2. When required by system changes; and</li><li>3. {{ insert: param, CP-3(a)(3) }} thereafter; and</li></ul>","uuid":"18a76c6d-352d-4830-bfee-809c4ab87d8c"},{"objectiveType":"","otherId":"cp-3_smt.b","name":"b.","description":"<ul><li>b. Review and update contingency training content {{ insert: param, CP-3(b)-1 }} and following {{ insert: param, CP-3(b)-2 }}.</li></ul>","uuid":"50779543-9d47-4c03-a3be-290251a4c5b7"}],"description":"<ul><li>a. Provide contingency training to system users consistent with assigned roles and responsibilities:</li><ul><li>1. Within {{ insert: param, CP-3(a)(1) }} of assuming a contingency role or responsibility;</li><li>2. When required by system changes; and</li><li>3. {{ insert: param, CP-3(a)(3) }} thereafter; and</li></ul><li>b. Review and update contingency training content {{ insert: param, CP-3(b)-1 }} and following {{ insert: param, CP-3(b)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, some individuals may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to establish systems at alternate processing and storage sites; and organizational officials may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles or responsibilities reflects the specific continuity requirements in the contingency plan. Events that may precipitate an update to contingency training content include, but are not limited to, contingency plan testing or an actual contingency (lessons learned), assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. At the discretion of the organization, participation in a contingency plan test or exercise, including lessons learned sessions subsequent to the test or exercise, may satisfy contingency plan training requirements.</p><br/><strong>CP-3 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(a) Requirement:</b> Privileged admins and engineers must take the basic contingency training within 10 days. Consideration must be given for those privileged admins and engineers with critical contingency-related roles, to gain enough system context and situational awareness to understand the full impact of contingency training as it applies to their respective level. Newly hired critical contingency personnel must take this more in-depth training within 60 days of hire date when the training will have more impact.</li></ul>","uuid":"abd2d9dd-e44c-4c11-8ec6-f91133ca9b39","family":"Contingency Planning","parameters":[{"constraints":"*See Additional Requirements","displayName":"","dataType":"","guidance":"the time period within which to provide contingency training after assuming a contingency role or responsibility is defined;","uuid":"82ab78b3-c7c0-4573-95e7-4c4135fcbb10","otherId":"cp-03_odp.01","parameterId":"CP-3(a)(1)","text":"time period","default":"[FedRAMP Assignment: *See Additional Requirements]"},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to provide training to system users with a contingency role or responsibility is defined;","uuid":"6395bc90-284a-4c07-9449-414ce99ebd65","otherId":"cp-03_odp.02","parameterId":"CP-3(a)(3)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to review and update contingency training content is defined;","uuid":"f087b812-a347-4a15-b4cd-8f6b83630271","otherId":"cp-03_odp.03","parameterId":"CP-3(b)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"events necessitating review and update of contingency training are defined;","uuid":"d0e9cdf8-71b2-456d-b8eb-1ab33fe2d656","otherId":"cp-03_odp.04","parameterId":"CP-3(b)-2","text":"events","default":" [Assignment: organization-defined events] "}],"subControls":null,"tests":[{"testId":"CP-03a.01","test":"Assessment Objective: Determine if contingency training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, cp-03_odp.01 }} of assuming a contingency role or responsibility;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency training.</li><li>Contingency plan.</li><li>Contingency training curriculum.</li><li>Contingency training material.</li><li>Contingency training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning, plan implementation, and training responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency training.</li></ul>","otherId":"cp-3_obj.a.1","defaultText":null,"uuid":"fd118de8-7f1c-4439-865e-79c3b0271729"},{"testId":"CP-03a.02","test":"Assessment Objective: Determine if contingency training is provided to system users consistent with assigned roles and responsibilities when required by system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency training.</li><li>Contingency plan.</li><li>Contingency training curriculum.</li><li>Contingency training material.</li><li>Contingency training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning, plan implementation, and training responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency training.</li></ul>","otherId":"cp-3_obj.a.2","defaultText":null,"uuid":"0ee70aa7-e4ca-42b3-9c9b-46276fd50dd6"},{"testId":"CP-03a.03","test":"Assessment Objective: Determine if contingency training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, cp-03_odp.02 }} thereafter;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency training.</li><li>Contingency plan.</li><li>Contingency training curriculum.</li><li>Contingency training material.</li><li>Contingency training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning, plan implementation, and training responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency training.</li></ul>","otherId":"cp-3_obj.a.3","defaultText":null,"uuid":"ca87a6e0-c463-44e4-bdf3-c5fae94587f9"},{"testId":"CP-03b.[01]","test":"Assessment Objective: Determine if the contingency plan training content is reviewed and updated {{ insert: param, cp-03_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency training.</li><li>Contingency plan.</li><li>Contingency training curriculum.</li><li>Contingency training material.</li><li>Contingency training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning, plan implementation, and training responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency training.</li></ul>","otherId":"cp-3_obj.b-1","defaultText":null,"uuid":"a3761abc-0f53-46f4-85c9-e2a093a310fa"},{"testId":"CP-03b.[02]","test":"Assessment Objective: Determine if the contingency plan training content is reviewed and updated following {{ insert: param, cp-03_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency training.</li><li>Contingency plan.</li><li>Contingency training curriculum.</li><li>Contingency training material.</li><li>Contingency training records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning, plan implementation, and training responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency training.</li></ul>","otherId":"cp-3_obj.b-2","defaultText":null,"uuid":"2f0345d6-69ae-40e0-9e67-bfa55e07d397"}],"weight":1,"title":"CP-03 - Contingency Training","enhancements":"","otherId":"cp-3","sortId":"cp-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-3"},{"objectives":[{"objectiveType":"","otherId":"cp-4.1_smt","name":"CP-4(1)","description":"Coordinate contingency plan testing with organizational elements responsible for related plans.","uuid":"545bf171-86ac-491c-9210-245301b4b01f"}],"description":"<p>Coordinate contingency plan testing with organizational elements responsible for related plans.</p><br/><strong>Guidance</strong><p>Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements.</p>","uuid":"91ebeae4-5484-4c68-ae92-366c96d8d75c","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-04(01)","test":"Assessment Objective: Determine if contingency plan testing is coordinated with organizational elements responsible for related plans.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Incident response policy.</li><li>Procedures addressing contingency plan testing.</li><li>Contingency plan testing documentation.</li><li>Contingency plan.</li><li>Business continuity plans.</li><li>Disaster recovery plans.</li><li>Continuity of operations plans.</li><li>Crisis communications plans.</li><li>Critical infrastructure plans.</li><li>Cyber incident response plans.</li><li>Occupant emergency plans.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan testing responsibilities.</li><li>Personnel with responsibilities for related plans.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-4.1_obj","defaultText":null,"uuid":"fd91da92-999d-42e7-858c-6f3495c0dce2"}],"weight":1,"title":"CP-04(01) - Coordinate with Related Plans","enhancements":null,"otherId":"cp-4.1","sortId":"cp-04.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-4(1)"},{"objectives":[{"objectiveType":"","otherId":"cp-4_smt.a","name":"a.","description":"<ul><li>a. Test the contingency plan for the system {{ insert: param, CP-4(a)-1 }} using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: {{ insert: param, CP-4(a)-2 }}.</li></ul>","uuid":"f911638b-488c-482f-aa36-2e92e0c862fb"},{"objectiveType":"","otherId":"cp-4_smt.b","name":"b.","description":"<ul><li>b. Review the contingency plan test results; and</li></ul>","uuid":"27483c12-1578-46aa-b55f-956f25b3248b"},{"objectiveType":"","otherId":"cp-4_smt.c","name":"c.","description":"<ul><li>c. Initiate corrective actions, if needed.</li></ul>","uuid":"4fe5c87d-84c6-4a4f-885e-6fca14600213"}],"description":"<ul><li>a. Test the contingency plan for the system {{ insert: param, CP-4(a)-1 }} using the following tests to determine the effectiveness of the plan and the readiness to execute the plan: {{ insert: param, CP-4(a)-2 }}.</li><li>b. Review the contingency plan test results; and</li><li>c. Initiate corrective actions, if needed.</li></ul><br/><strong>Guidance</strong><p>Methods for testing contingency plans to determine the effectiveness of the plans and identify potential weaknesses include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.</p><br/><strong>CP-4 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(a) Requirement:</b> The service provider develops test plans in accordance with NIST Special Publication 800-34 (as amended); plans are approved by the JAB/AO prior to initiating testing.</li><li><b>(b) Requirement:</b> The service provider must include the Contingency Plan test results with the security package within the Contingency Plan-designated appendix (Appendix G, Contingency Plan Test Report).</li></ul>","uuid":"03371d5d-2b2d-4a42-8f8c-38b4fb64bca9","family":"Contingency Planning","parameters":[{"constraints":"functional exercises","displayName":"","dataType":"","guidance":"","uuid":"efbfa3df-6ce9-4c47-a2ca-5b59f895937b","otherId":"cp-4_prm_2","parameterId":"CP-4(a)-2","text":"organization-defined tests","default":"[FedRAMP Assignment: functional exercises]"},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency of testing the contingency plan for the system is defined;","uuid":"dfa6c1dc-d889-4ce8-a7d6-3578532370a0","otherId":"cp-04_odp.01","parameterId":"CP-4(a)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"CP-04a.[01]","test":"Assessment Objective: Determine if the contingency plan for the system is tested {{ insert: param, cp-04_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency plan testing.</li><li>Contingency plan.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan testing.</li><li>Mechanisms supporting the contingency plan and/or contingency plan testing.</li></ul>","otherId":"cp-4_obj.a-1","defaultText":null,"uuid":"da29273f-a6d3-4271-8c95-9b3fb55287c2"},{"testId":"CP-04a.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, cp-04_odp.02 }} are used to determine the effectiveness of the plan;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency plan testing.</li><li>Contingency plan.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan testing.</li><li>Mechanisms supporting the contingency plan and/or contingency plan testing.</li></ul>","otherId":"cp-4_obj.a-2","defaultText":null,"uuid":"607acc5f-d645-4e36-adcb-45016be8cf27"},{"testId":"CP-04a.[03]","test":"Assessment Objective: Determine if \n{{ insert: param, cp-04_odp.03 }} are used to determine the readiness to execute the plan;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency plan testing.</li><li>Contingency plan.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan testing.</li><li>Mechanisms supporting the contingency plan and/or contingency plan testing.</li></ul>","otherId":"cp-4_obj.a-3","defaultText":null,"uuid":"b17227dd-7f3d-423b-a34c-1e9996a638f6"},{"testId":"CP-04b.","test":"Assessment Objective: Determine if the contingency plan test results are reviewed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency plan testing.</li><li>Contingency plan.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan testing.</li><li>Mechanisms supporting the contingency plan and/or contingency plan testing.</li></ul>","otherId":"cp-4_obj.b","defaultText":null,"uuid":"16a98a5f-1bb8-4e6d-9297-e34cda0ec5ee"},{"testId":"CP-04c.","test":"Assessment Objective: Determine if corrective actions are initiated, if needed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing contingency plan testing.</li><li>Contingency plan.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for contingency plan testing.</li><li>Mechanisms supporting the contingency plan and/or contingency plan testing.</li></ul>","otherId":"cp-4_obj.c","defaultText":null,"uuid":"4c2bd1cc-1679-4bf6-92fc-9e59de5e78bc"}],"weight":1,"title":"CP-04 - Contingency Plan Testing","enhancements":"<strong>Enhancements</strong><ul><li>CP-4(1) - Coordinate with Related Plans</li></ul>","otherId":"cp-4","sortId":"cp-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-4"},{"objectives":[{"objectiveType":"","otherId":"cp-6.1_smt","name":"CP-6(1)","description":"Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats.","uuid":"689b1b30-dff0-427c-b4b1-097cbe644bbc"}],"description":"<p>Identify an alternate storage site that is sufficiently separated from the primary storage site to reduce susceptibility to the same threats.</p><br/><strong>Guidance</strong><p>Threats that affect alternate storage sites are defined in organizational risk assessments and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.</p>","uuid":"97e4b6e1-53f7-4040-b527-40cb98203bcf","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-06(01)","test":"Assessment Objective: Determine if an alternate storage site that is sufficiently separated from the primary storage site is identified to reduce susceptibility to the same threats.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate storage sites.</li><li>Contingency plan.</li><li>Alternate storage site.</li><li>Alternate storage site agreements.</li><li>Primary storage site agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate storage site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-6.1_obj","defaultText":null,"uuid":"05822a6e-83e1-4c8f-9441-72d634124470"}],"weight":1,"title":"CP-06(01) - Separation from Primary Site","enhancements":null,"otherId":"cp-6.1","sortId":"cp-06.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-6(1)"},{"objectives":[{"objectiveType":"","otherId":"cp-6.3_smt","name":"CP-6(3)","description":"Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions.","uuid":"72a06986-d128-4e20-bfce-d4438559249c"}],"description":"<p>Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outline explicit mitigation actions.</p><br/><strong>Guidance</strong><p>Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.</p>","uuid":"b4c20d79-8310-4e23-8329-c3f553ded147","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-06(03)[01]","test":"Assessment Objective: Determine if potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate storage sites.</li><li>Contingency plan.</li><li>Alternate storage site.</li><li>List of potential accessibility problems to alternate storage site.</li><li>Mitigation actions for accessibility problems to alternate storage site.</li><li>Organizational risk assessments.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate storage site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-6.3_obj-1","defaultText":null,"uuid":"cffaf0be-fa1c-46b5-9763-d5cc2afe1a11"},{"testId":"CP-06(03)[02]","test":"Assessment Objective: Determine if explicit mitigation actions to address identified accessibility problems are outlined.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate storage sites.</li><li>Contingency plan.</li><li>Alternate storage site.</li><li>List of potential accessibility problems to alternate storage site.</li><li>Mitigation actions for accessibility problems to alternate storage site.</li><li>Organizational risk assessments.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate storage site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-6.3_obj-2","defaultText":null,"uuid":"0f0e404b-cc23-4434-b826-4049eb3c7389"}],"weight":1,"title":"CP-06(03) - Accessibility","enhancements":null,"otherId":"cp-6.3","sortId":"cp-06.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-6(3)"},{"objectives":[{"objectiveType":"","otherId":"cp-6_smt.a","name":"a.","description":"<ul><li>a. Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and</li></ul>","uuid":"81aaecae-e2df-4baf-b46b-523cba818064"},{"objectiveType":"","otherId":"cp-6_smt.b","name":"b.","description":"<ul><li>b. Ensure that the alternate storage site provides controls equivalent to that of the primary site.</li></ul>","uuid":"f5b3fd12-5ef1-4357-a466-c1653d0455e0"}],"description":"<ul><li>a. Establish an alternate storage site, including necessary agreements to permit the storage and retrieval of system backup information; and</li><li>b. Ensure that the alternate storage site provides controls equivalent to that of the primary site.</li></ul><br/><strong>Guidance</strong><p>Alternate storage sites are geographically distinct from primary storage sites and maintain duplicate copies of information and data if the primary storage site is not available. Similarly, alternate processing sites provide processing capability if the primary processing site is not available. Geographically distributed architectures that support contingency requirements may be considered alternate storage sites. Items covered by alternate storage site agreements include environmental conditions at the alternate sites, access rules for systems and facilities, physical and environmental protection requirements, and coordination of delivery and retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential mission and business functions despite compromise, failure, or disruption in organizational systems.</p>","uuid":"acbe8178-6cfa-43de-b0ff-57de749f6e6e","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-06a.[01]","test":"Assessment Objective: Determine if an alternate storage site is established;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate storage sites.</li><li>Contingency plan.</li><li>Alternate storage site agreements.</li><li>Primary storage site agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate storage site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing and retrieving system backup information at the alternate storage site.</li><li>Mechanisms supporting and/or implementing the storage and retrieval of system backup information at the alternate storage site.</li></ul>","otherId":"cp-6_obj.a-1","defaultText":null,"uuid":"09e1d7ea-8b69-4daf-acbc-71b28af52948"},{"testId":"CP-06a.[02]","test":"Assessment Objective: Determine if establishment of the alternate storage site includes necessary agreements to permit the storage and retrieval of system backup information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate storage sites.</li><li>Contingency plan.</li><li>Alternate storage site agreements.</li><li>Primary storage site agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate storage site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing and retrieving system backup information at the alternate storage site.</li><li>Mechanisms supporting and/or implementing the storage and retrieval of system backup information at the alternate storage site.</li></ul>","otherId":"cp-6_obj.a-2","defaultText":null,"uuid":"10d7c52a-2117-449d-92d7-45a9720e663f"},{"testId":"CP-06b.","test":"Assessment Objective: Determine if the alternate storage site provides controls equivalent to that of the primary site.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate storage sites.</li><li>Contingency plan.</li><li>Alternate storage site agreements.</li><li>Primary storage site agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate storage site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing and retrieving system backup information at the alternate storage site.</li><li>Mechanisms supporting and/or implementing the storage and retrieval of system backup information at the alternate storage site.</li></ul>","otherId":"cp-6_obj.b","defaultText":null,"uuid":"f1ae64fe-e373-45e3-b1b2-349897f7898b"}],"weight":1,"title":"CP-06 - Alternate Storage Site","enhancements":"<strong>Enhancements</strong><ul><li>CP-6(1) - Separation from Primary Site</li><li>CP-6(3) - Accessibility</li></ul>","otherId":"cp-6","sortId":"cp-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-6"},{"objectives":[{"objectiveType":"","otherId":"cp-7.1_smt","name":"CP-7(1)","description":"Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats.","uuid":"4be76cff-af4e-409c-be07-20a1ec7ae316"}],"description":"<p>Identify an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats.</p><br/><strong>Guidance</strong><p>Threats that affect alternate processing sites are defined in organizational assessments of risk and include natural disasters, structural failures, hostile attacks, and errors of omission or commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.</p><br/><strong>CP-7 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> The service provider may determine what is considered a sufficient degree of separation between the primary and alternate processing sites, based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites will be less relevant.</li></ul>","uuid":"7ed18743-21ee-48c6-b8dc-33d2fce69987","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-07(01)","test":"Assessment Objective: Determine if an alternate processing site that is sufficiently separated from the primary processing site to reduce susceptibility to the same threats is identified.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site.</li><li>Alternate processing site agreements.</li><li>Primary processing site agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate processing site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-7.1_obj","defaultText":null,"uuid":"f98e51fa-47f3-4720-ba1a-d3aa2f94254f"}],"weight":1,"title":"CP-07(01) - Separation from Primary Site","enhancements":null,"otherId":"cp-7.1","sortId":"cp-07.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-7(1)"},{"objectives":[{"objectiveType":"","otherId":"cp-7.2_smt","name":"CP-7(2)","description":"Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.","uuid":"f05012a6-0118-4968-a819-fa39c423e688"}],"description":"<p>Identify potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.</p><br/><strong>Guidance</strong><p>Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk.</p>","uuid":"8471b781-3dfb-4462-83ba-3c478e40a401","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-07(02)[01]","test":"Assessment Objective: Determine if potential accessibility problems to alternate processing sites in the event of an area-wide disruption or disaster are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site.</li><li>Alternate processing site agreements.</li><li>Primary processing site agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate processing site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-7.2_obj-1","defaultText":null,"uuid":"c841738b-2660-4da1-9fa4-52a61999d129"},{"testId":"CP-07(02)[02]","test":"Assessment Objective: Determine if explicit mitigation actions to address identified accessibility problems are outlined.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site.</li><li>Alternate processing site agreements.</li><li>Primary processing site agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate processing site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-7.2_obj-2","defaultText":null,"uuid":"b405a981-2078-46f6-81ac-408b537cd770"}],"weight":1,"title":"CP-07(02) - Accessibility","enhancements":null,"otherId":"cp-7.2","sortId":"cp-07.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-7(2)"},{"objectives":[{"objectiveType":"","otherId":"cp-7.3_smt","name":"CP-7(3)","description":"Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives).","uuid":"a6c0895c-348e-43ee-94b2-153632fefb92"}],"description":"<p>Develop alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives).</p><br/><strong>Guidance</strong><p>Priority of service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources for logical alternate processing and/or at the physical alternate processing site. Organizations establish recovery time objectives as part of contingency planning.</p>","uuid":"2997d790-6549-498a-bda3-a7c05c0f52c6","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-07(03)","test":"Assessment Objective: Determine if alternate processing site agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site agreements.</li><li>Service-level agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan alternate processing site responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibility for acquisitions/contractual agreements.</li></ul>","otherId":"cp-7.3_obj","defaultText":null,"uuid":"04cdcaea-0840-4735-b51a-712310121749"}],"weight":1,"title":"CP-07(03) - Priority of Service","enhancements":null,"otherId":"cp-7.3","sortId":"cp-07.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-7(3)"},{"objectives":[{"objectiveType":"","otherId":"cp-7_smt.a","name":"a.","description":"<ul><li>a. Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, CP-7(a)-1 }} for essential mission and business functions within {{ insert: param, CP-7(a)-2 }} when the primary processing capabilities are unavailable;</li></ul>","uuid":"a9f408fb-ee72-45a9-aad4-755a11c37582"},{"objectiveType":"","otherId":"cp-7_smt.b","name":"b.","description":"<ul><li>b. Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and</li></ul>","uuid":"5dc1447f-8f26-40b6-82d1-76d7df184fce"},{"objectiveType":"","otherId":"cp-7_smt.c","name":"c.","description":"<ul><li>c. Provide controls at the alternate processing site that are equivalent to those at the primary site.</li></ul>","uuid":"f60ff8b4-f801-4025-b47f-57905778ca2f"}],"description":"<ul><li>a. Establish an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, CP-7(a)-1 }} for essential mission and business functions within {{ insert: param, CP-7(a)-2 }} when the primary processing capabilities are unavailable;</li><li>b. Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time period for transfer and resumption; and</li><li>c. Provide controls at the alternate processing site that are equivalent to those at the primary site.</li></ul><br/><strong>Guidance</strong><p>Alternate processing sites are geographically distinct from primary processing sites and provide processing capability if the primary processing site is not available. The alternate processing capability may be addressed using a physical processing site or other alternatives, such as failover to a cloud-based service provider or other internally or externally provided processing service. Geographically distributed architectures that support contingency requirements may also be considered alternate processing sites. Controls that are covered by alternate processing site agreements include the environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and the coordination for the transfer and assignment of personnel. Requirements are allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential mission and business functions despite disruption, compromise, or failure in organizational systems.</p><br/><strong>CP-7 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(a) Requirement:</b> The service provider defines a time period consistent with the recovery time objectives and business impact analysis.</li></ul>","uuid":"4a87401d-60ff-4443-aab5-1ae1d8632e7c","family":"Contingency Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system operations for essential mission and business functions are defined;","uuid":"275997ab-264f-4f1f-8f98-eb865fe440bc","otherId":"cp-07_odp.01","parameterId":"CP-7(a)-1","text":"system operations","default":" [Assignment: organization-defined system operations] "},{"constraints":"","displayName":"","dataType":"","guidance":"time period consistent with recovery time and recovery point objectives is defined;","uuid":"ca8a9202-14a9-4307-b583-90fb58cd7f95","otherId":"cp-07_odp.02","parameterId":"CP-7(a)-2","text":"time period","default":" [Assignment: organization-defined time period] "}],"subControls":null,"tests":[{"testId":"CP-07a.","test":"Assessment Objective: Determine if an alternate processing site, including necessary agreements to permit the transfer and resumption of {{ insert: param, cp-07_odp.01 }} for essential mission and business functions, is established within {{ insert: param, cp-07_odp.02 }} when the primary processing capabilities are unavailable;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site agreements.</li><li>Primary processing site agreements.</li><li>Spare equipment and supplies inventory at alternate processing site.</li><li>Equipment and supply contracts.</li><li>Service-level agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for recovery at the alternate site.</li><li>Mechanisms supporting and/or implementing recovery at the alternate processing site.</li></ul>","otherId":"cp-7_obj.a","defaultText":null,"uuid":"d18fc890-cacd-40fc-b601-2b58c0ab145c"},{"testId":"CP-07b.[01]","test":"Assessment Objective: Determine if the equipment and supplies required to transfer operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for transfer;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site agreements.</li><li>Primary processing site agreements.</li><li>Spare equipment and supplies inventory at alternate processing site.</li><li>Equipment and supply contracts.</li><li>Service-level agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for recovery at the alternate site.</li><li>Mechanisms supporting and/or implementing recovery at the alternate processing site.</li></ul>","otherId":"cp-7_obj.b-1","defaultText":null,"uuid":"978066af-e8fe-41b0-bdef-fce56fc86322"},{"testId":"CP-07b.[02]","test":"Assessment Objective: Determine if the equipment and supplies required to resume operations are made available at the alternate processing site or if contracts are in place to support delivery to the site within {{ insert: param, cp-07_odp.02 }} for resumption;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site agreements.</li><li>Primary processing site agreements.</li><li>Spare equipment and supplies inventory at alternate processing site.</li><li>Equipment and supply contracts.</li><li>Service-level agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for recovery at the alternate site.</li><li>Mechanisms supporting and/or implementing recovery at the alternate processing site.</li></ul>","otherId":"cp-7_obj.b-2","defaultText":null,"uuid":"57d5edf0-21c7-4ec0-bfab-19843fccbce0"},{"testId":"CP-07c.","test":"Assessment Objective: Determine if controls provided at the alternate processing site are equivalent to those at the primary site.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate processing sites.</li><li>Contingency plan.</li><li>Alternate processing site agreements.</li><li>Primary processing site agreements.</li><li>Spare equipment and supplies inventory at alternate processing site.</li><li>Equipment and supply contracts.</li><li>Service-level agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for recovery at the alternate site.</li><li>Mechanisms supporting and/or implementing recovery at the alternate processing site.</li></ul>","otherId":"cp-7_obj.c","defaultText":null,"uuid":"08c14461-066a-42be-a7e8-74a0a6c86ba8"}],"weight":1,"title":"CP-07 - Alternate Processing Site","enhancements":"<strong>Enhancements</strong><ul><li>CP-7(1) - Separation from Primary Site</li><li>CP-7(2) - Accessibility</li><li>CP-7(3) - Priority of Service</li></ul>","otherId":"cp-7","sortId":"cp-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-7"},{"objectives":[{"objectiveType":"","otherId":"cp-8.1_smt.a","name":"(a)","description":"<ul><li>(a) Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and</li></ul>","uuid":"7bd7517e-98a7-4b47-9041-24a22feabd15"},{"objectiveType":"","otherId":"cp-8.1_smt.b","name":"(b)","description":"<ul><li>(b) Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.</li></ul>","uuid":"4ac4d434-79d8-4789-bcf7-849fb31076d8"}],"description":"<ul><li>(a) Develop primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives); and</li><li>(b) Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.</li></ul><br/><strong>Guidance</strong><p>Organizations consider the potential mission or business impact in situations where telecommunications service providers are servicing other organizations with similar priority of service provisions. Telecommunications Service Priority (TSP) is a Federal Communications Commission (FCC) program that directs telecommunications service providers (e.g., wireline and wireless phone companies) to give preferential treatment to users enrolled in the program when they need to add new lines or have their lines restored following a disruption of service, regardless of the cause. The FCC sets the rules and policies for the TSP program, and the Department of Homeland Security manages the TSP program. The TSP program is always in effect and not contingent on a major disaster or attack taking place. Federal sponsorship is required to enroll in the TSP program.</p>","uuid":"cb0f793b-2a67-4bbf-9d18-834b78c1fb79","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-08(01)(a)[01]","test":"Assessment Objective: Determine if primary telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing primary and alternate telecommunications services.</li><li>Contingency plan.</li><li>Primary and alternate telecommunications service agreements.</li><li>Telecommunications service priority documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan telecommunications responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibility for acquisitions/contractual agreements.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting telecommunications.</li></ul>","otherId":"cp-8.1_obj.a-1","defaultText":null,"uuid":"57e30e69-8dc5-4eca-a826-257ed665ac85"},{"testId":"CP-08(01)(a)[02]","test":"Assessment Objective: Determine if alternate telecommunications service agreements that contain priority-of-service provisions in accordance with availability requirements (including recovery time objectives) are developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing primary and alternate telecommunications services.</li><li>Contingency plan.</li><li>Primary and alternate telecommunications service agreements.</li><li>Telecommunications service priority documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan telecommunications responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibility for acquisitions/contractual agreements.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting telecommunications.</li></ul>","otherId":"cp-8.1_obj.a-2","defaultText":null,"uuid":"305db22e-b5d5-4090-bb7c-f809d74abff9"},{"testId":"CP-08(01)(b)","test":"Assessment Objective: Determine if Telecommunications Service Priority is requested for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common carrier.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing primary and alternate telecommunications services.</li><li>Contingency plan.</li><li>Primary and alternate telecommunications service agreements.</li><li>Telecommunications service priority documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan telecommunications responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibility for acquisitions/contractual agreements.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting telecommunications.</li></ul>","otherId":"cp-8.1_obj.b","defaultText":null,"uuid":"053f6eb9-cfdf-4d5b-a65d-704ecbf322a9"}],"weight":1,"title":"CP-08(01) - Priority of Service Provisions","enhancements":null,"otherId":"cp-8.1","sortId":"cp-08.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-8(1)"},{"objectives":[{"objectiveType":"","otherId":"cp-8.2_smt","name":"CP-8(2)","description":"Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.","uuid":"9da23b4f-be10-4ed8-afe6-2b205e0d36b1"}],"description":"<p>Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.</p><br/><strong>Guidance</strong><p>In certain circumstances, telecommunications service providers or services may share the same physical lines, which increases the vulnerability of a single failure point. It is important to have provider transparency for the actual physical transmission capability for telecommunication services.</p>","uuid":"1fea7e40-7657-4cef-a8ec-794226e8b3cf","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-08(02)","test":"Assessment Objective: Determine if alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services are obtained.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing primary and alternate telecommunications services.</li><li>Contingency plan.</li><li>Primary and alternate telecommunications service agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan telecommunications responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Primary and alternate telecommunications service providers.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"cp-8.2_obj","defaultText":null,"uuid":"14f699ea-ffdc-455d-b5db-0d43549bbd5d"}],"weight":1,"title":"CP-08(02) - Single Points of Failure","enhancements":null,"otherId":"cp-8.2","sortId":"cp-08.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-8(2)"},{"objectives":[{"objectiveType":"","otherId":"cp-8_smt","name":"CP-8","description":"Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, CP-8-1 }} for essential mission and business functions within {{ insert: param, CP-8-2 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.","uuid":"ad4160df-f3f2-45c0-9370-a22467bf51a7"}],"description":"<p>Establish alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, CP-8-1 }} for essential mission and business functions within {{ insert: param, CP-8-2 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.</p><br/><strong>Guidance</strong><p>Telecommunications services (for data and voice) for primary and alternate processing and storage sites are in scope for <a href=\"#cp-8\">CP-8</a> . Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential mission and business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary or alternate sites. Alternate telecommunications services include additional organizational or commercial ground-based circuits or lines, network-based approaches to telecommunications, or the use of satellites. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.</p><br/><strong>CP-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> The service provider defines a time period consistent with the recovery time objectives and business impact analysis.</li></ul>","uuid":"031634a1-f042-4319-bd66-a6cf26cb8dc7","family":"Contingency Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system operations to be resumed for essential mission and business functions are defined;","uuid":"9cd27eda-6291-4608-87f5-f80758c187ee","otherId":"cp-08_odp.01","parameterId":"CP-8-1","text":"system operations","default":" [Assignment: organization-defined system operations] "},{"constraints":"","displayName":"","dataType":"","guidance":"time period within which to resume essential mission and business functions when the primary telecommunications capabilities are unavailable is defined;","uuid":"1b62f051-529d-4853-ab7c-ef3137c545d9","otherId":"cp-08_odp.02","parameterId":"CP-8-2","text":"time period","default":" [Assignment: organization-defined time period] "}],"subControls":null,"tests":[{"testId":"CP-08","test":"Assessment Objective: Determine if alternate telecommunications services, including necessary agreements to permit the resumption of {{ insert: param, cp-08_odp.01 }} , are established for essential mission and business functions within {{ insert: param, cp-08_odp.02 }} when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing alternate telecommunications services.</li><li>Contingency plan.</li><li>Primary and alternate telecommunications service agreements.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency plan telecommunications responsibilities.</li><li>Organizational personnel with system recovery responsibilities.</li><li>Organizational personnel with knowledge of requirements for mission and business functions.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibility for acquisitions/contractual agreements.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting telecommunications.</li></ul>","otherId":"cp-8_obj","defaultText":null,"uuid":"32d6f676-4794-43e7-8819-e2b989a20f8b"}],"weight":1,"title":"CP-08 - Telecommunications Services","enhancements":"<strong>Enhancements</strong><ul><li>CP-8(1) - Priority of Service Provisions</li><li>CP-8(2) - Single Points of Failure</li></ul>","otherId":"cp-8","sortId":"cp-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-8"},{"objectives":[{"objectiveType":"","otherId":"cp-9.1_smt","name":"CP-9(1)","description":"Test backup information {{ insert: param, CP-9(1) }} to verify media reliability and information integrity.","uuid":"b91b702b-7fce-4496-a93c-980cc1d38e0a"}],"description":"<p>Test backup information {{ insert: param, CP-9(1) }} to verify media reliability and information integrity.</p><br/><strong>Guidance</strong><p>Organizations need assurance that backup information can be reliably retrieved. Reliability pertains to the systems and system components where the backup information is stored, the operations used to retrieve the information, and the integrity of the information being retrieved. Independent and specialized tests can be used for each of the aspects of reliability. For example, decrypting and transporting (or transmitting) a random sample of backup files from the alternate storage or backup site and comparing the information to the same information at the primary processing site can provide such assurance.</p>","uuid":"7315feb0-e031-4b34-8466-8bd37a3e47c1","family":"Contingency Planning","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"","uuid":"3459f471-cfd5-4c6c-bb9b-b8f6b781aab9","otherId":"cp-9.1_prm_1","parameterId":"CP-9(1)","text":"organization-defined frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"CP-09(01)[01]","test":"Assessment Objective: Determine if backup information is tested {{ insert: param, cp-09.01_odp.01 }} to verify media reliability;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>System backup test results.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9.1_obj-1","defaultText":null,"uuid":"97ed411f-6119-4251-9166-0e23a4311394"},{"testId":"CP-09(01)[02]","test":"Assessment Objective: Determine if backup information is tested {{ insert: param, cp-09.01_odp.02 }} to verify information integrity.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>System backup test results.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9.1_obj-2","defaultText":null,"uuid":"01e3e7eb-b176-4f4e-a4b2-9667df044ed8"}],"weight":1,"title":"CP-09(01) - Testing for Reliability and Integrity","enhancements":null,"otherId":"cp-9.1","sortId":"cp-09.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-9(1)"},{"objectives":[{"objectiveType":"","otherId":"cp-9.8_smt","name":"CP-9(8)","description":"Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, CP-9(8) }}.","uuid":"08982aae-1bb2-492c-8438-76d1488176f7"}],"description":"<p>Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of {{ insert: param, CP-9(8) }}.</p><br/><strong>Guidance</strong><p>The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanisms selected is commensurate with the security category or classification of the information. Cryptographic protection applies to system backup information in storage at both primary and alternate locations. Organizations that implement cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.</p><br/><strong>CP-9 (8) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.)</li></ul>","uuid":"bfb0d5a8-544a-433a-b471-995228b14b72","family":"Contingency Planning","parameters":[{"constraints":"all backup files","displayName":"","dataType":"","guidance":"backup information to protect against unauthorized disclosure and modification is defined;","uuid":"69e00e6b-f5ea-45e3-8bef-e8381a5eb36a","otherId":"cp-09.08_odp","parameterId":"CP-9(8)","text":"backup information","default":"[FedRAMP Assignment: all backup files]"}],"subControls":null,"tests":[{"testId":"CP-09(08)","test":"Assessment Objective: Determine if cryptographic mechanisms are implemented to prevent unauthorized disclosure and modification of {{ insert: param, cp-09.08_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing cryptographic protection of backup information.</li></ul>","otherId":"cp-9.8_obj","defaultText":null,"uuid":"51e2b472-b80c-4f02-b826-7994aa15fd38"}],"weight":1,"title":"CP-09(08) - Cryptographic Protection","enhancements":null,"otherId":"cp-9.8","sortId":"cp-09.08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-9(8)"},{"objectives":[{"objectiveType":"","otherId":"cp-9_smt.a","name":"a.","description":"<ul><li>a. Conduct backups of user-level information contained in {{ insert: param, CP-9(a)-1 }}{{ insert: param, CP-9(a)-2 }};</li></ul>","uuid":"0adf3a2f-cf08-4293-8744-ad069b454dc2"},{"objectiveType":"","otherId":"cp-9_smt.b","name":"b.","description":"<ul><li>b. Conduct backups of system-level information contained in the system {{ insert: param, CP-9(b) }};</li></ul>","uuid":"bb8ecb4b-d213-49d2-828e-1881322e1c8e"},{"objectiveType":"","otherId":"cp-9_smt.c","name":"c.","description":"<ul><li>c. Conduct backups of system documentation, including security- and privacy-related documentation {{ insert: param, CP-9(c) }} ; and</li></ul>","uuid":"a2525670-720d-44b8-967d-c29364f86999"},{"objectiveType":"","otherId":"cp-9_smt.d","name":"d.","description":"<ul><li>d. Protect the confidentiality, integrity, and availability of backup information.</li></ul>","uuid":"e9007e3d-4862-435b-97b4-bb15f5cc5016"}],"description":"<ul><li>a. Conduct backups of user-level information contained in {{ insert: param, CP-9(a)-1 }}{{ insert: param, CP-9(a)-2 }};</li><li>b. Conduct backups of system-level information contained in the system {{ insert: param, CP-9(b) }};</li><li>c. Conduct backups of system documentation, including security- and privacy-related documentation {{ insert: param, CP-9(c) }} ; and</li><li>d. Protect the confidentiality, integrity, and availability of backup information.</li></ul><br/><strong>Guidance</strong><p>System-level information includes system state information, operating system software, middleware, application software, and licenses. User-level information includes information other than system-level information. Mechanisms employed to protect the integrity of system backups include digital signatures and cryptographic hashes. Protection of system backup information while in transit is addressed by <a href=\"#mp-5\">MP-5</a> and <a href=\"#sc-8\">SC-8</a> . System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Organizations may be subject to laws, executive orders, directives, regulations, or policies with requirements regarding specific categories of information (e.g., personal health information). Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.</p><br/><strong>CP-9 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> The service provider shall determine what elements of the cloud environment require the Information System Backup control. The service provider shall determine how Information System Backup is going to be verified and appropriate periodicity of the check.</li><li><b>(a) Requirement:</b> The service provider maintains at least three backup copies of user-level information (at least one of which is available online) or provides an equivalent alternative.</li><li><b>(b) Requirement:</b> The service provider maintains at least three backup copies of system-level information (at least one of which is available online) or provides an equivalent alternative.</li><li><b>(c) Requirement:</b> The service provider maintains at least three backup copies of information system documentation including security information (at least one of which is available online) or provides an equivalent alternative.</li></ul>","uuid":"e7ed6716-d935-44fe-9c90-815cf6448028","family":"Contingency Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system components for which to conduct backups of user-level information is defined;","uuid":"eef3b2c1-d4ba-4446-8a7c-91a31c215c6f","otherId":"cp-09_odp.01","parameterId":"CP-9(a)-1","text":"system components","default":" [Assignment: organization-defined system components] "},{"constraints":"daily incremental; weekly full","displayName":"","dataType":"","guidance":"frequency at which to conduct backups of user-level information consistent with recovery time and recovery point objectives is defined;","uuid":"e1c36c6c-5fa0-40bb-8461-7d2c08f64dbf","otherId":"cp-09_odp.02","parameterId":"CP-9(a)-2","text":"frequency","default":"[FedRAMP Assignment: daily incremental; weekly full]"},{"constraints":"daily incremental; weekly full","displayName":"","dataType":"","guidance":"frequency at which to conduct backups of system-level information consistent with recovery time and recovery point objectives is defined;","uuid":"e78eaa1b-57bf-45dc-a5b9-97119194e660","otherId":"cp-09_odp.03","parameterId":"CP-9(b)","text":"frequency","default":"[FedRAMP Assignment: daily incremental; weekly full]"},{"constraints":"daily incremental; weekly full","displayName":"","dataType":"","guidance":"frequency at which to conduct backups of system documentation consistent with recovery time and recovery point objectives is defined;","uuid":"a835c375-34ad-4dac-aa9f-31ea35fc7d8d","otherId":"cp-09_odp.04","parameterId":"CP-9(c)","text":"frequency","default":"[FedRAMP Assignment: daily incremental; weekly full]"}],"subControls":null,"tests":[{"testId":"CP-09a.","test":"Assessment Objective: Determine if backups of user-level information contained in {{ insert: param, cp-09_odp.01 }} are conducted {{ insert: param, cp-09_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>Backup storage location(s).</li><li>System backup logs or records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9_obj.a","defaultText":null,"uuid":"ee180ecd-a0e8-4cd0-868c-b93575cebf94"},{"testId":"CP-09b.","test":"Assessment Objective: Determine if backups of system-level information contained in the system are conducted {{ insert: param, cp-09_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>Backup storage location(s).</li><li>System backup logs or records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9_obj.b","defaultText":null,"uuid":"3a79a82b-01ac-47b8-b7bb-c54519db493b"},{"testId":"CP-09c.","test":"Assessment Objective: Determine if backups of system documentation, including security- and privacy-related documentation are conducted {{ insert: param, cp-09_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>Backup storage location(s).</li><li>System backup logs or records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9_obj.c","defaultText":null,"uuid":"f76ee4fb-691e-4d7c-8c89-fbe1d529fb12"},{"testId":"CP-09d.[01]","test":"Assessment Objective: Determine if the confidentiality of backup information is protected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>Backup storage location(s).</li><li>System backup logs or records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9_obj.d-1","defaultText":null,"uuid":"e13ed98c-4619-4b85-b0a7-6c3b6919fdd7"},{"testId":"CP-09d.[02]","test":"Assessment Objective: Determine if the integrity of backup information is protected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>Backup storage location(s).</li><li>System backup logs or records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9_obj.d-2","defaultText":null,"uuid":"3d4616ba-3122-4711-9d5e-fadc10a31915"},{"testId":"CP-09d.[03]","test":"Assessment Objective: Determine if the availability of backup information is protected.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>Backup storage location(s).</li><li>System backup logs or records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system backup responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting system backups.</li><li>Mechanisms supporting and/or implementing system backups.</li></ul>","otherId":"cp-9_obj.d-3","defaultText":null,"uuid":"2e73f166-4682-4598-9a38-3f6409b1f1dd"}],"weight":1,"title":"CP-09 - System Backup","enhancements":"<strong>Enhancements</strong><ul><li>CP-9(1) - Testing for Reliability and Integrity</li><li>CP-9(8) - Cryptographic Protection</li></ul>","otherId":"cp-9","sortId":"cp-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-9"},{"objectives":[{"objectiveType":"","otherId":"cp-10.2_smt","name":"CP-10(2)","description":"Implement transaction recovery for systems that are transaction-based.","uuid":"96027577-cf62-4834-992b-ae0d7b5baac9"}],"description":"<p>Implement transaction recovery for systems that are transaction-based.</p><br/><strong>Guidance</strong><p>Transaction-based systems include database management systems and transaction processing systems. Mechanisms supporting transaction recovery include transaction rollback and transaction journaling.</p>","uuid":"ecb43709-7c26-4909-b092-e90b2ef3bef6","family":"Contingency Planning","parameters":[],"subControls":null,"tests":[{"testId":"CP-10(02)","test":"Assessment Objective: Determine if transaction recovery is implemented for systems that are transaction-based.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system recovery and reconstitution.</li><li>Contingency plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Contingency plan test documentation.</li><li>Contingency plan test results.</li><li>System transaction recovery records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for transaction recovery.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing transaction recovery capability.</li></ul>","otherId":"cp-10.2_obj","defaultText":null,"uuid":"3fc3482d-4c3e-441f-8dd5-9fe539e50a13"}],"weight":1,"title":"CP-10(02) - Transaction Recovery","enhancements":null,"otherId":"cp-10.2","sortId":"cp-10.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-10(2)"},{"objectives":[{"objectiveType":"","otherId":"cp-10_smt","name":"CP-10","description":"Provide for the recovery and reconstitution of the system to a known state within {{ insert: param, CP-10 }} after a disruption, compromise, or failure.","uuid":"2e4097a8-10fb-4716-a656-b93239913a35"}],"description":"<p>Provide for the recovery and reconstitution of the system to a known state within {{ insert: param, CP-10 }} after a disruption, compromise, or failure.</p><br/><strong>Guidance</strong><p>Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities; recovery point, recovery time, and reconstitution objectives; and organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of interim system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorization (if required), and activities to prepare the system and organization for future disruptions, breaches, compromises, or failures. Recovery and reconstitution capabilities can include automated mechanisms and manual procedures. Organizations establish recovery time and recovery point objectives as part of contingency planning.</p>","uuid":"1e9da69a-7317-467a-b474-278b7cb49e2a","family":"Contingency Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"90201e8c-b6ff-4b67-aece-2cc1cdc41fd2","otherId":"cp-10_prm_1","parameterId":"CP-10","text":"organization-defined time period consistent with recovery time and recovery point objectives","default":" [Assignment: organization-defined time period consistent with recovery time and recovery point objectives] "}],"subControls":null,"tests":[{"testId":"CP-10[01]","test":"Assessment Objective: Determine if the recovery of the system to a known state is provided within {{ insert: param, cp-10_odp.01 }} after a disruption, compromise, or failure;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>System backup test results.</li><li>Contingency plan test results.</li><li>Contingency plan test documentation.</li><li>Redundant secondary system for system backups.</li><li>Location(s) of redundant secondary backup system(s).</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes implementing system recovery and reconstitution operations.</li><li>Mechanisms supporting and/or implementing system recovery and reconstitution operations.</li></ul>","otherId":"cp-10_obj-1","defaultText":null,"uuid":"7ed83e08-4f3c-4fe7-af48-3bb8205a2162"},{"testId":"CP-10[02]","test":"Assessment Objective: Determine if a reconstitution of the system to a known state is provided within {{ insert: param, cp-10_odp.02 }} after a disruption, compromise, or failure.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Contingency planning policy.</li><li>Procedures addressing system backup.</li><li>Contingency plan.</li><li>System backup test results.</li><li>Contingency plan test results.</li><li>Contingency plan test documentation.</li><li>Redundant secondary system for system backups.</li><li>Location(s) of redundant secondary backup system(s).</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes implementing system recovery and reconstitution operations.</li><li>Mechanisms supporting and/or implementing system recovery and reconstitution operations.</li></ul>","otherId":"cp-10_obj-2","defaultText":null,"uuid":"19366ef6-2117-4c03-8927-d004a92e99a9"}],"weight":1,"title":"CP-10 - System Recovery and Reconstitution","enhancements":"<strong>Enhancements</strong><ul><li>CP-10(2) - Transaction Recovery</li></ul>","otherId":"cp-10","sortId":"cp-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"CP-10"},{"objectives":[{"objectiveType":"","otherId":"ia-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, IA-1(a) }}:</li><ul><li>1. {{ insert: param, IA-1(a)(1) }} identification and authentication policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;</li></ul>","uuid":"b4c1462f-5469-4183-817b-1d61d0a9c41b"},{"objectiveType":"","otherId":"ia-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, IA-1(b) }} to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and</li></ul>","uuid":"e40b18d9-c15b-4e60-bc82-5b7074dce6ae"},{"objectiveType":"","otherId":"ia-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current identification and authentication:</li><ul><li>1. Policy {{ insert: param, IA-1(c)(1)-1 }} and following {{ insert: param, IA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, IA-1(c)(2)-1 }} and following {{ insert: param, IA-1(c)(2)-2 }}.</li></ul>","uuid":"f092aee6-5642-403a-b3b7-59dffad586a6"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, IA-1(a) }}:</li><ul><li>1. {{ insert: param, IA-1(a)(1) }} identification and authentication policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;</li></ul><li>b. Designate an {{ insert: param, IA-1(b) }} to manage the development, documentation, and dissemination of the identification and authentication policy and procedures; and</li><li>c. Review and update the current identification and authentication:</li><ul><li>1. Policy {{ insert: param, IA-1(c)(1)-1 }} and following {{ insert: param, IA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, IA-1(c)(2)-1 }} and following {{ insert: param, IA-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Identification and authentication policy and procedures address the controls in the IA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of identification and authentication policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to identification and authentication policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"e7b83472-4780-4b68-b263-832325337e65","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"8f4c3cf6-e43c-4d58-8061-229cc28d217f","otherId":"ia-1_prm_1","parameterId":"IA-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"bbe97641-64db-40ac-ace1-0a97923316b7","otherId":"ia-01_odp.03","parameterId":"IA-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the identification and authentication policy and procedures is defined;","uuid":"36bb7e2f-8a0e-4ad0-9771-020226339dfc","otherId":"ia-01_odp.04","parameterId":"IA-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current identification and authentication policy is reviewed and updated is defined;","uuid":"59fb17e2-adb6-4e11-92a9-6733405d53aa","otherId":"ia-01_odp.05","parameterId":"IA-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current identification and authentication policy to be reviewed and updated are defined;","uuid":"bf86ca12-9765-4150-ba90-b715615d587f","otherId":"ia-01_odp.06","parameterId":"IA-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current identification and authentication procedures are reviewed and updated is defined;","uuid":"8e803e73-abc4-4e7a-9e1b-62c71239d40e","otherId":"ia-01_odp.07","parameterId":"IA-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require identification and authentication procedures to be reviewed and updated are defined;","uuid":"b96bd3d1-989d-441f-b004-bd65899661be","otherId":"ia-01_odp.08","parameterId":"IA-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"IA-01a.[01]","test":"Assessment Objective: Determine if an identification and authentication policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a-1","defaultText":null,"uuid":"2d30e4a2-7f17-4d46-adb2-b94aa8b04f68"},{"testId":"IA-01a.[02]","test":"Assessment Objective: Determine if the identification and authentication policy is disseminated to {{ insert: param, ia-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a-2","defaultText":null,"uuid":"25797882-fc88-4561-bb70-14eb21a9fcb1"},{"testId":"IA-01a.[03]","test":"Assessment Objective: Determine if identification and authentication procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a-3","defaultText":null,"uuid":"bbdbf382-7b88-4c31-8df9-1722f7aedc3b"},{"testId":"IA-01a.[04]","test":"Assessment Objective: Determine if the identification and authentication procedures are disseminated to {{ insert: param, ia-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a-4","defaultText":null,"uuid":"02f685b4-bdd2-4853-a1ba-acdf879ee636"},{"testId":"IA-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.a-1","defaultText":null,"uuid":"83e6dade-bb8c-4ae1-99f0-3ea66b119ce2"},{"testId":"IA-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.a-2","defaultText":null,"uuid":"acf259f4-3fe7-4ddc-ab97-241e94ee9855"},{"testId":"IA-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.a-3","defaultText":null,"uuid":"22347f40-d5e5-471a-8b49-fc7858dd6b1e"},{"testId":"IA-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.a-4","defaultText":null,"uuid":"f281260a-bee6-4d69-bf73-7fc8dbc5f092"},{"testId":"IA-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.a-5","defaultText":null,"uuid":"055f5caf-2cc6-4b18-b99d-c3c5ac92d8b7"},{"testId":"IA-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.a-6","defaultText":null,"uuid":"b4411664-21c3-400e-bbce-bced6a27a238"},{"testId":"IA-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.a-7","defaultText":null,"uuid":"9e0abbbc-1307-446c-8a09-236595888775"},{"testId":"IA-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.03 }} identification and authentication policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.a.1.b","defaultText":null,"uuid":"a5482c4b-2764-4e7f-ac5d-a1e8b3b5cd39"},{"testId":"IA-01b.","test":"Assessment Objective: Determine if the {{ insert: param, ia-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the identification and authentication policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.b","defaultText":null,"uuid":"65f9896c-ae3c-4949-979a-20b293c42248"},{"testId":"IA-01c.01[01]","test":"Assessment Objective: Determine if the current identification and authentication policy is reviewed and updated {{ insert: param, ia-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.c.1-1","defaultText":null,"uuid":"e56b01f8-c111-46ec-b5cb-a7ddcb6328e6"},{"testId":"IA-01c.01[02]","test":"Assessment Objective: Determine if the current identification and authentication policy is reviewed and updated following {{ insert: param, ia-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.c.1-2","defaultText":null,"uuid":"e2ef4470-618a-4827-8807-78aef8975d5b"},{"testId":"IA-01c.02[01]","test":"Assessment Objective: Determine if the current identification and authentication procedures are reviewed and updated {{ insert: param, ia-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.c.2-1","defaultText":null,"uuid":"f7f83fae-d9c8-4f92-af66-333b744b7a77"},{"testId":"IA-01c.02[02]","test":"Assessment Objective: Determine if the current identification and authentication procedures are reviewed and updated following {{ insert: param, ia-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>List of events requiring identification and authentication procedures to be reviewed and updated (e.g., audit findings).</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identification and authentication responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ia-1_obj.c.2-2","defaultText":null,"uuid":"487e6604-0254-41bc-a1e6-0b73b0ed6a6a"}],"weight":1,"title":"IA-01 - Policy and Procedures","enhancements":"","otherId":"ia-1","sortId":"ia-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-1"},{"objectives":[{"objectiveType":"","otherId":"ia-2.1_smt","name":"IA-2(1)","description":"Implement multi-factor authentication for access to privileged accounts.","uuid":"b528ccd0-6cb9-4055-af65-8d96af05a31e"}],"description":"<p>Implement multi-factor authentication for access to privileged accounts.</p><br/><strong>Guidance</strong><p>Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification (PIV) card or the Department of Defense (DoD) Common Access Card (CAC). In addition to authenticating users at the system level (i.e., at logon), organizations may employ authentication mechanisms at the application level, at their discretion, to provide increased security. Regardless of the type of access (i.e., local, network, remote), privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.</p><br/><strong>IA-2 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Multi-factor authentication to subsequent components in the same user domain is not required.</li><li><b>Requirement:</b> According to SP 800-63-3, SP 800-63A (IAL), SP 800-63B (AAL), and SP 800-63C (FAL).</li><li><b>Requirement:</b> Multi-factor authentication must be phishing-resistant.</li></ul>","uuid":"11286d41-96fa-4774-9b4a-f3c7caf97333","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-02(01)","test":"Assessment Objective: Determine if multi-factor authentication is implemented for access to privileged accounts.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing user identification and authentication.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing a multi-factor authentication capability.</li></ul>","otherId":"ia-2.1_obj","defaultText":null,"uuid":"38c8785f-9d6c-437e-9bd2-c9ed346543a1"}],"weight":1,"title":"IA-02(01) - Multi-factor Authentication to Privileged Accounts","enhancements":null,"otherId":"ia-2.1","sortId":"ia-02.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-2(1)"},{"objectives":[{"objectiveType":"","otherId":"ia-2.2_smt","name":"IA-2(2)","description":"Implement multi-factor authentication for access to non-privileged accounts.","uuid":"d6408853-413e-4078-b240-76508a10ab87"}],"description":"<p>Implement multi-factor authentication for access to non-privileged accounts.</p><br/><strong>Guidance</strong><p>Multi-factor authentication requires the use of two or more different factors to achieve authentication. The authentication factors are defined as follows: something you know (e.g., a personal identification number [PIN]), something you have (e.g., a physical authenticator such as a cryptographic private key), or something you are (e.g., a biometric). Multi-factor authentication solutions that feature physical authenticators include hardware authenticators that provide time-based or challenge-response outputs and smart cards such as the U.S. Government Personal Identity Verification card or the DoD Common Access Card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, remote), non-privileged accounts are authenticated using multi-factor options appropriate for the level of risk. Organizations can provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.</p><br/><strong>IA-2 (2) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Multi-factor authentication to subsequent components in the same user domain is not required.</li><li><b>Requirement:</b> According to SP 800-63-3, SP 800-63A (IAL), SP 800-63B (AAL), and SP 800-63C (FAL).</li><li><b>Requirement:</b> Multi-factor authentication must be phishing-resistant.</li></ul>","uuid":"f759cba7-3fd8-4a46-8377-326e68d0466d","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-02(02)","test":"Assessment Objective: Determine if multi-factor authentication for access to non-privileged accounts is implemented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing a multi-factor authentication capability.</li></ul>","otherId":"ia-2.2_obj","defaultText":null,"uuid":"07b4d822-c96d-4dbe-b906-57ced1b929d3"}],"weight":1,"title":"IA-02(02) - Multi-factor Authentication to Non-privileged Accounts","enhancements":null,"otherId":"ia-2.2","sortId":"ia-02.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-2(2)"},{"objectives":[{"objectiveType":"","otherId":"ia-2.5_smt","name":"IA-2(5)","description":"When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.","uuid":"04b0e5b4-34d4-4caa-8e46-c29575c9f5f6"}],"description":"<p>When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.</p><br/><strong>Guidance</strong><p>Individual authentication prior to shared group authentication mitigates the risk of using group accounts or authenticators.</p>","uuid":"c387d225-1df7-4f4a-949c-64ceb5c2f9fb","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-02(05)","test":"Assessment Objective: Determine if users are required to be individually authenticated before granting access to the shared accounts or resources when shared accounts or authenticators are employed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing an authentication capability for group accounts.</li></ul>","otherId":"ia-2.5_obj","defaultText":null,"uuid":"16243db7-c068-4bd7-affd-34bcdc846e45"}],"weight":1,"title":"IA-02(05) - Individual Authentication with Group Authentication","enhancements":null,"otherId":"ia-2.5","sortId":"ia-02.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-2(5)"},{"objectives":[{"objectiveType":"","otherId":"ia-2.6_smt.a","name":"(a)","description":"<ul><li>(a) Implement multi-factor authentication for {{ insert: param, IA-2(6)-1 }} access to {{ insert: param, IA-2(6)-2 }} such that: One of the factors is provided by a device separate from the system gaining access; and</li></ul>","uuid":"27c623d9-dfa8-474c-8a10-d807e298a463"},{"objectiveType":"","otherId":"ia-2.6_smt.b","name":"(b)","description":"<ul><li>(b) Implement multi-factor authentication for {{ insert: param, IA-2(6)-1 }} access to {{ insert: param, IA-2(6)-2 }} such that: The device meets {{ insert: param, IA-2(6)(b) }}.</li></ul>","uuid":"9e8a3bc8-e2d9-4ab9-9e9a-4f8aaa9c2914"}],"description":"<p>Implement multi-factor authentication for {{ insert: param, IA-2(6)-1 }} access to {{ insert: param, IA-2(6)-2 }} such that:</p><ul><li>(a) One of the factors is provided by a device separate from the system gaining access; and</li><li>(b) The device meets {{ insert: param, IA-2(6)(b) }}.</li></ul><br/><strong>Guidance</strong><p>The purpose of requiring a device that is separate from the system to which the user is attempting to gain access for one of the factors during multi-factor authentication is to reduce the likelihood of compromising authenticators or credentials stored on the system. Adversaries may be able to compromise such authenticators or credentials and subsequently impersonate authorized users. Implementing one of the factors on a separate device (e.g., a hardware token), provides a greater strength of mechanism and an increased level of assurance in the authentication process.</p><br/><strong>IA-2 (6) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> PIV=separate device. Please refer to NIST SP 800-157 Guidelines for Derived Personal Identity Verification (PIV) Credentials.</li><li><b>Guidance:</b> See SC-13 Guidance for more information on FIPS-validated or NSA-approved cryptography.</li></ul>","uuid":"1f0f5bcb-81db-4a0d-b87f-6fff93a44d66","family":"Identification and Authentication","parameters":[{"constraints":"local, network and remote","displayName":"","dataType":"","guidance":"","uuid":"e67423c1-2446-426f-8c76-5c8c6f4a371c","otherId":"ia-02.06_odp.01","parameterId":"IA-2(6)-1","text":"[Selection (one or more): local; network; remote]","default":"[FedRAMP Assignment: local, network and remote]"},{"constraints":"privileged accounts; non-privileged accounts","displayName":"","dataType":"","guidance":"","uuid":"caae9bb0-75c9-4006-a23e-f9450e004a3a","otherId":"ia-02.06_odp.02","parameterId":"IA-2(6)-2","text":"[Selection (one or more): privileged accounts; non-privileged accounts]","default":"[FedRAMP Assignment: privileged accounts; non-privileged accounts]"},{"constraints":"FIPS-validated or NSA-approved cryptography","displayName":"","dataType":"","guidance":"the strength of mechanism requirements to be enforced by a device separate from the system gaining access to accounts is defined;","uuid":"1e96ade0-f1de-4002-a08a-328bff10e079","otherId":"ia-02.06_odp.03","parameterId":"IA-2(6)(b)","text":"strength of mechanism requirements","default":"[FedRAMP Assignment: FIPS-validated or NSA-approved cryptography]"}],"subControls":null,"tests":[{"testId":"IA-02(06)(a)","test":"Assessment Objective: Determine if multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that one of the factors is provided by a device separate from the system gaining access;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing multi-factor authentication capability.</li></ul>","otherId":"ia-2.6_obj.a","defaultText":null,"uuid":"ba6babf4-8afe-418d-a664-0e8dff585571"},{"testId":"IA-02(06)(b)","test":"Assessment Objective: Determine if multi-factor authentication is implemented for {{ insert: param, ia-02.06_odp.01 }} access to {{ insert: param, ia-02.06_odp.02 }} such that the device meets {{ insert: param, ia-02.06_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing multi-factor authentication capability.</li></ul>","otherId":"ia-2.6_obj.b","defaultText":null,"uuid":"3a76f676-63a9-4f81-8b3d-0282a233747d"}],"weight":1,"title":"IA-02(06) - Access to Accounts —separate Device","enhancements":null,"otherId":"ia-2.6","sortId":"ia-02.06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-2(6)"},{"objectives":[{"objectiveType":"","otherId":"ia-2.8_smt","name":"IA-2(8)","description":"Implement replay-resistant authentication mechanisms for access to {{ insert: param, IA-2(8) }}.","uuid":"4490b15a-62f4-462f-8dd5-e2d86cd2fa8a"}],"description":"<p>Implement replay-resistant authentication mechanisms for access to {{ insert: param, IA-2(8) }}.</p><br/><strong>Guidance</strong><p>Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include protocols that use nonces or challenges such as time synchronous or cryptographic authenticators.</p>","uuid":"ec9c98b6-5ea5-4cc9-9dcb-2cf2dffc5852","family":"Identification and Authentication","parameters":[{"constraints":"privileged accounts; non-privileged accounts","displayName":"","dataType":"","guidance":"","uuid":"b204d792-24c5-462c-8e61-58bdaa2c91c1","otherId":"ia-02.08_odp","parameterId":"IA-2(8)","text":"[Selection (one or more): privileged accounts; non-privileged accounts]","default":"[FedRAMP Assignment: privileged accounts; non-privileged accounts]"}],"subControls":null,"tests":[{"testId":"IA-02(08)","test":"Assessment Objective: Determine if replay-resistant authentication mechanisms for access to {{ insert: param, ia-02.08_odp }} are implemented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of privileged system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li><li>Mechanisms supporting and/or implementing replay-resistant authentication mechanisms.</li></ul>","otherId":"ia-2.8_obj","defaultText":null,"uuid":"596d5582-bdd3-488a-989e-8f7e93b693f6"}],"weight":1,"title":"IA-02(08) - Access to Accounts — Replay Resistant","enhancements":null,"otherId":"ia-2.8","sortId":"ia-02.08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-2(8)"},{"objectives":[{"objectiveType":"","otherId":"ia-2.12_smt","name":"IA-2(12)","description":"Accept and electronically verify Personal Identity Verification-compliant credentials.","uuid":"fcfea396-bad8-4f0a-be00-7f2e53338df9"}],"description":"<p>Accept and electronically verify Personal Identity Verification-compliant credentials.</p><br/><strong>Guidance</strong><p>Acceptance of Personal Identity Verification (PIV)-compliant credentials applies to organizations implementing logical access control and physical access control systems. PIV-compliant credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are authorized using <a href=\"#10963761-58fc-4b20-b3d6-b44a54daba03\">SP 800-79-2</a> . Acceptance of PIV-compliant credentials includes derived PIV credentials, the use of which is addressed in <a href=\"#e8552d48-cf41-40aa-8b06-f45f7fb4706c\">SP 800-166</a> . The DOD Common Access Card (CAC) is an example of a PIV credential.</p><br/><strong>IA-2 (12) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Include Common Access Card (CAC), i.e., the DoD technical implementation of PIV/FIPS 201/HSPD-12.</li></ul>","uuid":"d67674a9-06c6-495c-a7d4-3813f581d7d0","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-02(12)","test":"Assessment Objective: Determine if Personal Identity Verification-compliant credentials are accepted and electronically verified.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Piv verification records.</li><li>Evidence of piv credentials.</li><li>Piv credential authorizations.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing acceptance and verification of piv credentials.</li></ul>","otherId":"ia-2.12_obj","defaultText":null,"uuid":"5e989bf0-5f3f-4a6e-8783-0a500003cedd"}],"weight":1,"title":"IA-02(12) - Acceptance of PIV Credentials","enhancements":null,"otherId":"ia-2.12","sortId":"ia-02.12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-2(12)"},{"objectives":[{"objectiveType":"","otherId":"ia-2_smt","name":"IA-2","description":"Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users.","uuid":"265e1164-e0f4-4457-8f4a-c471a43f0c33"}],"description":"<p>Uniquely identify and authenticate organizational users and associate that unique identification with processes acting on behalf of those users.</p><br/><strong>Guidance</strong><p>Organizations can satisfy the identification and authentication requirements by complying with the requirements in <a href=\"#f16e438e-7114-4144-bfe2-2dfcad8cb2d0\">HSPD 12</a> . Organizational users include employees or individuals who organizations consider to have an equivalent status to employees (e.g., contractors and guest researchers). Unique identification and authentication of users applies to all accesses other than those that are explicitly identified in <a href=\"#ac-14\">AC-14</a> and that occur through the authorized use of group authenticators without individual authentication. Since processes execute on behalf of groups and roles, organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity.</p><p>Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities or, in the case of multi-factor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where access is obtained through direct connections without the use of networks. Network access is access to organizational systems by users (or processes acting on behalf of users) where access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks. Internal networks include local area networks and wide area networks.</p><p>The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization-controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in <a href=\"#ia-8\">IA-8</a>.</p><br/><strong>IA-2 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> \"Phishing-resistant\" authentication refers to authentication processes designed to detect and prevent disclosure of authentication secrets and outputs to a website or application masquerading as a legitimate system.</li><li><b>Requirement:</b> For all control enhancements that specify multifactor authentication, the implementation must adhere to the Digital Identity Guidelines specified in NIST Special Publication 800-63B.</li><li><b>Requirement:</b> Multi-factor authentication must be phishing-resistant.</li><li><b>Requirement:</b> All uses of encrypted virtual private networks must meet all applicable Federal requirements and architecture, dataflow, and security and privacy controls must be documented, assessed, and authorized to operate.</li></ul>","uuid":"6f038c3c-1583-4c51-bd4c-a2f28624a3db","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-02[01]","test":"Assessment Objective: Determine if organizational users are uniquely identified and authenticated;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing user identification and authentication.</li><li>System security plan, system design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for uniquely identifying and authenticating users.</li><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-2_obj-1","defaultText":null,"uuid":"c53bb960-dcb7-400c-9796-4cf8f0aa2275"},{"testId":"IA-02[02]","test":"Assessment Objective: Determine if the unique identification of authenticated organizational users is associated with processes acting on behalf of those users.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing user identification and authentication.</li><li>System security plan, system design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for uniquely identifying and authenticating users.</li><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-2_obj-2","defaultText":null,"uuid":"e6672ff5-85e3-4a52-afb2-5bf5c000f88d"}],"weight":1,"title":"IA-02 - Identification and Authentication (Organizational Users)","enhancements":"<strong>Enhancements</strong><ul><li>IA-2(1) - Multi-factor Authentication to Privileged Accounts</li><li>IA-2(2) - Multi-factor Authentication to Non-privileged Accounts</li><li>IA-2(5) - Individual Authentication with Group Authentication</li><li>IA-2(6) - Access to Accounts —separate Device</li><li>IA-2(8) - Access to Accounts — Replay Resistant</li><li>IA-2(12) - Acceptance of PIV Credentials</li></ul>","otherId":"ia-2","sortId":"ia-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-2"},{"objectives":[{"objectiveType":"","otherId":"ia-3_smt","name":"IA-3","description":"Uniquely identify and authenticate {{ insert: param, IA-3-1 }} before establishing a {{ insert: param, IA-3-2 }} connection.","uuid":"8d418f13-4530-4b0b-bf36-20298371b16f"}],"description":"<p>Uniquely identify and authenticate {{ insert: param, IA-3-1 }} before establishing a {{ insert: param, IA-3-2 }} connection.</p><br/><strong>Guidance</strong><p>Devices that require unique device-to-device identification and authentication are defined by type, device, or a combination of type and device. Organization-defined device types include devices that are not owned by the organization. Systems use shared known information (e.g., Media Access Control [MAC], Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., Institute of Electrical and Electronics Engineers (IEEE) 802.1x and Extensible Authentication Protocol [EAP], RADIUS server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission or business requirements. Because of the challenges of implementing device authentication on a large scale, organizations can restrict the application of the control to a limited number/type of devices based on mission or business needs.</p>","uuid":"b75d8426-5702-41f4-8c98-b38dd0f43e5a","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"devices and/or types of devices to be uniquely identified and authenticated before establishing a connection are defined;","uuid":"56a4a6d1-daf4-4e92-9694-769f8a9a4fc4","otherId":"ia-03_odp.01","parameterId":"IA-3-1","text":"devices and/or types of devices","default":" [Assignment: organization-defined devices and/or types of devices] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"e70600ca-9920-4010-b4b7-1f6542a7f9af","otherId":"ia-03_odp.02","parameterId":"IA-3-2","text":"[Selection (one or more): local; remote; network]","default":"[Selection (one or more): local; remote; network]"}],"subControls":null,"tests":[{"testId":"IA-03","test":"Assessment Objective: Determine if \n{{ insert: param, ia-03_odp.01 }} are uniquely identified and authenticated before establishing a {{ insert: param, ia-03_odp.02 }} connection.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing device identification and authentication.</li><li>System design documentation.</li><li>List of devices requiring unique identification and authentication.</li><li>Device connection reports.</li><li>System configuration settings and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with operational responsibilities for device identification and authentication.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing device identification and authentication capabilities.</li></ul>","otherId":"ia-3_obj","defaultText":null,"uuid":"3efa3bf6-fddf-4dba-84f3-d113ec69881d"}],"weight":1,"title":"IA-03 - Device Identification and Authentication","enhancements":"","otherId":"ia-3","sortId":"ia-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-3"},{"objectives":[{"objectiveType":"","otherId":"ia-4.4_smt","name":"IA-4(4)","description":"Manage individual identifiers by uniquely identifying each individual as {{ insert: param, IA-4(4) }}.","uuid":"13594e93-3350-4fb4-98ef-7c0ab1e6fe05"}],"description":"<p>Manage individual identifiers by uniquely identifying each individual as {{ insert: param, IA-4(4) }}.</p><br/><strong>Guidance</strong><p>Characteristics that identify the status of individuals include contractors, foreign nationals, and non-organizational users. Identifying the status of individuals by these characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.</p>","uuid":"60d57d3b-289c-43c7-b686-3507a3e645eb","family":"Identification and Authentication","parameters":[{"constraints":"contractors; foreign nationals","displayName":"","dataType":"","guidance":"characteristics used to identify individual status is defined;","uuid":"295db731-29b3-4f9c-b492-4cd6bd6920e9","otherId":"ia-04.04_odp","parameterId":"IA-4(4)","text":"characteristics","default":"[FedRAMP Assignment: contractors; foreign nationals]"}],"subControls":null,"tests":[{"testId":"IA-04(04)","test":"Assessment Objective: Determine if individual identifiers are managed by uniquely identifying each individual as {{ insert: param, ia-04.04_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing identifier management.</li><li>Procedures addressing account management.</li><li>List of characteristics identifying individual status.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identifier management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identifier management.</li></ul>","otherId":"ia-4.4_obj","defaultText":null,"uuid":"c11f6d11-e3a2-4874-9d56-d6378ac123fe"}],"weight":1,"title":"IA-04(04) - Identify User Status","enhancements":null,"otherId":"ia-4.4","sortId":"ia-04.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-4(4)"},{"objectives":[{"objectiveType":"","otherId":"ia-4_smt.a","name":"a.","description":"<ul><li>a. Manage system identifiers by: Receiving authorization from {{ insert: param, IA-4(a) }} to assign an individual, group, role, service, or device identifier;</li></ul>","uuid":"238349f3-4daa-4d6f-aa27-f7234bc0e1d1"},{"objectiveType":"","otherId":"ia-4_smt.b","name":"b.","description":"<ul><li>b. Manage system identifiers by: Selecting an identifier that identifies an individual, group, role, service, or device;</li></ul>","uuid":"5cc84bdd-1c38-44dc-9b80-6e59986b6dce"},{"objectiveType":"","otherId":"ia-4_smt.c","name":"c.","description":"<ul><li>c. Manage system identifiers by: Assigning the identifier to the intended individual, group, role, service, or device; and</li></ul>","uuid":"b50f5117-dcfd-45c0-850c-42a245ab362e"},{"objectiveType":"","otherId":"ia-4_smt.d","name":"d.","description":"<ul><li>d. Manage system identifiers by: Preventing reuse of identifiers for {{ insert: param, IA-4(d) }}.</li></ul>","uuid":"89d514b2-3ce8-4ec9-b092-44d79d15527d"}],"description":"<p>Manage system identifiers by:</p><ul><li>a. Receiving authorization from {{ insert: param, IA-4(a) }} to assign an individual, group, role, service, or device identifier;</li><li>b. Selecting an identifier that identifies an individual, group, role, service, or device;</li><li>c. Assigning the identifier to the intended individual, group, role, service, or device; and</li><li>d. Preventing reuse of identifiers for {{ insert: param, IA-4(d) }}.</li></ul><br/><strong>Guidance</strong><p>Common device identifiers include Media Access Control (MAC) addresses, Internet Protocol (IP) addresses, or device-unique token identifiers. The management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the usernames of the system accounts assigned to those individuals. In such instances, the account management activities of <a href=\"#ac-2\">AC-2</a> use account names provided by <a href=\"#ia-4\">IA-4</a> . Identifier management also addresses individual identifiers not necessarily associated with system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, service, or device identifiers to different individuals, groups, roles, services, or devices.</p>","uuid":"79db31d6-7629-47de-8c81-a1cae489d93d","family":"Identification and Authentication","parameters":[{"constraints":"at a minimum, the ISSO (or similar role within the organization)","displayName":"","dataType":"","guidance":"personnel or roles from whom authorization must be received to assign an identifier are defined;","uuid":"3233138c-8021-4f1d-9378-7f7f7d5c604e","otherId":"ia-04_odp.01","parameterId":"IA-4(a)","text":"personnel or roles","default":"[FedRAMP Assignment: at a minimum, the ISSO (or similar role within the organization)]"},{"constraints":"at least two (2) years","displayName":"","dataType":"","guidance":"a time period for preventing reuse of identifiers is defined;","uuid":"42fcd802-4ef7-4c5f-ba90-69048190a437","otherId":"ia-04_odp.02","parameterId":"IA-4(d)","text":"time period","default":"[FedRAMP Assignment: at least two (2) years]"}],"subControls":null,"tests":[{"testId":"IA-04a.","test":"Assessment Objective: Determine if system identifiers are managed by receiving authorization from {{ insert: param, ia-04_odp.01 }} to assign to an individual, group, role, or device identifier;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identifier management.</li><li>Procedures addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system accounts.</li><li>List of identifiers generated from physical access control devices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identifier management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identifier management.</li></ul>","otherId":"ia-4_obj.a","defaultText":null,"uuid":"fc2e41a6-fc1c-459b-998a-63d65a28b24b"},{"testId":"IA-04b.","test":"Assessment Objective: Determine if system identifiers are managed by selecting an identifier that identifies an individual, group, role, service, or device;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identifier management.</li><li>Procedures addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system accounts.</li><li>List of identifiers generated from physical access control devices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identifier management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identifier management.</li></ul>","otherId":"ia-4_obj.b","defaultText":null,"uuid":"b77f46ca-2c72-4351-8041-e5031727d4a7"},{"testId":"IA-04c.","test":"Assessment Objective: Determine if system identifiers are managed by assigning the identifier to the intended individual, group, role, service, or device;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identifier management.</li><li>Procedures addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system accounts.</li><li>List of identifiers generated from physical access control devices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identifier management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identifier management.</li></ul>","otherId":"ia-4_obj.c","defaultText":null,"uuid":"1379aff0-4aca-4b5c-a980-8790e3e3c10f"},{"testId":"IA-04d.","test":"Assessment Objective: Determine if system identifiers are managed by preventing reuse of identifiers for {{ insert: param, ia-04_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identifier management.</li><li>Procedures addressing account management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system accounts.</li><li>List of identifiers generated from physical access control devices.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with identifier management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identifier management.</li></ul>","otherId":"ia-4_obj.d","defaultText":null,"uuid":"bb1b99d8-cc89-4f11-9075-b2d828a0da76"}],"weight":1,"title":"IA-04 - Identifier Management","enhancements":"<strong>Enhancements</strong><ul><li>IA-4(4) - Identify User Status</li></ul>","otherId":"ia-4","sortId":"ia-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-4"},{"objectives":[{"objectiveType":"","otherId":"ia-5.1_smt.a","name":"(a)","description":"<ul><li>(a) For password-based authentication: Maintain a list of commonly-used, expected, or compromised passwords and update the list {{ insert: param, IA-5(1)(a) }} and when organizational passwords are suspected to have been compromised directly or indirectly;</li></ul>","uuid":"5a09ec11-589c-40f4-8d53-77f74d824d81"},{"objectiveType":"","otherId":"ia-5.1_smt.b","name":"(b)","description":"<ul><li>(b) For password-based authentication: Verify, when users create or update passwords, that the passwords are not found on the list of commonly-used, expected, or compromised passwords in IA-5(1)(a);</li></ul>","uuid":"6589277e-6b43-4bea-a00c-5c121da3f0c8"},{"objectiveType":"","otherId":"ia-5.1_smt.c","name":"(c)","description":"<ul><li>(c) For password-based authentication: Transmit passwords only over cryptographically-protected channels;</li></ul>","uuid":"271f663a-ced9-4722-82ca-825f1ce666ae"},{"objectiveType":"","otherId":"ia-5.1_smt.d","name":"(d)","description":"<ul><li>(d) For password-based authentication: Store passwords using an approved salted key derivation function, preferably using a keyed hash;</li></ul>","uuid":"477a0587-adc0-4ea9-b9de-357d4605f5f3"},{"objectiveType":"","otherId":"ia-5.1_smt.e","name":"(e)","description":"<ul><li>(e) For password-based authentication: Require immediate selection of a new password upon account recovery;</li></ul>","uuid":"503049e0-752b-4b94-9025-b8d6fc11708f"},{"objectiveType":"","otherId":"ia-5.1_smt.f","name":"(f)","description":"<ul><li>(f) For password-based authentication: Allow user selection of long passwords and passphrases, including spaces and all printable characters;</li></ul>","uuid":"1ebef048-34b5-481d-9568-0cde17ba38b5"},{"objectiveType":"","otherId":"ia-5.1_smt.g","name":"(g)","description":"<ul><li>(g) For password-based authentication: Employ automated tools to assist the user in selecting strong password authenticators; and</li></ul>","uuid":"2b9b16aa-c6c8-431f-a237-a04e317e3b80"},{"objectiveType":"","otherId":"ia-5.1_smt.h","name":"(h)","description":"<ul><li>(h) For password-based authentication: Enforce the following composition and complexity rules: {{ insert: param, IA-5(1)(h) }}.</li></ul>","uuid":"eea2f782-a4dd-40e7-91f6-6cc814e29395"}],"description":"<p>For password-based authentication:</p><ul><li>(a) Maintain a list of commonly-used, expected, or compromised passwords and update the list {{ insert: param, IA-5(1)(a) }} and when organizational passwords are suspected to have been compromised directly or indirectly;</li><li>(b) Verify, when users create or update passwords, that the passwords are not found on the list of commonly-used, expected, or compromised passwords in IA-5(1)(a);</li><li>(c) Transmit passwords only over cryptographically-protected channels;</li><li>(d) Store passwords using an approved salted key derivation function, preferably using a keyed hash;</li><li>(e) Require immediate selection of a new password upon account recovery;</li><li>(f) Allow user selection of long passwords and passphrases, including spaces and all printable characters;</li><li>(g) Employ automated tools to assist the user in selecting strong password authenticators; and</li><li>(h) Enforce the following composition and complexity rules: {{ insert: param, IA-5(1)(h) }}.</li></ul><br/><strong>Guidance</strong><p>Password-based authentication applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefits while decreasing usability. However, organizations may choose to establish certain rules for password generation (e.g., minimum character length for long passwords) under certain circumstances and can enforce this requirement in IA-5(1)(h). Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically protected passwords include salted one-way cryptographic hashes of passwords. The list of commonly used, compromised, or expected passwords includes passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. The list includes context-specific words, such as the name of the service, username, and derivatives thereof.</p><br/><strong>IA-5 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Note that (c) and (d) require the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13).</li><li><b>Requirement:</b> Password policies must be compliant with NIST SP 800-63B for all memorized, lookup, out-of-band, or One-Time-Passwords (OTP). Password policies shall not enforce special character or minimum password rotation requirements for memorized secrets of users.</li><li><b>(h) Requirement:</b> For cases where technology doesn't allow multi-factor authentication, these rules should be enforced: must have a minimum length of 14 characters and must support all printable ASCII characters.For emergency use accounts, these rules should be enforced: must have a minimum length of 14 characters, must support all printable ASCII characters, and passwords must be changed if used.</li></ul>","uuid":"2ccb3d90-b8b8-40ce-8792-d0f94ecb5c65","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the frequency at which to update the list of commonly used, expected, or compromised passwords is defined;","uuid":"4683b838-07d4-4189-ac8f-505c864ed8c5","otherId":"ia-05.01_odp.01","parameterId":"IA-5(1)(a)","text":"frequency","default":" [Assignment: organization-defined frequency] "},{"constraints":"","displayName":"","dataType":"","guidance":"authenticator composition and complexity rules are defined;","uuid":"1db30443-302f-4c6a-b7c6-a1350ada3038","otherId":"ia-05.01_odp.02","parameterId":"IA-5(1)(h)","text":"composition and complexity rules","default":" [Assignment: organization-defined composition and complexity rules] "}],"subControls":null,"tests":[{"testId":"IA-05(01)(a)","test":"Assessment Objective: Determine if for password-based authentication, a list of commonly used, expected, or compromised passwords is maintained and updated {{ insert: param, ia-05.01_odp.01 }} and when organizational passwords are suspected to have been compromised directly or indirectly;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.a","defaultText":null,"uuid":"9c3f7220-3d20-4e8c-aaf5-598996d7f6a0"},{"testId":"IA-05(01)(b)","test":"Assessment Objective: Determine if for password-based authentication when passwords are created or updated by users, the passwords are verified not to be found on the list of commonly used, expected, or compromised passwords in IA-05(01)(a);<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.b","defaultText":null,"uuid":"d665fbaa-f905-4d1a-837f-0efe063c27a9"},{"testId":"IA-05(01)(c)","test":"Assessment Objective: Determine if for password-based authentication, passwords are only transmitted over cryptographically protected channels;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.c","defaultText":null,"uuid":"804ae9df-f601-4634-9cce-bcabfbd3d852"},{"testId":"IA-05(01)(d)","test":"Assessment Objective: Determine if for password-based authentication, passwords are stored using an approved salted key derivation function, preferably using a keyed hash;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.d","defaultText":null,"uuid":"9cd9b8c7-3ba1-4276-a250-0c95fcbb10eb"},{"testId":"IA-05(01)(e)","test":"Assessment Objective: Determine if for password-based authentication, immediate selection of a new password is required upon account recovery;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.e","defaultText":null,"uuid":"f28fa464-059d-44dc-bb08-801aa50f2cb6"},{"testId":"IA-05(01)(f)","test":"Assessment Objective: Determine if for password-based authentication, user selection of long passwords and passphrases is allowed, including spaces and all printable characters;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.f","defaultText":null,"uuid":"d6f08688-5c55-4c14-a4ed-15ffce330f93"},{"testId":"IA-05(01)(g)","test":"Assessment Objective: Determine if for password-based authentication, automated tools are employed to assist the user in selecting strong password authenticators;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.g","defaultText":null,"uuid":"2022a456-7420-4245-96a1-b1615f6c6507"},{"testId":"IA-05(01)(h)","test":"Assessment Objective: Determine if for password-based authentication, {{ insert: param, ia-05.01_odp.02 }} are enforced.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Password policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Password configurations and associated documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing password-based authenticator management capability.</li></ul>","otherId":"ia-5.1_obj.h","defaultText":null,"uuid":"91ab3a41-970a-44a1-8e89-830a1232fa5a"}],"weight":1,"title":"IA-05(01) - Password-based Authentication","enhancements":null,"otherId":"ia-5.1","sortId":"ia-05.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-5(1)"},{"objectives":[{"objectiveType":"","otherId":"ia-5.2_smt.a","name":"(a)","description":"<ul><li>(a) For public key-based authentication:</li><ul><li>(1) Enforce authorized access to the corresponding private key; and</li><li>(2) Map the authenticated identity to the account of the individual or group; and</li></ul>","uuid":"970e9610-4662-416d-8471-680426bb3a68"},{"objectiveType":"","otherId":"ia-5.2_smt.b","name":"(b)","description":"<ul><li>(b) When public key infrastructure (PKI) is used:</li><ul><li>(1) Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and</li><li>(2) Implement a local cache of revocation data to support path discovery and validation.</li></ul>","uuid":"80e430b2-cadf-4492-ab37-b0623edee262"}],"description":"<ul><li>(a) For public key-based authentication:</li><ul><li>(1) Enforce authorized access to the corresponding private key; and</li><li>(2) Map the authenticated identity to the account of the individual or group; and</li></ul><li>(b) When public key infrastructure (PKI) is used:</li><ul><li>(1) Validate certificates by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information; and</li><li>(2) Implement a local cache of revocation data to support path discovery and validation.</li></ul><br/><strong>Guidance</strong><p>Public key cryptography is a valid authentication mechanism for individuals, machines, and devices. For PKI solutions, status information for certification paths includes certificate revocation lists or certificate status protocol responses. For PIV cards, certificate validation involves the construction and verification of a certification path to the Common Policy Root trust anchor, which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation also supports system availability in situations where organizations are unable to access revocation information via the network.</p>","uuid":"dc30c596-06bb-4ff2-89e8-60f53aaed01f","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-05(02)(a)(01)","test":"Assessment Objective: Determine if authorized access to the corresponding private key is enforced for public key-based authentication;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Pki certification validation records.</li><li>Pki certification revocation lists.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with pki-based, authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing pki-based, authenticator management capability.</li></ul>","otherId":"ia-5.2_obj.a.1","defaultText":null,"uuid":"c7b9b6eb-83d8-4ba4-bfb5-71f7c55032f3"},{"testId":"IA-05(02)(a)(02)","test":"Assessment Objective: Determine if the authenticated identity is mapped to the account of the individual or group for public key-based authentication;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Pki certification validation records.</li><li>Pki certification revocation lists.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with pki-based, authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing pki-based, authenticator management capability.</li></ul>","otherId":"ia-5.2_obj.a.2","defaultText":null,"uuid":"f62c6a63-2975-430c-bb65-190541832430"},{"testId":"IA-05(02)(b)(01)","test":"Assessment Objective: Determine if when public key infrastructure (PKI) is used, certificates are validated by constructing and verifying a certification path to an accepted trust anchor, including checking certificate status information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Pki certification validation records.</li><li>Pki certification revocation lists.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with pki-based, authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing pki-based, authenticator management capability.</li></ul>","otherId":"ia-5.2_obj.b.1","defaultText":null,"uuid":"43f5eb3a-c671-4cc2-8d77-31b7c2e052d0"},{"testId":"IA-05(02)(b)(02)","test":"Assessment Objective: Determine if when public key infrastructure (PKI) is used, a local cache of revocation data is implemented to support path discovery and validation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing authenticator management.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Pki certification validation records.</li><li>Pki certification revocation lists.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with pki-based, authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing pki-based, authenticator management capability.</li></ul>","otherId":"ia-5.2_obj.b.2","defaultText":null,"uuid":"fab9139c-70cb-4762-a7e4-ed448ca2eee8"}],"weight":1,"title":"IA-05(02) - Public Key-based Authentication","enhancements":null,"otherId":"ia-5.2","sortId":"ia-05.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-5(2)"},{"objectives":[{"objectiveType":"","otherId":"ia-5.6_smt","name":"IA-5(6)","description":"Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access.","uuid":"04364758-7abe-472e-a67c-0399d6aacf0b"}],"description":"<p>Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access.</p><br/><strong>Guidance</strong><p>For systems that contain multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems. Security categories of information are determined as part of the security categorization process.</p>","uuid":"1a48a9f2-588e-4ce6-836c-3626db001eca","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-05(06)","test":"Assessment Objective: Determine if authenticators are protected commensurate with the security category of the information to which use of the authenticator permits access.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing authenticator management.</li><li>Security categorization documentation for the system.</li><li>Security assessments of authenticator protections.</li><li>Risk assessment results.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel implementing and/or maintaining authenticator protections.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li><li>Mechanisms protecting authenticators.</li></ul>","otherId":"ia-5.6_obj","defaultText":null,"uuid":"8c94f769-88e3-478c-84f4-8e496f915bfe"}],"weight":1,"title":"IA-05(06) - Protection of Authenticators","enhancements":null,"otherId":"ia-5.6","sortId":"ia-05.06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-5(6)"},{"objectives":[{"objectiveType":"","otherId":"ia-5.7_smt","name":"IA-5(7)","description":"Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage.","uuid":"8ed66881-c77b-4d66-bc31-a3207a09feb9"}],"description":"<p>Ensure that unencrypted static authenticators are not embedded in applications or other forms of static storage.</p><br/><strong>Guidance</strong><p>In addition to applications, other forms of static storage include access scripts and function keys. Organizations exercise caution when determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators.</p><br/><strong>IA-5 (7) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> In this context, prohibited static storage refers to any storage where unencrypted authenticators, such as passwords, persist beyond the time required to complete the access process.</li></ul>","uuid":"c9cf19cf-818d-428d-9309-cccbb14882fe","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-05(07)","test":"Assessment Objective: Determine if unencrypted static authenticators are not embedded in applications or other forms of static storage.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Logical access scripts.</li><li>Application code reviews for detecting unencrypted static authenticators.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li><li>Mechanisms implementing authentication in applications.</li></ul>","otherId":"ia-5.7_obj","defaultText":null,"uuid":"2d83e27b-c4d3-4d2b-92b3-9c4e75efd06c"}],"weight":1,"title":"IA-05(07) - No Embedded Unencrypted Static Authenticators","enhancements":null,"otherId":"ia-5.7","sortId":"ia-05.07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-5(7)"},{"objectives":[{"objectiveType":"","otherId":"ia-5_smt.a","name":"a.","description":"<ul><li>a. Manage system authenticators by: Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;</li></ul>","uuid":"dd40fb47-7b44-4018-a2ec-c53a40909e11"},{"objectiveType":"","otherId":"ia-5_smt.b","name":"b.","description":"<ul><li>b. Manage system authenticators by: Establishing initial authenticator content for any authenticators issued by the organization;</li></ul>","uuid":"06650ff3-dde1-4064-8703-3cead37e4622"},{"objectiveType":"","otherId":"ia-5_smt.c","name":"c.","description":"<ul><li>c. Manage system authenticators by: Ensuring that authenticators have sufficient strength of mechanism for their intended use;</li></ul>","uuid":"30ee0365-e690-40da-ba1d-48b444162c60"},{"objectiveType":"","otherId":"ia-5_smt.d","name":"d.","description":"<ul><li>d. Manage system authenticators by: Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;</li></ul>","uuid":"2406678e-6658-4a80-8663-a1ebe77fb889"},{"objectiveType":"","otherId":"ia-5_smt.e","name":"e.","description":"<ul><li>e. Manage system authenticators by: Changing default authenticators prior to first use;</li></ul>","uuid":"bcaa69e1-b2f5-479f-ad14-5e13c2e5d2a2"},{"objectiveType":"","otherId":"ia-5_smt.f","name":"f.","description":"<ul><li>f. Manage system authenticators by: Changing or refreshing authenticators {{ insert: param, IA-5(f)-1 }} or when {{ insert: param, IA-5(f)-2 }} occur;</li></ul>","uuid":"50b07242-ceaa-409a-b03b-8f2c53e51015"},{"objectiveType":"","otherId":"ia-5_smt.g","name":"g.","description":"<ul><li>g. Manage system authenticators by: Protecting authenticator content from unauthorized disclosure and modification;</li></ul>","uuid":"40920f99-fb8f-4aab-9bb3-c17819a9b085"},{"objectiveType":"","otherId":"ia-5_smt.h","name":"h.","description":"<ul><li>h. Manage system authenticators by: Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and</li></ul>","uuid":"4f4203f5-f65d-471c-ab49-67c90540bf81"},{"objectiveType":"","otherId":"ia-5_smt.i","name":"i.","description":"<ul><li>i. Manage system authenticators by: Changing authenticators for group or role accounts when membership to those accounts changes.</li></ul>","uuid":"95064897-c8da-4c46-b3fb-7b0739303109"}],"description":"<p>Manage system authenticators by:</p><ul><li>a. Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, service, or device receiving the authenticator;</li><li>b. Establishing initial authenticator content for any authenticators issued by the organization;</li><li>c. Ensuring that authenticators have sufficient strength of mechanism for their intended use;</li><li>d. Establishing and implementing administrative procedures for initial authenticator distribution, for lost or compromised or damaged authenticators, and for revoking authenticators;</li><li>e. Changing default authenticators prior to first use;</li><li>f. Changing or refreshing authenticators {{ insert: param, IA-5(f)-1 }} or when {{ insert: param, IA-5(f)-2 }} occur;</li><li>g. Protecting authenticator content from unauthorized disclosure and modification;</li><li>h. Requiring individuals to take, and having devices implement, specific controls to protect authenticators; and</li><li>i. Changing authenticators for group or role accounts when membership to those accounts changes.</li></ul><br/><strong>Guidance</strong><p>Authenticators include passwords, cryptographic devices, biometrics, certificates, one-time password devices, and ID badges. Device authenticators include certificates and passwords. Initial authenticator content is the actual content of the authenticator (e.g., the initial password). In contrast, the requirements for authenticator content contain specific criteria or characteristics (e.g., minimum password length). Developers may deliver system components with factory default authentication credentials (i.e., passwords) to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant risk. The requirement to protect individual authenticators may be implemented via control <a href=\"#pl-4\">PL-4</a> or <a href=\"#ps-6\">PS-6</a> for authenticators in the possession of individuals and by controls <a href=\"#ac-3\">AC-3</a>, <a href=\"#ac-6\">AC-6</a> , and <a href=\"#sc-28\">SC-28</a> for authenticators stored in organizational systems, including passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges.</p><p>Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics (e.g., minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication). Actions can be taken to safeguard individual authenticators, including maintaining possession of authenticators, not sharing authenticators with others, and immediately reporting lost, stolen, or compromised authenticators. Authenticator management includes issuing and revoking authenticators for temporary access when no longer needed.</p><br/><strong>IA-5 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> SP 800-63C Section 6.2.3 Encrypted Assertion requires that authentication assertions be encrypted when passed through third parties, such as a browser. For example, a SAML assertion can be encrypted using XML-Encryption, or an OpenID Connect ID Token can be encrypted using JSON Web Encryption (JWE).</li><li><b>Requirement:</b> Authenticators must be compliant with NIST SP 800-63-3 Digital Identity Guidelines IAL, AAL, FAL level 2. Link https://pages.nist.gov/800-63-3</li></ul>","uuid":"b449c162-8d4e-407d-9ec1-edcdb6e10a21","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"a time period for changing or refreshing authenticators by authenticator type is defined;","uuid":"02f209b3-0d46-4900-a31e-403a4356013b","otherId":"ia-05_odp.01","parameterId":"IA-5(f)-1","text":"time period by authenticator type","default":" [Assignment: organization-defined time period by authenticator type] "},{"constraints":"","displayName":"","dataType":"","guidance":"events that trigger the change or refreshment of authenticators are defined;","uuid":"3250235c-2413-4b5c-a6f8-2aae14ead9ba","otherId":"ia-05_odp.02","parameterId":"IA-5(f)-2","text":"events","default":" [Assignment: organization-defined events] "}],"subControls":null,"tests":[{"testId":"IA-05a.","test":"Assessment Objective: Determine if system authenticators are managed through the verification of the identity of the individual, group, role, service, or device receiving the authenticator as part of the initial authenticator distribution;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.a","defaultText":null,"uuid":"f26a1771-2d94-414e-9cbd-602dc7b3848e"},{"testId":"IA-05b.","test":"Assessment Objective: Determine if system authenticators are managed through the establishment of initial authenticator content for any authenticators issued by the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.b","defaultText":null,"uuid":"b74dc87a-f881-42b2-a981-7a11f04f2753"},{"testId":"IA-05c.","test":"Assessment Objective: Determine if system authenticators are managed to ensure that authenticators have sufficient strength of mechanism for their intended use;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.c","defaultText":null,"uuid":"bfe93cda-576f-44c3-8e7b-39567e2b9dbb"},{"testId":"IA-05d.","test":"Assessment Objective: Determine if system authenticators are managed through the establishment and implementation of administrative procedures for initial authenticator distribution; lost, compromised, or damaged authenticators; and the revocation of authenticators;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.d","defaultText":null,"uuid":"a8092434-27f3-4c0d-b035-ed224a032f0b"},{"testId":"IA-05e.","test":"Assessment Objective: Determine if system authenticators are managed through the change of default authenticators prior to first use;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.e","defaultText":null,"uuid":"ed2cece8-9074-41f8-8abd-a941024c1c01"},{"testId":"IA-05f.","test":"Assessment Objective: Determine if system authenticators are managed through the change or refreshment of authenticators {{ insert: param, ia-05_odp.01 }} or when {{ insert: param, ia-05_odp.02 }} occur;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.f","defaultText":null,"uuid":"14221241-e2c9-477b-8043-1a17abf90e2f"},{"testId":"IA-05g.","test":"Assessment Objective: Determine if system authenticators are managed through the protection of authenticator content from unauthorized disclosure and modification;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.g","defaultText":null,"uuid":"9a4b00f8-942b-4c91-87f8-fe4bc318bf44"},{"testId":"IA-05h.[01]","test":"Assessment Objective: Determine if system authenticators are managed through the requirement for individuals to take specific controls to protect authenticators;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.h-1","defaultText":null,"uuid":"3fdedb32-bb05-4cd6-a108-665f611dbf48"},{"testId":"IA-05h.[02]","test":"Assessment Objective: Determine if system authenticators are managed through the requirement for devices to implement specific controls to protect authenticators;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.h-2","defaultText":null,"uuid":"7bccb1ba-1ca2-4dba-b9c1-13e85ebe0d3a"},{"testId":"IA-05i.","test":"Assessment Objective: Determine if system authenticators are managed through the change of authenticators for group or role accounts when membership to those accounts changes.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Addressing authenticator management.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system authenticator types.</li><li>Change control records associated with managing system authenticators.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with authenticator management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing authenticator management capability.</li></ul>","otherId":"ia-5_obj.i","defaultText":null,"uuid":"b98ba29b-915e-420d-9765-00e464f15c29"}],"weight":1,"title":"IA-05 - Authenticator Management","enhancements":"<strong>Enhancements</strong><ul><li>IA-5(1) - Password-based Authentication</li><li>IA-5(2) - Public Key-based Authentication</li><li>IA-5(6) - Protection of Authenticators</li><li>IA-5(7) - No Embedded Unencrypted Static Authenticators</li></ul>","otherId":"ia-5","sortId":"ia-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-5"},{"objectives":[{"objectiveType":"","otherId":"ia-6_smt","name":"IA-6","description":"Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.","uuid":"438056c0-c752-41fe-8a24-ef72f5fd1c2f"}],"description":"<p>Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.</p><br/><strong>Guidance</strong><p>Authentication feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems, such as desktops or notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems, such as mobile devices with small displays, the threat may be less significant and is balanced against the increased likelihood of typographic input errors due to small keyboards. Thus, the means for obscuring authentication feedback is selected accordingly. Obscuring authentication feedback includes displaying asterisks when users type passwords into input devices or displaying feedback for a very limited time before obscuring it.</p>","uuid":"7fac50c1-84c8-4c28-88a2-b358a621f153","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-06","test":"Assessment Objective: Determine if the feedback of authentication information is obscured during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing authenticator feedback.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication.</li></ul>","otherId":"ia-6_obj","defaultText":null,"uuid":"d88ac7a4-0f64-4548-94d9-13d14d8ef973"}],"weight":1,"title":"IA-06 - Authentication Feedback","enhancements":"","otherId":"ia-6","sortId":"ia-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-6"},{"objectives":[{"objectiveType":"","otherId":"ia-7_smt","name":"IA-7","description":"Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication.","uuid":"bfeb02f1-34b4-461b-a1d1-98749f794a5e"}],"description":"<p>Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication.</p><br/><strong>Guidance</strong><p>Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.</p>","uuid":"1d8bd5ab-414e-40fe-9d39-4a7480b9bece","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-07","test":"Assessment Objective: Determine if mechanisms for authentication to a cryptographic module are implemented that meet the requirements of applicable laws, executive orders, directives, policies, regulations, standards, and guidelines for such authentication.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing cryptographic module authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for cryptographic module authentication.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing cryptographic module authentication.</li></ul>","otherId":"ia-7_obj","defaultText":null,"uuid":"0c761acc-5f8f-4d9f-bc34-d7d438d687d5"}],"weight":1,"title":"IA-07 - Cryptographic Module Authentication","enhancements":"","otherId":"ia-7","sortId":"ia-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-7"},{"objectives":[{"objectiveType":"","otherId":"ia-8.1_smt","name":"IA-8(1)","description":"Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies.","uuid":"356df7d5-d62f-4a09-8b60-c571a42f8506"}],"description":"<p>Accept and electronically verify Personal Identity Verification-compliant credentials from other federal agencies.</p><br/><strong>Guidance</strong><p>Acceptance of Personal Identity Verification (PIV) credentials from other federal agencies applies to both logical and physical access control systems. PIV credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using <a href=\"#10963761-58fc-4b20-b3d6-b44a54daba03\">SP 800-79-2</a>.</p>","uuid":"08b1ed55-041a-4184-bac2-d1b78457ddea","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-08(01)[01]","test":"Assessment Objective: Determine if Personal Identity Verification-compliant credentials from other federal agencies are accepted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Piv verification records.</li><li>Evidence of piv credentials.</li><li>Piv credential authorizations.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with account management responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li><li>Mechanisms that accept and verify piv credentials.</li></ul>","otherId":"ia-8.1_obj-1","defaultText":null,"uuid":"a3f7fcba-ce01-46bf-a50c-fd10556778f2"},{"testId":"IA-08(01)[02]","test":"Assessment Objective: Determine if Personal Identity Verification-compliant credentials from other federal agencies are electronically verified.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Piv verification records.</li><li>Evidence of piv credentials.</li><li>Piv credential authorizations.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with account management responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li><li>Mechanisms that accept and verify piv credentials.</li></ul>","otherId":"ia-8.1_obj-2","defaultText":null,"uuid":"793ad328-4a7b-4554-923b-75e272ce1b71"}],"weight":1,"title":"IA-08(01) - Acceptance of PIV Credentials from Other Agencies","enhancements":null,"otherId":"ia-8.1","sortId":"ia-08.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-8(1)"},{"objectives":[{"objectiveType":"","otherId":"ia-8.2_smt.a","name":"(a)","description":"<ul><li>(a) Accept only external authenticators that are NIST-compliant; and</li></ul>","uuid":"bd86f335-4932-456a-853e-9ba9df812528"},{"objectiveType":"","otherId":"ia-8.2_smt.b","name":"(b)","description":"<ul><li>(b) Document and maintain a list of accepted external authenticators.</li></ul>","uuid":"ef8df451-5838-4977-a7c8-947ede637793"}],"description":"<ul><li>(a) Accept only external authenticators that are NIST-compliant; and</li><li>(b) Document and maintain a list of accepted external authenticators.</li></ul><br/><strong>Guidance</strong><p>Acceptance of only NIST-compliant external authenticators applies to organizational systems that are accessible to the public (e.g., public-facing websites). External authenticators are issued by nonfederal government entities and are compliant with <a href=\"#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce\">SP 800-63B</a> . Approved external authenticators meet or exceed the minimum Federal Government-wide technical, security, privacy, and organizational maturity requirements. Meeting or exceeding Federal requirements allows Federal Government relying parties to trust external authenticators in connection with an authentication transaction at a specified authenticator assurance level.</p>","uuid":"fc580157-9f59-46b4-a718-40b0dfff3515","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-08(02)(a)","test":"Assessment Objective: Determine if only external authenticators that are NIST-compliant are accepted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of third-party credentialing products, components, or services procured and implemented by organization.</li><li>Third-party credential verification records.</li><li>Evidence of third-party credentials.</li><li>Third-party credential authorizations.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with account management responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li><li>Mechanisms that accept external credentials.</li></ul>","otherId":"ia-8.2_obj.a","defaultText":null,"uuid":"ac4e95bc-9459-4e7e-ba52-df603dd3fc6e"},{"testId":"IA-08(02)(b)[01]","test":"Assessment Objective: Determine if a list of accepted external authenticators is documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of third-party credentialing products, components, or services procured and implemented by organization.</li><li>Third-party credential verification records.</li><li>Evidence of third-party credentials.</li><li>Third-party credential authorizations.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with account management responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li><li>Mechanisms that accept external credentials.</li></ul>","otherId":"ia-8.2_obj.b-1","defaultText":null,"uuid":"59d88c00-00e8-41ee-b75d-42332784ed62"},{"testId":"IA-08(02)(b)[02]","test":"Assessment Objective: Determine if a list of accepted external authenticators is maintained.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of third-party credentialing products, components, or services procured and implemented by organization.</li><li>Third-party credential verification records.</li><li>Evidence of third-party credentials.</li><li>Third-party credential authorizations.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with account management responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li><li>Mechanisms that accept external credentials.</li></ul>","otherId":"ia-8.2_obj.b-2","defaultText":null,"uuid":"0f96b2a8-0993-4d31-b003-f4f1be302f3e"}],"weight":1,"title":"IA-08(02) - Acceptance of External Authenticators","enhancements":null,"otherId":"ia-8.2","sortId":"ia-08.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-8(2)"},{"objectives":[{"objectiveType":"","otherId":"ia-8.4_smt","name":"IA-8(4)","description":"Conform to the following profiles for identity management {{ insert: param, IA-8(4) }}.","uuid":"6b784f09-ed69-4416-9bf3-06111a3e9497"}],"description":"<p>Conform to the following profiles for identity management {{ insert: param, IA-8(4) }}.</p><br/><strong>Guidance</strong><p>Organizations define profiles for identity management based on open identity management standards. To ensure that open identity management standards are viable, robust, reliable, sustainable, and interoperable as documented, the Federal Government assesses and scopes the standards and technology implementations against applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.</p>","uuid":"e2b7f65c-6f9f-4bdd-a866-94c9a7fbea6c","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"identity management profiles are defined;","uuid":"07b03de3-8afa-4416-a3e6-3d54d16c9c61","otherId":"ia-08.04_odp","parameterId":"IA-8(4)","text":"identity management profiles","default":" [Assignment: organization-defined identity management profiles] "}],"subControls":null,"tests":[{"testId":"IA-08(04)","test":"Assessment Objective: Determine if there is conformance with {{ insert: param, ia-08.04_odp }} for identity management.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with account management responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li><li>Mechanisms supporting and/or implementing conformance with profiles.</li></ul>","otherId":"ia-8.4_obj","defaultText":null,"uuid":"7cceddc0-0e3e-4199-9ffb-c8e3175c1287"}],"weight":1,"title":"IA-08(04) - Use of Defined Profiles","enhancements":null,"otherId":"ia-8.4","sortId":"ia-08.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-8(4)"},{"objectives":[{"objectiveType":"","otherId":"ia-8_smt","name":"IA-8","description":"Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.","uuid":"b005990c-2283-4c2d-a368-3974b55995c2"}],"description":"<p>Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.</p><br/><strong>Guidance</strong><p>Non-organizational users include system users other than organizational users explicitly covered by <a href=\"#ia-2\">IA-2</a> . Non-organizational users are uniquely identified and authenticated for accesses other than those explicitly identified and documented in <a href=\"#ac-14\">AC-14</a> . Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors—including security, privacy, scalability, and practicality—when balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk.</p>","uuid":"34680899-4da9-40c2-865e-f44d8d98c402","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-08","test":"Assessment Objective: Determine if non-organizational users or processes acting on behalf of non-organizational users are uniquely identified and authenticated.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Procedures addressing user identification and authentication.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>List of system accounts.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-8_obj","defaultText":null,"uuid":"c1197b6e-b381-483e-9a08-9f1314efaa5a"}],"weight":1,"title":"IA-08 - Identification and Authentication (Non-organizational Users)","enhancements":"<strong>Enhancements</strong><ul><li>IA-8(1) - Acceptance of PIV Credentials from Other Agencies</li><li>IA-8(2) - Acceptance of External Authenticators</li><li>IA-8(4) - Use of Defined Profiles</li></ul>","otherId":"ia-8","sortId":"ia-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-8"},{"objectives":[{"objectiveType":"","otherId":"ia-11_smt","name":"IA-11","description":"Require users to re-authenticate when {{ insert: param, IA-11 }}.","uuid":"53930a8a-f71a-4c9a-9fb4-77e893b81864"}],"description":"<p>Require users to re-authenticate when {{ insert: param, IA-11 }}.</p><br/><strong>Guidance</strong><p>In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations, including when roles, authenticators or credentials change, when security categories of systems change, when the execution of privileged functions occurs, after a fixed time period, or periodically.</p><br/><strong>IA-11 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> The fixed time period cannot exceed the limits set in SP 800-63. At this writing they are:</li></ul>","uuid":"15cf64ce-4acb-4df4-b434-99676ba50fe7","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"circumstances or situations requiring re-authentication are defined;","uuid":"179c6e4d-6531-4dcf-a2ac-c575ce33d9d1","otherId":"ia-11_odp","parameterId":"IA-11","text":"circumstances or situations","default":" [Assignment: organization-defined circumstances or situations] "}],"subControls":null,"tests":[{"testId":"IA-11","test":"Assessment Objective: Determine if users are required to re-authenticate when {{ insert: param, ia-11_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing user and device re-authentication.</li><li>System security plan.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of circumstances or situations requiring re-authentication.</li><li>System audit records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-11_obj","defaultText":null,"uuid":"940769d5-df9c-4899-979d-aeac127ab3eb"}],"weight":1,"title":"IA-11 - Re-authentication","enhancements":"","otherId":"ia-11","sortId":"ia-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-11"},{"objectives":[{"objectiveType":"","otherId":"ia-12.2_smt","name":"IA-12(2)","description":"Require evidence of individual identification be presented to the registration authority.","uuid":"433a4e63-6ed7-47d2-9cf2-9f2306174396"}],"description":"<p>Require evidence of individual identification be presented to the registration authority.</p><br/><strong>Guidance</strong><p>Identity evidence, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity or at least increases the work factor of potential adversaries. The forms of acceptable evidence are consistent with the risks to the systems, roles, and privileges associated with the user’s account.</p>","uuid":"bc53c7cc-0834-4907-8c61-e0216a6ba357","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-12(02)","test":"Assessment Objective: Determine if evidence of individual identification is presented to the registration authority.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12.2_obj","defaultText":null,"uuid":"6409a1e8-da0e-4a39-96fd-5e5174c45ef0"}],"weight":1,"title":"IA-12(02) - Identity Evidence","enhancements":null,"otherId":"ia-12.2","sortId":"ia-12.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-12(2)"},{"objectives":[{"objectiveType":"","otherId":"ia-12.3_smt","name":"IA-12(3)","description":"Require that the presented identity evidence be validated and verified through {{ insert: param, IA-12(3) }}.","uuid":"7c450bb6-77c6-4ad0-9984-bbfd6bab9823"}],"description":"<p>Require that the presented identity evidence be validated and verified through {{ insert: param, IA-12(3) }}.</p><br/><strong>Guidance</strong><p>Validation and verification of identity evidence increases the assurance that accounts and identifiers are being established for the correct user and authenticators are being bound to that user. Validation refers to the process of confirming that the evidence is genuine and authentic, and the data contained in the evidence is correct, current, and related to an individual. Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risks to the systems, roles, and privileges associated with the users account.</p>","uuid":"d5143939-5372-4e63-acc6-63bac07e0f6f","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"methods of validation and verification of identity evidence are defined;","uuid":"b6c0282d-49bf-490f-9944-49dfcb4aa4eb","otherId":"ia-12.03_odp","parameterId":"IA-12(3)","text":"methods of validation and verification","default":" [Assignment: organization-defined methods of validation and verification] "}],"subControls":null,"tests":[{"testId":"IA-12(03)","test":"Assessment Objective: Determine if the presented identity evidence is validated and verified through {{ insert: param, ia-12.03_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12.3_obj","defaultText":null,"uuid":"0ebb9fd1-a7d9-4c43-8966-2f213f228600"}],"weight":1,"title":"IA-12(03) - Identity Evidence Validation and Verification","enhancements":null,"otherId":"ia-12.3","sortId":"ia-12.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-12(3)"},{"objectives":[{"objectiveType":"","otherId":"ia-12.5_smt","name":"IA-12(5)","description":"Require that a {{ insert: param, IA-12(5) }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record.","uuid":"b0f1806f-e9ce-43ea-9ab5-6c8c7189744a"}],"description":"<p>Require that a {{ insert: param, IA-12(5) }} be delivered through an out-of-band channel to verify the users address (physical or digital) of record.</p><br/><strong>Guidance</strong><p>To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to ensure that the individual associated with an address of record is the same individual that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts is obtained from records and not self-asserted by the user. The address can include a physical or digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses.</p><br/><strong>IA-12 (5) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> In accordance with NIST SP 800-63A Enrollment and Identity Proofing</li></ul>","uuid":"643359bb-7c95-418d-9a89-9938231c19ff","family":"Identification and Authentication","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"a5b2c223-653a-4172-a43b-654d40c57251","otherId":"ia-12.05_odp","parameterId":"IA-12(5)","text":"[Selection: registration code; notice of proofing]","default":"[Selection: registration code; notice of proofing]"}],"subControls":null,"tests":[{"testId":"IA-12(05)","test":"Assessment Objective: Determine if a {{ insert: param, ia-12.05_odp }} is delivered through an out-of-band channel to verify the user’s address (physical or digital) of record.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12.5_obj","defaultText":null,"uuid":"d7c36ff7-f019-463c-bf41-99b1db149d62"}],"weight":1,"title":"IA-12(05) - Address Confirmation","enhancements":null,"otherId":"ia-12.5","sortId":"ia-12.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-12(5)"},{"objectives":[{"objectiveType":"","otherId":"ia-12_smt.a","name":"a.","description":"<ul><li>a. Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;</li></ul>","uuid":"471498cf-3be1-4f2a-bf74-371911498c53"},{"objectiveType":"","otherId":"ia-12_smt.b","name":"b.","description":"<ul><li>b. Resolve user identities to a unique individual; and</li></ul>","uuid":"bbf179cb-2555-4091-8a1e-8a483a024f19"},{"objectiveType":"","otherId":"ia-12_smt.c","name":"c.","description":"<ul><li>c. Collect, validate, and verify identity evidence.</li></ul>","uuid":"1b3393d7-d5e9-495c-b87e-ff3cb08a1bc2"}],"description":"<ul><li>a. Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;</li><li>b. Resolve user identities to a unique individual; and</li><li>c. Collect, validate, and verify identity evidence.</li></ul><br/><strong>Guidance</strong><p>Identity proofing is the process of collecting, validating, and verifying a user’s identity information for the purposes of establishing credentials for accessing a system. Identity proofing is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include <a href=\"#737513fa-6758-403f-831d-5ddab5e23cb3\">SP 800-63-3</a> and <a href=\"#9099ed2c-922a-493d-bcb4-d896192243ff\">SP 800-63A</a> . Organizations may be subject to laws, executive orders, directives, regulations, or policies that address the collection of identity evidence. Organizational personnel consult with the senior agency official for privacy and legal counsel regarding such requirements.</p><br/><strong>IA-12 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> In accordance with NIST SP 800-63A Enrollment and Identity Proofing</li></ul>","uuid":"2708a308-29a5-4d00-b213-c529a3abe644","family":"Identification and Authentication","parameters":[],"subControls":null,"tests":[{"testId":"IA-12a.","test":"Assessment Objective: Determine if users who require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines are identity proofed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12_obj.a","defaultText":null,"uuid":"5c0d38ab-f016-4cfd-831a-a03d8075221d"},{"testId":"IA-12b.","test":"Assessment Objective: Determine if user identities are resolved to a unique individual;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12_obj.b","defaultText":null,"uuid":"4010f916-3162-4328-98bf-78d62a43281e"},{"testId":"IA-12c.[01]","test":"Assessment Objective: Determine if identity evidence is collected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12_obj.c-1","defaultText":null,"uuid":"c8e168b9-5922-4554-a8b9-00dc18b1bcf6"},{"testId":"IA-12c.[02]","test":"Assessment Objective: Determine if identity evidence is validated;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12_obj.c-2","defaultText":null,"uuid":"aa98b5f6-478d-4b46-89cb-9be3d4791ad8"},{"testId":"IA-12c.[03]","test":"Assessment Objective: Determine if identity evidence is verified.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Identification and authentication policy.</li><li>Procedures addressing identity proofing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system operations responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Legal counsel.</li><li>System/network administrators.</li><li>System developers.</li><li>Organizational personnel with identification and authentication responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing identification and authentication capabilities.</li></ul>","otherId":"ia-12_obj.c-3","defaultText":null,"uuid":"36265f65-49a7-4a80-a3e1-2afdb451445d"}],"weight":1,"title":"IA-12 - Identity Proofing","enhancements":"<strong>Enhancements</strong><ul><li>IA-12(2) - Identity Evidence</li><li>IA-12(3) - Identity Evidence Validation and Verification</li><li>IA-12(5) - Address Confirmation</li></ul>","otherId":"ia-12","sortId":"ia-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IA-12"},{"objectives":[{"objectiveType":"","otherId":"ir-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, IR-1(a) }}:</li><ul><li>1. {{ insert: param, IR-1(a)(1) }} incident response policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;</li></ul>","uuid":"e41955e6-b168-449c-81fe-dfc2022b15dd"},{"objectiveType":"","otherId":"ir-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, IR-1(b) }} to manage the development, documentation, and dissemination of the incident response policy and procedures; and</li></ul>","uuid":"1537ed76-864f-49ea-9c33-dbd9c165ba14"},{"objectiveType":"","otherId":"ir-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current incident response:</li><ul><li>1. Policy {{ insert: param, IR-1(c)(1)-1 }} and following {{ insert: param, IR-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, IR-1(c)(2)-1 }} and following {{ insert: param, IR-1(c)(2)-2 }}.</li></ul>","uuid":"432a79d3-87ac-4bd7-baa7-8dc017eec7f9"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, IR-1(a) }}:</li><ul><li>1. {{ insert: param, IR-1(a)(1) }} incident response policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;</li></ul><li>b. Designate an {{ insert: param, IR-1(b) }} to manage the development, documentation, and dissemination of the incident response policy and procedures; and</li><li>c. Review and update the current incident response:</li><ul><li>1. Policy {{ insert: param, IR-1(c)(1)-1 }} and following {{ insert: param, IR-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, IR-1(c)(2)-1 }} and following {{ insert: param, IR-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Incident response policy and procedures address the controls in the IR family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of incident response policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to incident response policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"634fe6c5-dabb-489a-954e-5f246e653fda","family":"Incident Response","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"2d96de80-1178-408a-9f7b-01b1d1d89b06","otherId":"ir-1_prm_1","parameterId":"IR-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"20474390-55f4-4587-928c-c363693f32e4","otherId":"ir-01_odp.03","parameterId":"IR-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the incident response policy and procedures is defined;","uuid":"715326e3-6e85-4738-9a0c-391c99488275","otherId":"ir-01_odp.04","parameterId":"IR-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current incident response policy is reviewed and updated is defined;","uuid":"0c921006-2718-4261-bba1-ad965de612ba","otherId":"ir-01_odp.05","parameterId":"IR-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current incident response policy to be reviewed and updated are defined;","uuid":"335a4aea-0393-422f-a671-d7bf9de7a4ab","otherId":"ir-01_odp.06","parameterId":"IR-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current incident response procedures are reviewed and updated is defined;","uuid":"b623630e-1a9f-4612-976d-505280c35a1a","otherId":"ir-01_odp.07","parameterId":"IR-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require the incident response procedures to be reviewed and updated are defined;","uuid":"b9011354-d278-433a-91c2-b96bbe97e852","otherId":"ir-01_odp.08","parameterId":"IR-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"IR-01a.[01]","test":"Assessment Objective: Determine if an incident response policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a-1","defaultText":null,"uuid":"14d80d29-6afb-44b6-bbbb-00ecf330fc35"},{"testId":"IR-01a.[02]","test":"Assessment Objective: Determine if the incident response policy is disseminated to {{ insert: param, ir-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a-2","defaultText":null,"uuid":"981f6ef1-6d86-4f60-939d-3bdb92bc60ef"},{"testId":"IR-01a.[03]","test":"Assessment Objective: Determine if incident response procedures to facilitate the implementation of the incident response policy and associated incident response controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a-3","defaultText":null,"uuid":"a6bc49f3-d127-4f39-ac63-27860eb1f996"},{"testId":"IR-01a.[04]","test":"Assessment Objective: Determine if the incident response procedures are disseminated to {{ insert: param, ir-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a-4","defaultText":null,"uuid":"3c85744f-4a3d-4e8c-bcf2-f9c1e7a939d1"},{"testId":"IR-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.a-1","defaultText":null,"uuid":"3d0114e0-7a68-4811-8750-498dd4ebc9ff"},{"testId":"IR-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.a-2","defaultText":null,"uuid":"a6d9671e-63f5-4385-927a-d2e27c265b36"},{"testId":"IR-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.a-3","defaultText":null,"uuid":"edb62f44-cd1b-423f-b0ef-bcd628168fd6"},{"testId":"IR-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.a-4","defaultText":null,"uuid":"1db7a28d-d122-448a-a614-9a0252af3cbe"},{"testId":"IR-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.a-5","defaultText":null,"uuid":"7426bf1c-c76e-45e8-beb7-8d4ea35a3727"},{"testId":"IR-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.a-6","defaultText":null,"uuid":"ac27fd17-744a-4954-afed-b2dee8389f79"},{"testId":"IR-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.a-7","defaultText":null,"uuid":"147636e3-3e59-4bb5-a210-143cea5ac09e"},{"testId":"IR-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.03 }} incident response policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.a.1.b","defaultText":null,"uuid":"66d2a55d-5447-4c28-bd70-27728693da4d"},{"testId":"IR-01b.","test":"Assessment Objective: Determine if the {{ insert: param, ir-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the incident response policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.b","defaultText":null,"uuid":"3b56ff42-17d2-4ed3-9d00-0b797f0436c2"},{"testId":"IR-01c.01[01]","test":"Assessment Objective: Determine if the current incident response policy is reviewed and updated {{ insert: param, ir-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.c.1-1","defaultText":null,"uuid":"a558232d-a3fe-4fbc-ba47-75e2788f16e1"},{"testId":"IR-01c.01[02]","test":"Assessment Objective: Determine if the current incident response policy is reviewed and updated following {{ insert: param, ir-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.c.1-2","defaultText":null,"uuid":"f316d0b4-cd8a-4cff-b985-411f28e20b8f"},{"testId":"IR-01c.02[01]","test":"Assessment Objective: Determine if the current incident response procedures are reviewed and updated {{ insert: param, ir-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.c.2-1","defaultText":null,"uuid":"522a6c06-b57f-455c-a74b-78673205c78f"},{"testId":"IR-01c.02[02]","test":"Assessment Objective: Determine if the current incident response procedures are reviewed and updated following {{ insert: param, ir-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-1_obj.c.2-2","defaultText":null,"uuid":"812d35d4-30dd-4d10-9c11-199126ef7d48"}],"weight":1,"title":"IR-01 - Policy and Procedures","enhancements":"","otherId":"ir-1","sortId":"ir-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-1"},{"objectives":[{"objectiveType":"","otherId":"ir-2_smt.a","name":"a.","description":"<ul><li>a. Provide incident response training to system users consistent with assigned roles and responsibilities:</li><ul><li>1. Within {{ insert: param, IR-2(a)(1) }} of assuming an incident response role or responsibility or acquiring system access;</li><li>2. When required by system changes; and</li><li>3. {{ insert: param, IR-2(a)(3) }} thereafter; and</li></ul>","uuid":"c13db334-43d3-4e27-ba92-961b252a380d"},{"objectiveType":"","otherId":"ir-2_smt.b","name":"b.","description":"<ul><li>b. Review and update incident response training content {{ insert: param, IR-2(b)-1 }} and following {{ insert: param, IR-2(b)-2 }}.</li></ul>","uuid":"cb072b4f-46a2-4462-a614-e713a65c52be"}],"description":"<ul><li>a. Provide incident response training to system users consistent with assigned roles and responsibilities:</li><ul><li>1. Within {{ insert: param, IR-2(a)(1) }} of assuming an incident response role or responsibility or acquiring system access;</li><li>2. When required by system changes; and</li><li>3. {{ insert: param, IR-2(a)(3) }} thereafter; and</li></ul><li>b. Review and update incident response training content {{ insert: param, IR-2(b)-1 }} and following {{ insert: param, IR-2(b)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Incident response training is associated with the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail are included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle incidents; and incident responders may receive more specific training on forensics, data collection techniques, reporting, system recovery, and system restoration. Incident response training includes user training in identifying and reporting suspicious activities from external and internal sources. Incident response training for users may be provided as part of <a href=\"#at-2\">AT-2</a> or <a href=\"#at-3\">AT-3</a> . Events that may precipitate an update to incident response training content include, but are not limited to, incident response plan testing or response to an actual incident (lessons learned), assessment or audit findings, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.</p>","uuid":"1a64034a-4af6-42c4-81b8-4ff4ea488d4e","family":"Incident Response","parameters":[{"constraints":"ten (10) days for privileged users, thirty (30) days for Incident Response roles","displayName":"","dataType":"","guidance":"a time period within which incident response training is to be provided to system users assuming an incident response role or responsibility is defined;","uuid":"953616fd-1ecd-4dd4-bf9e-2ad88fd1d7ea","otherId":"ir-02_odp.01","parameterId":"IR-2(a)(1)","text":"time period","default":"[FedRAMP Assignment: ten (10) days for privileged users, thirty (30) days for Incident Response roles]"},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to provide incident response training to users is defined;","uuid":"69c5d51f-c01b-47c9-b595-5722b02bba98","otherId":"ir-02_odp.02","parameterId":"IR-2(a)(3)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to review and update incident response training content is defined;","uuid":"d03b1eb7-e846-4ce5-95c8-666d503b0af5","otherId":"ir-02_odp.03","parameterId":"IR-2(b)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that initiate a review of the incident response training content are defined;","uuid":"0dd2fce0-de2d-40e3-8640-aee3398ea0ea","otherId":"ir-02_odp.04","parameterId":"IR-2(b)-2","text":"events","default":" [Assignment: organization-defined events] "}],"subControls":null,"tests":[{"testId":"IR-02a.01","test":"Assessment Objective: Determine if incident response training is provided to system users consistent with assigned roles and responsibilities within {{ insert: param, ir-02_odp.01 }} of assuming an incident response role or responsibility or acquiring system access;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response training.</li><li>Incident response training curriculum.</li><li>Incident response training materials.</li><li>Privacy plan.</li><li>Incident response plan.</li><li>Incident response training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response training and operational responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-2_obj.a.1","defaultText":null,"uuid":"742260f3-8ced-4273-a889-2535dbf075b2"},{"testId":"IR-02a.02","test":"Assessment Objective: Determine if incident response training is provided to system users consistent with assigned roles and responsibilities when required by system changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response training.</li><li>Incident response training curriculum.</li><li>Incident response training materials.</li><li>Privacy plan.</li><li>Incident response plan.</li><li>Incident response training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response training and operational responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-2_obj.a.2","defaultText":null,"uuid":"507e5c58-8701-4e12-9687-e1f965845c46"},{"testId":"IR-02a.03","test":"Assessment Objective: Determine if incident response training is provided to system users consistent with assigned roles and responsibilities {{ insert: param, ir-02_odp.02 }} thereafter;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response training.</li><li>Incident response training curriculum.</li><li>Incident response training materials.</li><li>Privacy plan.</li><li>Incident response plan.</li><li>Incident response training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response training and operational responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-2_obj.a.3","defaultText":null,"uuid":"b6339f4f-4ace-44b5-989a-791e280ea69d"},{"testId":"IR-02b.[01]","test":"Assessment Objective: Determine if incident response training content is reviewed and updated {{ insert: param, ir-02_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response training.</li><li>Incident response training curriculum.</li><li>Incident response training materials.</li><li>Privacy plan.</li><li>Incident response plan.</li><li>Incident response training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response training and operational responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-2_obj.b-1","defaultText":null,"uuid":"14e9a02b-544a-434c-92c1-880b45096b92"},{"testId":"IR-02b.[02]","test":"Assessment Objective: Determine if incident response training content is reviewed and updated following {{ insert: param, ir-02_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response training.</li><li>Incident response training curriculum.</li><li>Incident response training materials.</li><li>Privacy plan.</li><li>Incident response plan.</li><li>Incident response training records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response training and operational responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-2_obj.b-2","defaultText":null,"uuid":"516f66ef-c828-48be-91e2-a1cb01bc326e"}],"weight":1,"title":"IR-02 - Incident Response Training","enhancements":"","otherId":"ir-2","sortId":"ir-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-2"},{"objectives":[{"objectiveType":"","otherId":"ir-3.2_smt","name":"IR-3(2)","description":"Coordinate incident response testing with organizational elements responsible for related plans.","uuid":"1f15abe0-913e-40d5-aed4-d306189773f8"}],"description":"<p>Coordinate incident response testing with organizational elements responsible for related plans.</p><br/><strong>Guidance</strong><p>Organizational plans related to incident response testing include business continuity plans, disaster recovery plans, continuity of operations plans, contingency plans, crisis communications plans, critical infrastructure plans, and occupant emergency plans.</p>","uuid":"54886b40-cbd4-4a66-a122-8a7a64af1467","family":"Incident Response","parameters":[],"subControls":null,"tests":[{"testId":"IR-03(02)","test":"Assessment Objective: Determine if incident response testing is coordinated with organizational elements responsible for related plans.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident response testing.</li><li>Incident response testing documentation.</li><li>Incident response plan.</li><li>Business continuity plans.</li><li>Contingency plans.</li><li>Disaster recovery plans.</li><li>Continuity of operations plans.</li><li>Crisis communications plans.</li><li>Critical infrastructure plans.</li><li>Occupant emergency plans.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response testing responsibilities.</li><li>Organizational personnel with responsibilities for testing organizational plans related to incident response testing.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-3.2_obj","defaultText":null,"uuid":"8e8ae532-c398-4482-9197-9bd869e501a8"}],"weight":1,"title":"IR-03(02) - Coordination with Related Plans","enhancements":null,"otherId":"ir-3.2","sortId":"ir-03.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-3(2)"},{"objectives":[{"objectiveType":"","otherId":"ir-3_smt","name":"IR-3","description":"Test the effectiveness of the incident response capability for the system {{ insert: param, IR-3-1 }} using the following tests: {{ insert: param, IR-3-2 }}.","uuid":"3eb0c67b-b2fb-45bc-8b86-8eed86abb836"}],"description":"<p>Test the effectiveness of the incident response capability for the system {{ insert: param, IR-3-1 }} using the following tests: {{ insert: param, IR-3-2 }}.</p><br/><strong>Guidance</strong><p>Organizations test incident response capabilities to determine their effectiveness and identify potential weaknesses or deficiencies. Incident response testing includes the use of checklists, walk-through or tabletop exercises, and simulations (parallel or full interrupt). Incident response testing can include a determination of the effects on organizational operations and assets and individuals due to incident response. The use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.</p><br/><strong>IR-3-2 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> The service provider defines tests and/or exercises in accordance with NIST Special Publication 800-61 (as amended). Functional testing must occur prior to testing for initial authorization. Annual functional testing may be concurrent with required penetration tests (see CA-8). The service provider provides test plans to the JAB/AO annually. Test plans are approved and accepted by the JAB/AO prior to test commencing.</li></ul>","uuid":"aa56278f-2a95-41e1-8a4a-cfe34b5bb2ab","family":"Incident Response","parameters":[{"constraints":"functional, at least annually","displayName":"","dataType":"","guidance":"frequency at which to test the effectiveness of the incident response capability for the system is defined;","uuid":"3ac9212e-4885-407f-9e12-3491c367c08c","otherId":"ir-03_odp.01","parameterId":"IR-3-1","text":"frequency","default":"[FedRAMP Assignment: functional, at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"tests used to test the effectiveness of the incident response capability for the system are defined;","uuid":"abe9c765-cf42-41a7-a99b-72b4e67402ac","otherId":"ir-03_odp.02","parameterId":"IR-3-2","text":"tests","default":" [Assignment: organization-defined tests] "}],"subControls":null,"tests":[{"testId":"IR-03","test":"Assessment Objective: Determine if the effectiveness of the incident response capability for the system is tested {{ insert: param, ir-03_odp.01 }} using {{ insert: param, ir-03_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident response testing.</li><li>Procedures addressing contingency plan testing.</li><li>Incident response testing material.</li><li>Incident response test results.</li><li>Incident response test plan.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response testing responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ir-3_obj","defaultText":null,"uuid":"78ab80bb-77c6-4df4-8f6b-c300fb642285"}],"weight":1,"title":"IR-03 - Incident Response Testing","enhancements":"<strong>Enhancements</strong><ul><li>IR-3(2) - Coordination with Related Plans</li></ul>","otherId":"ir-3","sortId":"ir-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-3"},{"objectives":[{"objectiveType":"","otherId":"ir-4.1_smt","name":"IR-4(1)","description":"Support the incident handling process using {{ insert: param, IR-4(1) }}.","uuid":"0a857a97-9c13-4350-b5a8-01796102e6ad"}],"description":"<p>Support the incident handling process using {{ insert: param, IR-4(1) }}.</p><br/><strong>Guidance</strong><p>Automated mechanisms that support incident handling processes include online incident management systems and tools that support the collection of live response data, full network packet capture, and forensic analysis.</p>","uuid":"3acde888-ec66-447a-8379-4968e11146e7","family":"Incident Response","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms used to support the incident handling process are defined;","uuid":"2ce1d4ce-5d71-43b4-8a29-49af9ad34b36","otherId":"ir-04.01_odp","parameterId":"IR-4(1)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"IR-04(01)","test":"Assessment Objective: Determine if the incident handling process is supported using {{ insert: param, ir-04.01_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident handling.</li><li>Automated mechanisms supporting incident handling.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>Incident response plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms that support and/or implement the incident handling process.</li></ul>","otherId":"ir-4.1_obj","defaultText":null,"uuid":"ee9a9dd9-8fd7-4b28-963a-52d45490c434"}],"weight":1,"title":"IR-04(01) - Automated Incident Handling Processes","enhancements":null,"otherId":"ir-4.1","sortId":"ir-04.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-4(1)"},{"objectives":[{"objectiveType":"","otherId":"ir-4_smt.a","name":"a.","description":"<ul><li>a. Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;</li></ul>","uuid":"789039a6-359b-4209-a611-2e0de4ffddac"},{"objectiveType":"","otherId":"ir-4_smt.b","name":"b.","description":"<ul><li>b. Coordinate incident handling activities with contingency planning activities;</li></ul>","uuid":"c5dcab26-0ebd-4031-8933-6acad8af4ffd"},{"objectiveType":"","otherId":"ir-4_smt.c","name":"c.","description":"<ul><li>c. Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and</li></ul>","uuid":"5654ee54-6066-4654-8d3f-a700369dc499"},{"objectiveType":"","otherId":"ir-4_smt.d","name":"d.","description":"<ul><li>d. Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.</li></ul>","uuid":"22379b45-73ba-4871-bf0e-ad81dca31d73"}],"description":"<ul><li>a. Implement an incident handling capability for incidents that is consistent with the incident response plan and includes preparation, detection and analysis, containment, eradication, and recovery;</li><li>b. Coordinate incident handling activities with contingency planning activities;</li><li>c. Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and</li><li>d. Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the organization.</li></ul><br/><strong>Guidance</strong><p>Organizations recognize that incident response capabilities are dependent on the capabilities of organizational systems and the mission and business processes being supported by those systems. Organizations consider incident response as part of the definition, design, and development of mission and business processes and systems. Incident-related information can be obtained from a variety of sources, including audit monitoring, physical access monitoring, and network monitoring; user or administrator reports; and reported supply chain events. An effective incident handling capability includes coordination among many organizational entities (e.g., mission or business owners, system owners, authorizing officials, human resources offices, physical security offices, personnel security offices, legal departments, risk executive [function], operations personnel, procurement offices). Suspected security incidents include the receipt of suspicious email communications that can contain malicious code. Suspected supply chain incidents include the insertion of counterfeit hardware or malicious code into organizational systems or system components. For federal agencies, an incident that involves personally identifiable information is considered a breach. A breach results in unauthorized disclosure, the loss of control, unauthorized acquisition, compromise, or a similar occurrence where a person other than an authorized user accesses or potentially accesses personally identifiable information or an authorized user accesses or potentially accesses such information for other than authorized purposes.</p><br/><strong>IR-4 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> The FISMA definition of \"incident\" shall be used: \"An occurrence that actually or imminently jeopardizes, without lawful authority, the confidentiality, integrity, or availability of information or an information system; or constitutes a violation or imminent threat of violation of law, security policies, security procedures, or acceptable use policies.\"</li><li><b>Requirement:</b> The service provider ensures that individuals conducting incident handling meet personnel security requirements commensurate with the criticality/sensitivity of the information being processed, stored, and transmitted by the information system.</li></ul>","uuid":"3ddb54ec-17a7-416c-b088-8584b4f34449","family":"Incident Response","parameters":[],"subControls":null,"tests":[{"testId":"IR-04a.[01]","test":"Assessment Objective: Determine if an incident handling capability for incidents is implemented that is consistent with the incident response plan;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.a-1","defaultText":null,"uuid":"ea5e9485-6af3-40b9-b666-ef30cd75689a"},{"testId":"IR-04a.[02]","test":"Assessment Objective: Determine if the incident handling capability for incidents includes preparation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.a-2","defaultText":null,"uuid":"86ad2e88-b206-42db-aa52-9adafc189f26"},{"testId":"IR-04a.[03]","test":"Assessment Objective: Determine if the incident handling capability for incidents includes detection and analysis;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.a-3","defaultText":null,"uuid":"f753e639-8dfe-4218-881d-a70e4b2d00ae"},{"testId":"IR-04a.[04]","test":"Assessment Objective: Determine if the incident handling capability for incidents includes containment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.a-4","defaultText":null,"uuid":"8d519723-d6c2-4aec-8846-55f5bb2a3752"},{"testId":"IR-04a.[05]","test":"Assessment Objective: Determine if the incident handling capability for incidents includes eradication;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.a-5","defaultText":null,"uuid":"ed437203-ed2e-4444-a16e-f282c926b328"},{"testId":"IR-04a.[06]","test":"Assessment Objective: Determine if the incident handling capability for incidents includes recovery;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.a-6","defaultText":null,"uuid":"6f37c1d4-d1e1-40a3-99dc-42d911bad592"},{"testId":"IR-04b.","test":"Assessment Objective: Determine if incident handling activities are coordinated with contingency planning activities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.b","defaultText":null,"uuid":"ed584b70-8270-435f-901d-f943613cf968"},{"testId":"IR-04c.[01]","test":"Assessment Objective: Determine if lessons learned from ongoing incident handling activities are incorporated into incident response procedures, training, and testing;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.c-1","defaultText":null,"uuid":"e78939a2-5b14-4ca4-9adf-2006c5a60869"},{"testId":"IR-04c.[02]","test":"Assessment Objective: Determine if the changes resulting from the incorporated lessons learned are implemented accordingly;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.c-2","defaultText":null,"uuid":"2f3f6704-add1-44ea-a93f-43f942b1c5cb"},{"testId":"IR-04d.[01]","test":"Assessment Objective: Determine if the rigor of incident handling activities is comparable and predictable across the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.d-1","defaultText":null,"uuid":"e7d768c5-b956-401f-afcf-d3da80caba69"},{"testId":"IR-04d.[02]","test":"Assessment Objective: Determine if the intensity of incident handling activities is comparable and predictable across the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.d-2","defaultText":null,"uuid":"9b90c23e-8e2c-49dd-8788-736018280bf7"},{"testId":"IR-04d.[03]","test":"Assessment Objective: Determine if the scope of incident handling activities is comparable and predictable across the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.d-3","defaultText":null,"uuid":"e92979e6-107f-4d3a-87e0-86145fa254ab"},{"testId":"IR-04d.[04]","test":"Assessment Objective: Determine if the results of incident handling activities are comparable and predictable across the organization.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Contingency planning policy.</li><li>Procedures addressing incident handling.</li><li>Incident response plan.</li><li>Contingency plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident handling responsibilities.</li><li>Organizational personnel with contingency planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident handling capability for the organization.</li></ul>","otherId":"ir-4_obj.d-4","defaultText":null,"uuid":"c72d9c52-d242-409e-9c7a-650a8ea10799"}],"weight":1,"title":"IR-04 - Incident Handling","enhancements":"<strong>Enhancements</strong><ul><li>IR-4(1) - Automated Incident Handling Processes</li></ul>","otherId":"ir-4","sortId":"ir-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-4"},{"objectives":[{"objectiveType":"","otherId":"ir-5_smt","name":"IR-5","description":"Track and document incidents.","uuid":"f5b32cc1-7a5e-415c-ad95-3dc43e2ddd43"}],"description":"<p>Track and document incidents.</p><br/><strong>Guidance</strong><p>Documenting incidents includes maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics as well as evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources, including network monitoring, incident reports, incident response teams, user complaints, supply chain partners, audit monitoring, physical access monitoring, and user and administrator reports. <a href=\"#ir-4\">IR-4</a> provides information on the types of incidents that are appropriate for monitoring.</p>","uuid":"30f5abf6-0799-41bd-b7b2-56e65521b46b","family":"Incident Response","parameters":[],"subControls":null,"tests":[{"testId":"IR-05[01]","test":"Assessment Objective: Determine if incidents are tracked;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident monitoring.</li><li>Incident response records and documentation.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident monitoring capability for the organization.</li><li>Mechanisms supporting and/or implementing the tracking and documenting of system security incidents.</li></ul>","otherId":"ir-5_obj-1","defaultText":null,"uuid":"3284b750-1a88-4d6f-bfdb-37c705ad63cf"},{"testId":"IR-05[02]","test":"Assessment Objective: Determine if incidents are documented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident monitoring.</li><li>Incident response records and documentation.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident monitoring responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Incident monitoring capability for the organization.</li><li>Mechanisms supporting and/or implementing the tracking and documenting of system security incidents.</li></ul>","otherId":"ir-5_obj-2","defaultText":null,"uuid":"8e72142d-1130-4a53-bd37-473131baf1ba"}],"weight":1,"title":"IR-05 - Incident Monitoring","enhancements":"","otherId":"ir-5","sortId":"ir-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-5"},{"objectives":[{"objectiveType":"","otherId":"ir-6.1_smt","name":"IR-6(1)","description":"Report incidents using {{ insert: param, IR-6(1) }}.","uuid":"20ab030c-f106-459d-80f5-2d3e3a94b1b4"}],"description":"<p>Report incidents using {{ insert: param, IR-6(1) }}.</p><br/><strong>Guidance</strong><p>The recipients of incident reports are specified in <a href=\"#ir-6_smt.b\">IR-6b</a> . Automated reporting mechanisms include email, posting on websites (with automatic updates), and automated incident response tools and programs.</p>","uuid":"cf0cea3c-0b7b-42ef-8c1a-3b854ff01c3e","family":"Incident Response","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms used for reporting incidents are defined;","uuid":"12fa5f24-8b21-4b12-a363-d7b79b0cd948","otherId":"ir-06.01_odp","parameterId":"IR-6(1)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"IR-06(01)","test":"Assessment Objective: Determine if incidents are reported using {{ insert: param, ir-06.01_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident reporting.</li><li>Automated mechanisms supporting incident reporting.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Incident response plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident reporting responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incident reporting.</li><li>Automated mechanisms supporting and/or implementing the reporting of security incidents.</li></ul>","otherId":"ir-6.1_obj","defaultText":null,"uuid":"6076eaff-0038-4cc9-a28c-d9312bdaeca2"}],"weight":1,"title":"IR-06(01) - Automated Reporting","enhancements":null,"otherId":"ir-6.1","sortId":"ir-06.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-6(1)"},{"objectives":[{"objectiveType":"","otherId":"ir-6.3_smt","name":"IR-6(3)","description":"Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident.","uuid":"407fdd08-0b30-4fa9-b7a1-6470a7735c12"}],"description":"<p>Provide incident information to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident.</p><br/><strong>Guidance</strong><p>Organizations involved in supply chain activities include product developers, system integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Entities that provide supply chain governance include the Federal Acquisition Security Council (FASC). Supply chain incidents include compromises or breaches that involve information technology products, system components, development processes or personnel, distribution processes, or warehousing facilities. Organizations determine the appropriate information to share and consider the value gained from informing external organizations about supply chain incidents, including the ability to improve processes or to identify the root cause of an incident.</p>","uuid":"f2be9288-4d56-4bc2-89b8-42441c5199d7","family":"Incident Response","parameters":[],"subControls":null,"tests":[{"testId":"IR-06(03)","test":"Assessment Objective: Determine if incident information is provided to the provider of the product or service and other organizations involved in the supply chain or supply chain governance for systems or system components related to the incident.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing supply chain coordination and supply chain risk information sharing with the federal acquisition security council.</li><li>Acquisition policy.</li><li>Acquisition contracts.</li><li>Service-level agreements.</li><li>Incident response plan.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Plans of other organizations involved in supply chain activities.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident reporting responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organization personnel with acquisition responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incident reporting.</li><li>Organizational processes for supply chain risk information sharing.</li><li>Mechanisms supporting and/or implementing the reporting of incident information involved in the supply chain.</li></ul>","otherId":"ir-6.3_obj","defaultText":null,"uuid":"78b7366f-10da-4d1b-9ba3-15e2e5ef6b64"}],"weight":1,"title":"IR-06(03) - Supply Chain Coordination","enhancements":null,"otherId":"ir-6.3","sortId":"ir-06.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-6(3)"},{"objectives":[{"objectiveType":"","otherId":"ir-6_smt.a","name":"a.","description":"<ul><li>a. Require personnel to report suspected incidents to the organizational incident response capability within {{ insert: param, IR-6(a) }} ; and</li></ul>","uuid":"2848f7f7-b544-4537-84af-36df0b2db4cb"},{"objectiveType":"","otherId":"ir-6_smt.b","name":"b.","description":"<ul><li>b. Report incident information to {{ insert: param, IR-6(b) }}.</li></ul>","uuid":"86347232-f9c3-4bf0-ba55-7b29723432a6"}],"description":"<ul><li>a. Require personnel to report suspected incidents to the organizational incident response capability within {{ insert: param, IR-6(a) }} ; and</li><li>b. Report incident information to {{ insert: param, IR-6(b) }}.</li></ul><br/><strong>Guidance</strong><p>The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Incident information can inform risk assessments, control effectiveness assessments, security requirements for acquisitions, and selection criteria for technology products.</p><br/><strong>IR-6 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> Reports security incident information according to FedRAMP Incident Communications Procedure.</li></ul>","uuid":"bd23f5dc-a1b7-4c4d-8d4b-dddfbd91dd4a","family":"Incident Response","parameters":[{"constraints":"US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)","displayName":"","dataType":"","guidance":"time period for personnel to report suspected incidents to the organizational incident response capability is defined;","uuid":"99ac81d7-552c-496a-a606-84431260e4dd","otherId":"ir-06_odp.01","parameterId":"IR-6(a)","text":"time period","default":"[FedRAMP Assignment: US-CERT incident reporting timelines as specified in NIST Special Publication 800-61 (as amended)]"},{"constraints":"","displayName":"","dataType":"","guidance":"authorities to whom incident information is to be reported are defined;","uuid":"cc2997fa-f7c0-4404-9744-872d1d2d4bb8","otherId":"ir-06_odp.02","parameterId":"IR-6(b)","text":"authorities","default":" [Assignment: organization-defined authorities] "}],"subControls":null,"tests":[{"testId":"IR-06a.","test":"Assessment Objective: Determine if personnel is/are required to report suspected incidents to the organizational incident response capability within {{ insert: param, ir-06_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident reporting.</li><li>Incident reporting records and documentation.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident reporting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel who have/should have reported incidents.</li><li>Personnel (authorities) to whom incident information is to be reported.</li><li>System users.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incident reporting.</li><li>Mechanisms supporting and/or implementing incident reporting.</li></ul>","otherId":"ir-6_obj.a","defaultText":null,"uuid":"96b3a3de-2ee4-4ac2-9808-dad7e6d53e5e"},{"testId":"IR-06b.","test":"Assessment Objective: Determine if incident information is reported to {{ insert: param, ir-06_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident reporting.</li><li>Incident reporting records and documentation.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident reporting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Personnel who have/should have reported incidents.</li><li>Personnel (authorities) to whom incident information is to be reported.</li><li>System users.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incident reporting.</li><li>Mechanisms supporting and/or implementing incident reporting.</li></ul>","otherId":"ir-6_obj.b","defaultText":null,"uuid":"1c7a1e31-8f03-44a7-92a6-039d4d9e119f"}],"weight":1,"title":"IR-06 - Incident Reporting","enhancements":"<strong>Enhancements</strong><ul><li>IR-6(1) - Automated Reporting</li><li>IR-6(3) - Supply Chain Coordination</li></ul>","otherId":"ir-6","sortId":"ir-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-6"},{"objectives":[{"objectiveType":"","otherId":"ir-7.1_smt","name":"IR-7(1)","description":"Increase the availability of incident response information and support using {{ insert: param, IR-7(1) }}.","uuid":"fdfffc65-4987-4840-890e-41157a99017f"}],"description":"<p>Increase the availability of incident response information and support using {{ insert: param, IR-7(1) }}.</p><br/><strong>Guidance</strong><p>Automated mechanisms can provide a push or pull capability for users to obtain incident response assistance. For example, individuals may have access to a website to query the assistance capability, or the assistance capability can proactively send incident response information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.</p>","uuid":"fd44eb53-cbf4-47a7-abd6-2ad5ffe1d73b","family":"Incident Response","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms used to increase the availability of incident response information and support are defined;","uuid":"34ea5c41-f831-4c62-8d31-cec3478bc280","otherId":"ir-07.01_odp","parameterId":"IR-7(1)","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "}],"subControls":null,"tests":[{"testId":"IR-07(01)","test":"Assessment Objective: Determine if the availability of incident response information and support is increased using {{ insert: param, ir-07.01_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response assistance.</li><li>Automated mechanisms supporting incident response support and assistance.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Incident response plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response support and assistance responsibilities.</li><li>Organizational personnel with access to incident response support and assistance capability.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incident response assistance.</li><li>Automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support.</li></ul>","otherId":"ir-7.1_obj","defaultText":null,"uuid":"59c5013f-ce30-46cb-89bd-7d416350cfb6"}],"weight":1,"title":"IR-07(01) - Automation Support for Availability of Information and Support","enhancements":null,"otherId":"ir-7.1","sortId":"ir-07.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-7(1)"},{"objectives":[{"objectiveType":"","otherId":"ir-7_smt","name":"IR-7","description":"Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents.","uuid":"7041ee25-7873-4335-ab4d-a87ae342f11f"}],"description":"<p>Provide an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the system for the handling and reporting of incidents.</p><br/><strong>Guidance</strong><p>Incident response support resources provided by organizations include help desks, assistance groups, automated ticketing systems to open and track incident response tickets, and access to forensics services or consumer redress services, when required.</p>","uuid":"3304999e-32fd-49ca-8ca1-7ba1f936a295","family":"Incident Response","parameters":[],"subControls":null,"tests":[{"testId":"IR-07[01]","test":"Assessment Objective: Determine if an incident response support resource, integral to the organizational incident response capability, is provided;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response assistance.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response assistance and support responsibilities.</li><li>Organizational personnel with access to incident response support and assistance capability.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incident response assistance.</li><li>Mechanisms supporting and/or implementing incident response assistance.</li></ul>","otherId":"ir-7_obj-1","defaultText":null,"uuid":"63c83d71-7035-409e-8e14-c17f781c3ffe"},{"testId":"IR-07[02]","test":"Assessment Objective: Determine if the incident response support resource offers advice and assistance to users of the system for the response and reporting of incidents.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response assistance.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response assistance and support responsibilities.</li><li>Organizational personnel with access to incident response support and assistance capability.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incident response assistance.</li><li>Mechanisms supporting and/or implementing incident response assistance.</li></ul>","otherId":"ir-7_obj-2","defaultText":null,"uuid":"5c3c48bd-5dbd-446b-b56b-085c77237836"}],"weight":1,"title":"IR-07 - Incident Response Assistance","enhancements":"<strong>Enhancements</strong><ul><li>IR-7(1) - Automation Support for Availability of Information and Support</li></ul>","otherId":"ir-7","sortId":"ir-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-7"},{"objectives":[{"objectiveType":"","otherId":"ir-8_smt.a","name":"a.","description":"<ul><li>a. Develop an incident response plan that:</li><ul><li>1. Provides the organization with a roadmap for implementing its incident response capability;</li><li>2. Describes the structure and organization of the incident response capability;</li><li>3. Provides a high-level approach for how the incident response capability fits into the overall organization;</li><li>4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;</li><li>5. Defines reportable incidents;</li><li>6. Provides metrics for measuring the incident response capability within the organization;</li><li>7. Defines the resources and management support needed to effectively maintain and mature an incident response capability;</li><li>8. Addresses the sharing of incident information;</li><li>9. Is reviewed and approved by {{ insert: param, IR-8(a)(9)-1 }}{{ insert: param, IR-8(a)(9)-2 }} ; and</li><li>10. Explicitly designates responsibility for incident response to {{ insert: param, IR-8(a)(10) }}.</li></ul>","uuid":"232deb7a-86c2-4876-ba2d-154f86804c46"},{"objectiveType":"","otherId":"ir-8_smt.b","name":"b.","description":"<ul><li>b. Distribute copies of the incident response plan to {{ insert: param, IR-8(b) }};</li></ul>","uuid":"aa7627d4-a457-43fc-987a-85f97df1b5bd"},{"objectiveType":"","otherId":"ir-8_smt.c","name":"c.","description":"<ul><li>c. Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;</li></ul>","uuid":"86e129ec-8d67-4771-82f3-add9b4e84d95"},{"objectiveType":"","otherId":"ir-8_smt.d","name":"d.","description":"<ul><li>d. Communicate incident response plan changes to {{ insert: param, IR-8(d) }} ; and</li></ul>","uuid":"f3caf2b7-6c48-494b-82a5-43a9f1884aa9"},{"objectiveType":"","otherId":"ir-8_smt.e","name":"e.","description":"<ul><li>e. Protect the incident response plan from unauthorized disclosure and modification.</li></ul>","uuid":"f833f355-9d7d-4ee5-9be6-709fb84d8805"}],"description":"<ul><li>a. Develop an incident response plan that:</li><ul><li>1. Provides the organization with a roadmap for implementing its incident response capability;</li><li>2. Describes the structure and organization of the incident response capability;</li><li>3. Provides a high-level approach for how the incident response capability fits into the overall organization;</li><li>4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;</li><li>5. Defines reportable incidents;</li><li>6. Provides metrics for measuring the incident response capability within the organization;</li><li>7. Defines the resources and management support needed to effectively maintain and mature an incident response capability;</li><li>8. Addresses the sharing of incident information;</li><li>9. Is reviewed and approved by {{ insert: param, IR-8(a)(9)-1 }}{{ insert: param, IR-8(a)(9)-2 }} ; and</li><li>10. Explicitly designates responsibility for incident response to {{ insert: param, IR-8(a)(10) }}.</li></ul><li>b. Distribute copies of the incident response plan to {{ insert: param, IR-8(b) }};</li><li>c. Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;</li><li>d. Communicate incident response plan changes to {{ insert: param, IR-8(d) }} ; and</li><li>e. Protect the incident response plan from unauthorized disclosure and modification.</li></ul><br/><strong>Guidance</strong><p>It is important that organizations develop and implement a coordinated approach to incident response. Organizational mission and business functions determine the structure of incident response capabilities. As part of the incident response capabilities, organizations consider the coordination and sharing of information with external organizations, including external service providers and other organizations involved in the supply chain. For incidents involving personally identifiable information (i.e., breaches), include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.</p><br/><strong>IR-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(b) Requirement:</b> The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.</li><li><b>(d) Requirement:</b> The service provider defines a list of incident response personnel (identified by name and/or by role) and organizational elements. The incident response list includes designated FedRAMP personnel.</li></ul>","uuid":"42a2bf5c-4849-44b5-996f-0d4ba2914536","family":"Incident Response","parameters":[{"constraints":"see additional FedRAMP Requirements and Guidance","displayName":"","dataType":"","guidance":"","uuid":"8a4c3e53-284c-499b-bfe3-78a8b8b5668d","otherId":"ir-8_prm_5","parameterId":"IR-8(d)","text":"organization-defined incident response personnel (identified by name and/or by role) and organizational elements","default":"[FedRAMP Assignment: see additional FedRAMP Requirements and Guidance]"},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles that review and approve the incident response plan is/are identified;","uuid":"daf2f762-d162-4359-b739-9131b6651cfb","otherId":"ir-08_odp.01","parameterId":"IR-8(a)(9)-1","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to review and approve the incident response plan is defined;","uuid":"f6e7ff64-4917-4fb6-af99-06def646aa47","otherId":"ir-08_odp.02","parameterId":"IR-8(a)(9)-2","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"","displayName":"","dataType":"","guidance":"entities, personnel, or roles with designated responsibility for incident response are defined;","uuid":"200b6ca2-e2b1-44ef-8379-c69760af5226","otherId":"ir-08_odp.03","parameterId":"IR-8(a)(10)","text":"entities, personnel, or roles","default":" [Assignment: organization-defined entities, personnel, or roles] "},{"constraints":"see additional FedRAMP Requirements and Guidance","displayName":"","dataType":"","guidance":"incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed is/are defined;","uuid":"cb5dd556-b08c-4a79-911b-0c23017f0743","otherId":"ir-08_odp.04","parameterId":"IR-8(b)","text":"incident response personnel","default":"[FedRAMP Assignment: see additional FedRAMP Requirements and Guidance]"}],"subControls":null,"tests":[{"testId":"IR-08a.01","test":"Assessment Objective: Determine if an incident response plan is developed that provides the organization with a roadmap for implementing its incident response capability;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.1","defaultText":null,"uuid":"a854343c-d840-4013-b762-ad5cd9e780f2"},{"testId":"IR-08a.02","test":"Assessment Objective: Determine if an incident response plan is developed that describes the structure and organization of the incident response capability;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.2","defaultText":null,"uuid":"a2660a8d-01ed-418a-a804-b8ceea77b07d"},{"testId":"IR-08a.03","test":"Assessment Objective: Determine if an incident response plan is developed that provides a high-level approach for how the incident response capability fits into the overall organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.3","defaultText":null,"uuid":"910a61a3-4b3c-40f6-8195-0c3a8def9d53"},{"testId":"IR-08a.04","test":"Assessment Objective: Determine if an incident response plan is developed that meets the unique requirements of the organization with regard to mission, size, structure, and functions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.4","defaultText":null,"uuid":"0ee5b563-5523-4935-86be-41cd8cf7690e"},{"testId":"IR-08a.05","test":"Assessment Objective: Determine if an incident response plan is developed that defines reportable incidents;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.5","defaultText":null,"uuid":"5f348eb5-cb50-42dc-b261-142ed775549e"},{"testId":"IR-08a.06","test":"Assessment Objective: Determine if an incident response plan is developed that provides metrics for measuring the incident response capability within the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.6","defaultText":null,"uuid":"6d0deb8b-80b4-422f-a3b5-ee5937900d80"},{"testId":"IR-08a.07","test":"Assessment Objective: Determine if an incident response plan is developed that defines the resources and management support needed to effectively maintain and mature an incident response capability;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.7","defaultText":null,"uuid":"b5d44422-9598-43a6-a5f2-6035b3b24c56"},{"testId":"IR-08a.08","test":"Assessment Objective: Determine if an incident response plan is developed that addresses the sharing of incident information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.8","defaultText":null,"uuid":"37d43c5c-f2cb-4f4f-a2f1-242df031b346"},{"testId":"IR-08a.09","test":"Assessment Objective: Determine if an incident response plan is developed that is reviewed and approved by {{ insert: param, ir-08_odp.01 }}\n{{ insert: param, ir-08_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.9","defaultText":null,"uuid":"bb344c07-3cb6-4788-8c9a-25bb57abb846"},{"testId":"IR-08a.10","test":"Assessment Objective: Determine if an incident response plan is developed that explicitly designates responsibility for incident response to {{ insert: param, ir-08_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.a.10","defaultText":null,"uuid":"1466bbd3-1b93-4330-8a03-81575665a248"},{"testId":"IR-08b.[01]","test":"Assessment Objective: Determine if copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.b-1","defaultText":null,"uuid":"5250a546-f7fa-4289-ba3d-f84b709b1a46"},{"testId":"IR-08b.[02]","test":"Assessment Objective: Determine if copies of the incident response plan are distributed to {{ insert: param, ir-08_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.b-2","defaultText":null,"uuid":"ef0003cd-fbd6-4d10-bb4d-1075fe3ff2f3"},{"testId":"IR-08c.","test":"Assessment Objective: Determine if the incident response plan is updated to address system and organizational changes or problems encountered during plan implementation, execution, or testing;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.c","defaultText":null,"uuid":"fb284065-edbb-4fe7-98c9-1a11ba9c1e3f"},{"testId":"IR-08d.[01]","test":"Assessment Objective: Determine if incident response plan changes are communicated to {{ insert: param, ir-08_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.d-1","defaultText":null,"uuid":"3192353a-288b-4dff-8230-cbe78190d5cd"},{"testId":"IR-08d.[02]","test":"Assessment Objective: Determine if incident response plan changes are communicated to {{ insert: param, ir-08_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.d-2","defaultText":null,"uuid":"01fe0a00-ab46-43d0-8303-bd9086b0b9ba"},{"testId":"IR-08e.[01]","test":"Assessment Objective: Determine if the incident response plan is protected from unauthorized disclosure;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.e-1","defaultText":null,"uuid":"71d585a1-5c64-40f6-94fa-4e9230d2a62a"},{"testId":"IR-08e.[02]","test":"Assessment Objective: Determine if the incident response plan is protected from unauthorized modification.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response planning.</li><li>Incident response plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of incident response plan reviews and approvals.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational incident response plan and related organizational processes.</li></ul>","otherId":"ir-8_obj.e-2","defaultText":null,"uuid":"18be3482-38c2-46f8-a95a-4a69705f89e4"}],"weight":1,"title":"IR-08 - Incident Response Plan","enhancements":"","otherId":"ir-8","sortId":"ir-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-8"},{"objectives":[{"objectiveType":"","otherId":"ir-9.2_smt","name":"IR-9(2)","description":"Provide information spillage response training {{ insert: param, IR-9(2) }}.","uuid":"d845bf00-a9f5-4cf9-92b8-16d055ce9ae6"}],"description":"<p>Provide information spillage response training {{ insert: param, IR-9(2) }}.</p><br/><strong>Guidance</strong><p>Organizations establish requirements for responding to information spillage incidents in incident response plans. Incident response training on a regular basis helps to ensure that organizational personnel understand their individual responsibilities and what specific actions to take when spillage incidents occur.</p>","uuid":"1deb0b02-bd16-47c8-ab71-45999ba98dcb","family":"Incident Response","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to provide information spillage response training is defined;","uuid":"928001e9-031e-42ac-ab98-6e1e4fbb71ca","otherId":"ir-09.02_odp","parameterId":"IR-9(2)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"IR-09(02)","test":"Assessment Objective: Determine if information spillage response training is provided {{ insert: param, ir-09.02_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage response training.</li><li>Information spillage response training curriculum.</li><li>Information spillage response training materials.</li><li>Incident response plan.</li><li>System security plan.</li><li>Information spillage response training records.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response training responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ir-9.2_obj","defaultText":null,"uuid":"07742fe1-49cc-4bb4-9f77-25726382971c"}],"weight":1,"title":"IR-09(02) - Training","enhancements":null,"otherId":"ir-9.2","sortId":"ir-09.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-9(2)"},{"objectives":[{"objectiveType":"","otherId":"ir-9.3_smt","name":"IR-9(3)","description":"Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, IR-9(3) }}.","uuid":"6bfa46ef-a3ce-45e3-b12b-0d95fcdd9e94"}],"description":"<p>Implement the following procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions: {{ insert: param, IR-9(3) }}.</p><br/><strong>Guidance</strong><p>Corrective actions for systems contaminated due to information spillages may be time-consuming. Personnel may not have access to the contaminated systems while corrective actions are being taken, which may potentially affect their ability to conduct organizational business.</p>","uuid":"cf6e11ef-d8c4-4884-9fbe-79d530226dbc","family":"Incident Response","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"procedures to be implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions are defined;","uuid":"5fa44227-354e-438b-ac8d-3cf3071ea18b","otherId":"ir-09.03_odp","parameterId":"IR-9(3)","text":"procedures","default":" [Assignment: organization-defined procedures] "}],"subControls":null,"tests":[{"testId":"IR-09(03)","test":"Assessment Objective: Determine if \n{{ insert: param, ir-09.03_odp }} are implemented to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for post-spill operations.</li></ul>","otherId":"ir-9.3_obj","defaultText":null,"uuid":"d079d14f-aafb-414d-9921-24cb6b1b6fff"}],"weight":1,"title":"IR-09(03) - Post-spill Operations","enhancements":null,"otherId":"ir-9.3","sortId":"ir-09.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-9(3)"},{"objectives":[{"objectiveType":"","otherId":"ir-9.4_smt","name":"IR-9(4)","description":"Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, IR-9(4) }}.","uuid":"d4e90729-f5c2-4b65-b11a-56f4370e840c"}],"description":"<p>Employ the following controls for personnel exposed to information not within assigned access authorizations: {{ insert: param, IR-9(4) }}.</p><br/><strong>Guidance</strong><p>Controls include ensuring that personnel who are exposed to spilled information are made aware of the laws, executive orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information.</p>","uuid":"c77df98b-36b9-42ff-be8b-9e280b752313","family":"Incident Response","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"controls employed for personnel exposed to information not within assigned access authorizations are defined;","uuid":"808da972-b4c4-4d46-9122-f013c680b641","otherId":"ir-09.04_odp","parameterId":"IR-9(4)","text":"controls","default":" [Assignment: organization-defined controls] "}],"subControls":null,"tests":[{"testId":"IR-09(04)","test":"Assessment Objective: Determine if \n{{ insert: param, ir-09.04_odp }} are employed for personnel exposed to information not within assigned access authorizations.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing incident response.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Security safeguards regarding information spillage/exposure to unauthorized personnel.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for dealing with information exposed to unauthorized personnel.</li><li>Mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations.</li></ul>","otherId":"ir-9.4_obj","defaultText":null,"uuid":"f888fb30-8928-4989-997a-7b2d02f5e1f8"}],"weight":1,"title":"IR-09(04) - Exposure to Unauthorized Personnel","enhancements":null,"otherId":"ir-9.4","sortId":"ir-09.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-9(4)"},{"objectives":[{"objectiveType":"","otherId":"ir-9_smt.a","name":"a.","description":"<ul><li>a. Respond to information spills by: Assigning {{ insert: param, IR-9(a) }} with responsibility for responding to information spills;</li></ul>","uuid":"97c3f899-6ddc-40f3-b1c5-f7b0d1edf5c5"},{"objectiveType":"","otherId":"ir-9_smt.b","name":"b.","description":"<ul><li>b. Respond to information spills by: Identifying the specific information involved in the system contamination;</li></ul>","uuid":"86359bac-2d18-466b-a4ba-9ae8341d22d4"},{"objectiveType":"","otherId":"ir-9_smt.c","name":"c.","description":"<ul><li>c. Respond to information spills by: Alerting {{ insert: param, IR-9(c) }} of the information spill using a method of communication not associated with the spill;</li></ul>","uuid":"20154901-b034-4e05-bed7-77f2292c8145"},{"objectiveType":"","otherId":"ir-9_smt.d","name":"d.","description":"<ul><li>d. Respond to information spills by: Isolating the contaminated system or system component;</li></ul>","uuid":"ec5373af-f516-4fc5-a3ca-0c19aa95272e"},{"objectiveType":"","otherId":"ir-9_smt.e","name":"e.","description":"<ul><li>e. Respond to information spills by: Eradicating the information from the contaminated system or component;</li></ul>","uuid":"1ba9e321-fd65-4868-af30-2e19705390b5"},{"objectiveType":"","otherId":"ir-9_smt.f","name":"f.","description":"<ul><li>f. Respond to information spills by: Identifying other systems or system components that may have been subsequently contaminated; and</li></ul>","uuid":"7030992a-a37e-4d76-a0eb-c38c14520e3a"},{"objectiveType":"","otherId":"ir-9_smt.g","name":"g.","description":"<ul><li>g. Respond to information spills by: Performing the following additional actions: {{ insert: param, IR-9(g) }}.</li></ul>","uuid":"63fcafa0-77cb-4e9f-bbbc-4e7b461414fb"}],"description":"<p>Respond to information spills by:</p><ul><li>a. Assigning {{ insert: param, IR-9(a) }} with responsibility for responding to information spills;</li><li>b. Identifying the specific information involved in the system contamination;</li><li>c. Alerting {{ insert: param, IR-9(c) }} of the information spill using a method of communication not associated with the spill;</li><li>d. Isolating the contaminated system or system component;</li><li>e. Eradicating the information from the contaminated system or component;</li><li>f. Identifying other systems or system components that may have been subsequently contaminated; and</li><li>g. Performing the following additional actions: {{ insert: param, IR-9(g) }}.</li></ul><br/><strong>Guidance</strong><p>Information spillage refers to instances where information is placed on systems that are not authorized to process such information. Information spills occur when information that is thought to be a certain classification or impact level is transmitted to a system and subsequently is determined to be of a higher classification or impact level. At that point, corrective action is required. The nature of the response is based on the classification or impact level of the spilled information, the security capabilities of the system, the specific nature of the contaminated storage media, and the access authorizations of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.</p>","uuid":"35d77770-c188-4c90-b45c-239d7cda6f9d","family":"Incident Response","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles assigned the responsibility for responding to information spills is/are defined;","uuid":"160f0a3b-66b6-4d13-a1d2-52728c0b7ef1","otherId":"ir-09_odp.01","parameterId":"IR-9(a)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to be alerted of the information spill using a method of communication not associated with the spill is/are defined;","uuid":"39ab6c9c-b977-4be4-8eb3-44e956bbda28","otherId":"ir-09_odp.02","parameterId":"IR-9(c)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"actions to be performed are defined;","uuid":"f5b0e191-7226-4a6f-a140-c40f2fa12f1d","otherId":"ir-09_odp.03","parameterId":"IR-9(g)","text":"actions","default":" [Assignment: organization-defined actions] "}],"subControls":null,"tests":[{"testId":"IR-09a.","test":"Assessment Objective: Determine if \n{{ insert: param, ir-09_odp.01 }} is/are assigned the responsibility to respond to information spills;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Records of information spillage alerts/notifications.</li><li>List of personnel who should receive alerts of information spillage.</li><li>List of actions to be performed regarding information spillage.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information spillage response.</li><li>Mechanisms supporting and/or implementing information spillage response actions and related communications.</li></ul>","otherId":"ir-9_obj.a","defaultText":null,"uuid":"6e71e495-1e96-426a-b548-6b09ea953dd5"},{"testId":"IR-09b.","test":"Assessment Objective: Determine if the specific information involved in the system contamination is identified in response to information spills;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Records of information spillage alerts/notifications.</li><li>List of personnel who should receive alerts of information spillage.</li><li>List of actions to be performed regarding information spillage.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information spillage response.</li><li>Mechanisms supporting and/or implementing information spillage response actions and related communications.</li></ul>","otherId":"ir-9_obj.b","defaultText":null,"uuid":"dc3f4658-fb26-45fe-b77d-e62cb1c5edd1"},{"testId":"IR-09c.","test":"Assessment Objective: Determine if \n{{ insert: param, ir-09_odp.02 }} is/are alerted of the information spill using a method of communication not associated with the spill;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Records of information spillage alerts/notifications.</li><li>List of personnel who should receive alerts of information spillage.</li><li>List of actions to be performed regarding information spillage.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information spillage response.</li><li>Mechanisms supporting and/or implementing information spillage response actions and related communications.</li></ul>","otherId":"ir-9_obj.c","defaultText":null,"uuid":"b760642d-d05e-4026-aded-8c99db562b6d"},{"testId":"IR-09d.","test":"Assessment Objective: Determine if the contaminated system or system component is isolated in response to information spills;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Records of information spillage alerts/notifications.</li><li>List of personnel who should receive alerts of information spillage.</li><li>List of actions to be performed regarding information spillage.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information spillage response.</li><li>Mechanisms supporting and/or implementing information spillage response actions and related communications.</li></ul>","otherId":"ir-9_obj.d","defaultText":null,"uuid":"ab54bb7e-8ac1-4ece-90fb-0834b2b7d635"},{"testId":"IR-09e.","test":"Assessment Objective: Determine if the information is eradicated from the contaminated system or component in response to information spills;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Records of information spillage alerts/notifications.</li><li>List of personnel who should receive alerts of information spillage.</li><li>List of actions to be performed regarding information spillage.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information spillage response.</li><li>Mechanisms supporting and/or implementing information spillage response actions and related communications.</li></ul>","otherId":"ir-9_obj.e","defaultText":null,"uuid":"c7ab0eb9-87e5-42e4-a305-95035012a5d5"},{"testId":"IR-09f.","test":"Assessment Objective: Determine if other systems or system components that may have been subsequently contaminated are identified in response to information spills;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Records of information spillage alerts/notifications.</li><li>List of personnel who should receive alerts of information spillage.</li><li>List of actions to be performed regarding information spillage.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information spillage response.</li><li>Mechanisms supporting and/or implementing information spillage response actions and related communications.</li></ul>","otherId":"ir-9_obj.f","defaultText":null,"uuid":"a6f5615c-c52a-4500-8077-a0b1044fc913"},{"testId":"IR-09g.","test":"Assessment Objective: Determine if \n{{ insert: param, ir-09_odp.03 }} are performed in response to information spills.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Incident response policy.</li><li>Procedures addressing information spillage.</li><li>Incident response plan.</li><li>System security plan.</li><li>Records of information spillage alerts/notifications.</li><li>List of personnel who should receive alerts of information spillage.</li><li>List of actions to be performed regarding information spillage.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information spillage response.</li><li>Mechanisms supporting and/or implementing information spillage response actions and related communications.</li></ul>","otherId":"ir-9_obj.g","defaultText":null,"uuid":"923a8d83-db07-47b7-b078-1935cd16fd98"}],"weight":1,"title":"IR-09 - Information Spillage Response","enhancements":"<strong>Enhancements</strong><ul><li>IR-9(2) - Training</li><li>IR-9(3) - Post-spill Operations</li><li>IR-9(4) - Exposure to Unauthorized Personnel</li></ul>","otherId":"ir-9","sortId":"ir-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"IR-9"},{"objectives":[{"objectiveType":"","otherId":"ma-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, MA-1(a) }}:</li><ul><li>1. {{ insert: param, MA-1(a)(1) }} maintenance policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;</li></ul>","uuid":"2c0e1852-4c6f-4959-9e9a-3f3dbee0262c"},{"objectiveType":"","otherId":"ma-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, MA-1(b) }} to manage the development, documentation, and dissemination of the maintenance policy and procedures; and</li></ul>","uuid":"7519f547-3265-4017-b8cf-6a0b16a601dc"},{"objectiveType":"","otherId":"ma-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current maintenance:</li><ul><li>1. Policy {{ insert: param, MA-1(c)(1)-1 }} and following {{ insert: param, MA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, MA-1(c)(2)-1 }} and following {{ insert: param, MA-1(c)(2)-2 }}.</li></ul>","uuid":"96ee8f37-e014-49c2-863b-a39e79482be0"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, MA-1(a) }}:</li><ul><li>1. {{ insert: param, MA-1(a)(1) }} maintenance policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the maintenance policy and the associated maintenance controls;</li></ul><li>b. Designate an {{ insert: param, MA-1(b) }} to manage the development, documentation, and dissemination of the maintenance policy and procedures; and</li><li>c. Review and update the current maintenance:</li><ul><li>1. Policy {{ insert: param, MA-1(c)(1)-1 }} and following {{ insert: param, MA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, MA-1(c)(2)-1 }} and following {{ insert: param, MA-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Maintenance policy and procedures address the controls in the MA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of maintenance policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to maintenance policy and procedures assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"3ac9ab24-632a-468a-83f5-d10d3c517844","family":"Maintenance","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"1ffd18a6-c0b7-42ce-8fa6-80d8687314a0","otherId":"ma-1_prm_1","parameterId":"MA-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"33e4d5bf-679c-43ae-83e1-6f6d5d508460","otherId":"ma-01_odp.03","parameterId":"MA-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the maintenance policy and procedures is defined;","uuid":"1a7e52b9-6255-491c-b8a8-d8bd81c0a911","otherId":"ma-01_odp.04","parameterId":"MA-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency with which the current maintenance policy is reviewed and updated is defined;","uuid":"50e5cf07-a441-41d3-97ff-0e62d372ab72","otherId":"ma-01_odp.05","parameterId":"MA-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current maintenance policy to be reviewed and updated are defined;","uuid":"b63b01c9-26fa-48b1-961c-092ae263e3bd","otherId":"ma-01_odp.06","parameterId":"MA-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency with which the current maintenance procedures are reviewed and updated is defined;","uuid":"73e4fece-3594-4c9a-b353-cc9792f09c42","otherId":"ma-01_odp.07","parameterId":"MA-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require the maintenance procedures to be reviewed and updated are defined;","uuid":"c0ca19fd-2719-4934-8d8e-6946a2522510","otherId":"ma-01_odp.08","parameterId":"MA-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"MA-01a.[01]","test":"Assessment Objective: Determine if a maintenance policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a-1","defaultText":null,"uuid":"639d526d-5931-4c57-ae54-adffe4773496"},{"testId":"MA-01a.[02]","test":"Assessment Objective: Determine if the maintenance policy is disseminated to {{ insert: param, ma-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a-2","defaultText":null,"uuid":"8fdd9c84-4d2c-4d0f-88a3-e4c5e28b46a9"},{"testId":"MA-01a.[03]","test":"Assessment Objective: Determine if maintenance procedures to facilitate the implementation of the maintenance policy and associated maintenance controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a-3","defaultText":null,"uuid":"9324bc5f-f02e-4213-aa3b-84c008b88073"},{"testId":"MA-01a.[04]","test":"Assessment Objective: Determine if the maintenance procedures are disseminated to {{ insert: param, ma-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a-4","defaultText":null,"uuid":"4999cca6-c8ad-4ebd-8ef5-7408fa164c7c"},{"testId":"MA-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.a-1","defaultText":null,"uuid":"df14bb6e-40e5-45e7-b889-3efbacff0c64"},{"testId":"MA-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.a-2","defaultText":null,"uuid":"54d9ed2c-82a1-454e-9616-68704e20b2c9"},{"testId":"MA-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.a-3","defaultText":null,"uuid":"fcb3eecc-39cb-4b82-aa12-047eb85c3ed7"},{"testId":"MA-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.a-4","defaultText":null,"uuid":"2ca097a7-f5c6-41c8-aa38-1a8d0a53a6fd"},{"testId":"MA-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.a-5","defaultText":null,"uuid":"c0483285-d11e-480f-987f-3a05e903e9eb"},{"testId":"MA-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.a-6","defaultText":null,"uuid":"d99ab50c-a7f5-400b-9817-c1b3186d1e68"},{"testId":"MA-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.a-7","defaultText":null,"uuid":"14d5e0c5-4762-4aaa-a02b-9fc2852f14bb"},{"testId":"MA-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.03 }} maintenance policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.a.1.b","defaultText":null,"uuid":"9752aea0-3c95-47f0-b595-7d5526fc5e04"},{"testId":"MA-01b.","test":"Assessment Objective: Determine if the {{ insert: param, ma-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the maintenance policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.b","defaultText":null,"uuid":"52482402-d64a-41c5-bfc1-b41f5d28fa82"},{"testId":"MA-01c.01[01]","test":"Assessment Objective: Determine if the current maintenance policy is reviewed and updated {{ insert: param, ma-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.c.1-1","defaultText":null,"uuid":"548f76ca-b409-4b6c-a236-f7410e93b19e"},{"testId":"MA-01c.01[02]","test":"Assessment Objective: Determine if the current maintenance policy is reviewed and updated following {{ insert: param, ma-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.c.1-2","defaultText":null,"uuid":"cc80d1b2-a576-41b7-a5b5-efb17edd4999"},{"testId":"MA-01c.02[01]","test":"Assessment Objective: Determine if the current maintenance procedures are reviewed and updated {{ insert: param, ma-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.c.2-1","defaultText":null,"uuid":"ed55111f-8212-482e-83a6-94e818ed749a"},{"testId":"MA-01c.02[02]","test":"Assessment Objective: Determine if the current maintenance procedures are reviewed and updated following {{ insert: param, ma-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with maintenance responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"ma-1_obj.c.2-2","defaultText":null,"uuid":"5639b77e-a075-44e1-969d-f8f52a830bc3"}],"weight":1,"title":"MA-01 - Policy and Procedures","enhancements":"","otherId":"ma-1","sortId":"ma-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-1"},{"objectives":[{"objectiveType":"","otherId":"ma-2_smt.a","name":"a.","description":"<ul><li>a. Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;</li></ul>","uuid":"a910cb22-0d92-42b7-ae43-9ce2231c380d"},{"objectiveType":"","otherId":"ma-2_smt.b","name":"b.","description":"<ul><li>b. Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;</li></ul>","uuid":"faadcff5-e087-4c9d-ad92-d8f112982997"},{"objectiveType":"","otherId":"ma-2_smt.c","name":"c.","description":"<ul><li>c. Require that {{ insert: param, MA-2(c) }} explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;</li></ul>","uuid":"7e952acb-b86f-4695-b456-b099ef410c93"},{"objectiveType":"","otherId":"ma-2_smt.d","name":"d.","description":"<ul><li>d. Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: {{ insert: param, MA-2(d) }};</li></ul>","uuid":"13bc1fad-0a0d-467a-bca2-e7bbd38c5402"},{"objectiveType":"","otherId":"ma-2_smt.e","name":"e.","description":"<ul><li>e. Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and</li></ul>","uuid":"a256b608-7013-4418-865a-0281d1a8d81a"},{"objectiveType":"","otherId":"ma-2_smt.f","name":"f.","description":"<ul><li>f. Include the following information in organizational maintenance records: {{ insert: param, MA-2(f) }}.</li></ul>","uuid":"fd7c89a9-f175-4dbb-9896-d5e6fd657a64"}],"description":"<ul><li>a. Schedule, document, and review records of maintenance, repair, and replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;</li><li>b. Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;</li><li>c. Require that {{ insert: param, MA-2(c) }} explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;</li><li>d. Sanitize equipment to remove the following information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement: {{ insert: param, MA-2(d) }};</li><li>e. Check all potentially impacted controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and</li><li>f. Include the following information in organizational maintenance records: {{ insert: param, MA-2(f) }}.</li></ul><br/><strong>Guidance</strong><p>Controlling system maintenance addresses the information security aspects of the system maintenance program and applies to all types of maintenance to system components conducted by local or nonlocal entities. Maintenance includes peripherals such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes the date and time of maintenance, a description of the maintenance performed, names of the individuals or group performing the maintenance, name of the escort, and system components or equipment that are removed or replaced. Organizations consider supply chain-related risks associated with replacement components for systems.</p>","uuid":"2d23425b-dd6e-4dc2-bee6-522e16289f47","family":"Maintenance","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance or repairs is/are defined;","uuid":"b0622f6a-2fde-449c-91a6-c06167165ffb","otherId":"ma-02_odp.01","parameterId":"MA-2(c)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"information to be removed from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement is defined;","uuid":"c7758a56-eb8a-4337-96d8-ece457ba3dc2","otherId":"ma-02_odp.02","parameterId":"MA-2(d)","text":"information","default":" [Assignment: organization-defined information] "},{"constraints":"","displayName":"","dataType":"","guidance":"information to be included in organizational maintenance records is defined;","uuid":"81c40d56-c891-4406-bce5-a95b05f1abb7","otherId":"ma-02_odp.03","parameterId":"MA-2(f)","text":"information","default":" [Assignment: organization-defined information] "}],"subControls":null,"tests":[{"testId":"MA-02a.[01]","test":"Assessment Objective: Determine if maintenance, repair, and replacement of system components are scheduled in accordance with manufacturer or vendor specifications and/or organizational requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.a-1","defaultText":null,"uuid":"dc97e775-1bfc-4a48-82b6-6cef895b88ca"},{"testId":"MA-02a.[02]","test":"Assessment Objective: Determine if maintenance, repair, and replacement of system components are documented in accordance with manufacturer or vendor specifications and/or organizational requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.a-2","defaultText":null,"uuid":"603d0fb7-8e9d-49ba-83fe-dbc6e107abd8"},{"testId":"MA-02a.[03]","test":"Assessment Objective: Determine if records of maintenance, repair, and replacement of system components are reviewed in accordance with manufacturer or vendor specifications and/or organizational requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.a-3","defaultText":null,"uuid":"16b82f6e-0fff-41cc-b191-49d274343b9f"},{"testId":"MA-02b.[01]","test":"Assessment Objective: Determine if all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are approved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.b-1","defaultText":null,"uuid":"550b2beb-b8ce-4621-a479-99b14add999b"},{"testId":"MA-02b.[02]","test":"Assessment Objective: Determine if all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location, are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.b-2","defaultText":null,"uuid":"53d8346e-0bf2-4361-8dcc-9e36a3d6157c"},{"testId":"MA-02c.","test":"Assessment Objective: Determine if \n{{ insert: param, ma-02_odp.01 }} is/are required to explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.c","defaultText":null,"uuid":"6685d178-36d6-4a93-ac64-f0c209e67dfb"},{"testId":"MA-02d.","test":"Assessment Objective: Determine if equipment is sanitized to remove {{ insert: param, ma-02_odp.02 }} from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.d","defaultText":null,"uuid":"f21d6465-6d71-44f7-8db0-081bfeaa83b1"},{"testId":"MA-02e.","test":"Assessment Objective: Determine if all potentially impacted controls are checked to verify that the controls are still functioning properly following maintenance, repair, or replacement actions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.e","defaultText":null,"uuid":"efe559ee-9860-4ec5-9795-53fb71518a1c"},{"testId":"MA-02f.","test":"Assessment Objective: Determine if \n{{ insert: param, ma-02_odp.03 }} is included in organizational maintenance records.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing controlled system maintenance.</li><li>Maintenance records.</li><li>Manufacturer/vendor maintenance specifications.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the system.</li><li>Organizational processes for sanitizing system components.</li><li>Mechanisms supporting and/or implementing controlled maintenance.</li><li>Mechanisms implementing the sanitization of system components.</li></ul>","otherId":"ma-2_obj.f","defaultText":null,"uuid":"e4147a5c-c13f-4682-9fa0-78a381c9abc3"}],"weight":1,"title":"MA-02 - Controlled Maintenance","enhancements":"","otherId":"ma-2","sortId":"ma-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-2"},{"objectives":[{"objectiveType":"","otherId":"ma-3.1_smt","name":"MA-3(1)","description":"Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications.","uuid":"144e4454-9118-4585-9ea4-6c7dc9adee46"}],"description":"<p>Inspect the maintenance tools used by maintenance personnel for improper or unauthorized modifications.</p><br/><strong>Guidance</strong><p>Maintenance tools can be directly brought into a facility by maintenance personnel or downloaded from a vendor’s website. If, upon inspection of the maintenance tools, organizations determine that the tools have been modified in an improper manner or the tools contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.</p>","uuid":"af408e52-41df-4967-a8c8-2e0b607c22a2","family":"Maintenance","parameters":[],"subControls":null,"tests":[{"testId":"MA-03(01)","test":"Assessment Objective: Determine if maintenance tools used by maintenance personnel are inspected for improper or unauthorized modifications.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance tool inspection records.</li><li>Maintenance records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for inspecting maintenance tools.</li><li>Mechanisms supporting and/or implementing the inspection of maintenance tools.</li></ul>","otherId":"ma-3.1_obj","defaultText":null,"uuid":"274e2619-54be-4f27-b5ae-9908559d21a3"}],"weight":1,"title":"MA-03(01) - Inspect Tools","enhancements":null,"otherId":"ma-3.1","sortId":"ma-03.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-3(1)"},{"objectives":[{"objectiveType":"","otherId":"ma-3.2_smt","name":"MA-3(2)","description":"Check media containing diagnostic and test programs for malicious code before the media are used in the system.","uuid":"d876706c-5abe-4965-95f6-a73dca10aabd"}],"description":"<p>Check media containing diagnostic and test programs for malicious code before the media are used in the system.</p><br/><strong>Guidance</strong><p>If, upon inspection of media containing maintenance, diagnostic, and test programs, organizations determine that the media contains malicious code, the incident is handled consistent with organizational incident handling policies and procedures.</p>","uuid":"b72f7c61-0953-4183-b1a7-e67303fb2a27","family":"Maintenance","parameters":[],"subControls":null,"tests":[{"testId":"MA-03(02)","test":"Assessment Objective: Determine if media containing diagnostic and test programs are checked for malicious code before the media are used in the system.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational process for inspecting media for malicious code.</li><li>Mechanisms supporting and/or implementing the inspection of media used for maintenance.</li></ul>","otherId":"ma-3.2_obj","defaultText":null,"uuid":"4014e887-e4c1-4d8e-b867-9e76c79b0224"}],"weight":1,"title":"MA-03(02) - Inspect Media","enhancements":null,"otherId":"ma-3.2","sortId":"ma-03.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-3(2)"},{"objectives":[{"objectiveType":"","otherId":"ma-3.3_smt.a","name":"(a)","description":"<ul><li>(a) Prevent the removal of maintenance equipment containing organizational information by: Verifying that there is no organizational information contained on the equipment;</li></ul>","uuid":"946946a5-1b5e-480b-b81d-eb7a20199a20"},{"objectiveType":"","otherId":"ma-3.3_smt.b","name":"(b)","description":"<ul><li>(b) Prevent the removal of maintenance equipment containing organizational information by: Sanitizing or destroying the equipment;</li></ul>","uuid":"1f9863fa-7152-43e7-bc43-2ad7548169fd"},{"objectiveType":"","otherId":"ma-3.3_smt.c","name":"(c)","description":"<ul><li>(c) Prevent the removal of maintenance equipment containing organizational information by: Retaining the equipment within the facility; or</li></ul>","uuid":"456b2c8a-1209-4a34-bbf5-afa62ccd07b4"},{"objectiveType":"","otherId":"ma-3.3_smt.d","name":"(d)","description":"<ul><li>(d) Prevent the removal of maintenance equipment containing organizational information by: Obtaining an exemption from {{ insert: param, MA-3(3)(d) }} explicitly authorizing removal of the equipment from the facility.</li></ul>","uuid":"6d16e00a-8943-49eb-b088-d964f2a8a481"}],"description":"<p>Prevent the removal of maintenance equipment containing organizational information by:</p><ul><li>(a) Verifying that there is no organizational information contained on the equipment;</li><li>(b) Sanitizing or destroying the equipment;</li><li>(c) Retaining the equipment within the facility; or</li><li>(d) Obtaining an exemption from {{ insert: param, MA-3(3)(d) }} explicitly authorizing removal of the equipment from the facility.</li></ul><br/><strong>Guidance</strong><p>Organizational information includes all information owned by organizations and any information provided to organizations for which the organizations serve as information stewards.</p>","uuid":"7f894f4d-c8ef-4518-92ca-d003db14fc9d","family":"Maintenance","parameters":[{"constraints":"the information owner","displayName":"","dataType":"","guidance":"personnel or roles who can authorize removal of equipment from the facility is/are defined;","uuid":"785d8194-8a02-47b4-93b5-8b35687fe0c7","otherId":"ma-03.03_odp","parameterId":"MA-3(3)(d)","text":"personnel or roles","default":"[FedRAMP Assignment: the information owner]"}],"subControls":null,"tests":[{"testId":"MA-03(03)(a)","test":"Assessment Objective: Determine if the removal of maintenance equipment containing organizational information is prevented by verifying that there is no organizational information contained on the equipment; or<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>Exemptions for equipment removal.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li></ul><br>Test (Select From):<ul><li>Organizational process for preventing unauthorized removal of information.</li><li>Mechanisms supporting media sanitization or destruction of equipment.</li><li>Mechanisms supporting verification of media sanitization.</li></ul>","otherId":"ma-3.3_obj.a","defaultText":null,"uuid":"9a9d5439-7803-409f-9345-75268fb97853"},{"testId":"MA-03(03)(b)","test":"Assessment Objective: Determine if the removal of maintenance equipment containing organizational information is prevented by sanitizing or destroying the equipment; or<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>Exemptions for equipment removal.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li></ul><br>Test (Select From):<ul><li>Organizational process for preventing unauthorized removal of information.</li><li>Mechanisms supporting media sanitization or destruction of equipment.</li><li>Mechanisms supporting verification of media sanitization.</li></ul>","otherId":"ma-3.3_obj.b","defaultText":null,"uuid":"7aad5047-89e5-494a-9f6a-b9f3dfa539d4"},{"testId":"MA-03(03)(c)","test":"Assessment Objective: Determine if the removal of maintenance equipment containing organizational information is prevented by retaining the equipment within the facility; or<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>Exemptions for equipment removal.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li></ul><br>Test (Select From):<ul><li>Organizational process for preventing unauthorized removal of information.</li><li>Mechanisms supporting media sanitization or destruction of equipment.</li><li>Mechanisms supporting verification of media sanitization.</li></ul>","otherId":"ma-3.3_obj.c","defaultText":null,"uuid":"5fd8b52f-2ac2-4498-81e0-6240747b020b"},{"testId":"MA-03(03)(d)","test":"Assessment Objective: Determine if the removal of maintenance equipment containing organizational information is prevented by obtaining an exemption from {{ insert: param, ma-03.03_odp }} explicitly authorizing removal of the equipment from the facility.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>Equipment sanitization records.</li><li>Media sanitization records.</li><li>Exemptions for equipment removal.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li></ul><br>Test (Select From):<ul><li>Organizational process for preventing unauthorized removal of information.</li><li>Mechanisms supporting media sanitization or destruction of equipment.</li><li>Mechanisms supporting verification of media sanitization.</li></ul>","otherId":"ma-3.3_obj.d","defaultText":null,"uuid":"f07866db-808b-4f88-b658-7ad942bd4644"}],"weight":1,"title":"MA-03(03) - Prevent Unauthorized Removal","enhancements":null,"otherId":"ma-3.3","sortId":"ma-03.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-3(3)"},{"objectives":[{"objectiveType":"","otherId":"ma-3_smt.a","name":"a.","description":"<ul><li>a. Approve, control, and monitor the use of system maintenance tools; and</li></ul>","uuid":"9f886954-1f83-4dcc-b111-8267abd87dfd"},{"objectiveType":"","otherId":"ma-3_smt.b","name":"b.","description":"<ul><li>b. Review previously approved system maintenance tools {{ insert: param, MA-3(b) }}.</li></ul>","uuid":"7c1d0459-a3a2-4782-a055-dfab5c21a78b"}],"description":"<ul><li>a. Approve, control, and monitor the use of system maintenance tools; and</li><li>b. Review previously approved system maintenance tools {{ insert: param, MA-3(b) }}.</li></ul><br/><strong>Guidance</strong><p>Approving, controlling, monitoring, and reviewing maintenance tools address security-related issues associated with maintenance tools that are not within system authorization boundaries and are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for the approval of maintenance tools and how that approval is documented. A periodic review of maintenance tools facilitates the withdrawal of approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items and may be pre-installed, brought in with maintenance personnel on media, cloud-based, or downloaded from a website. Such tools can be vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include hardware and software diagnostic test equipment and packet sniffers. The hardware and software components that support maintenance and are a part of the system (including the software implementing utilities such as <q>ping,</q>\n<q>ls,</q>\n<q>ipconfig,</q> or the hardware and software implementing the monitoring port of an Ethernet switch) are not addressed by maintenance tools.</p>","uuid":"67b80a00-44dd-4cf7-a974-fc890831d80d","family":"Maintenance","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to review previously approved system maintenance tools is defined;","uuid":"65d82bc6-ac5f-4363-8f36-5b0eca1bf4d2","otherId":"ma-03_odp","parameterId":"MA-3(b)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"MA-03a.[01]","test":"Assessment Objective: Determine if the use of system maintenance tools is approved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for approving, controlling, and monitoring maintenance tools.</li><li>Mechanisms supporting and/or implementing the approval, control, and/or monitoring of maintenance tools.</li></ul>","otherId":"ma-3_obj.a-1","defaultText":null,"uuid":"d2068cc5-309e-4809-b426-c088c697f4ec"},{"testId":"MA-03a.[02]","test":"Assessment Objective: Determine if the use of system maintenance tools is controlled;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for approving, controlling, and monitoring maintenance tools.</li><li>Mechanisms supporting and/or implementing the approval, control, and/or monitoring of maintenance tools.</li></ul>","otherId":"ma-3_obj.a-2","defaultText":null,"uuid":"4cbf4bcb-2037-42f1-b6e5-be773ae5b270"},{"testId":"MA-03a.[03]","test":"Assessment Objective: Determine if the use of system maintenance tools is monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for approving, controlling, and monitoring maintenance tools.</li><li>Mechanisms supporting and/or implementing the approval, control, and/or monitoring of maintenance tools.</li></ul>","otherId":"ma-3_obj.a-3","defaultText":null,"uuid":"a5dede47-436b-46da-acdf-d16234e12619"},{"testId":"MA-03b.","test":"Assessment Objective: Determine if previously approved system maintenance tools are reviewed {{ insert: param, ma-03_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance tools.</li><li>System maintenance tools and associated documentation.</li><li>Maintenance records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for approving, controlling, and monitoring maintenance tools.</li><li>Mechanisms supporting and/or implementing the approval, control, and/or monitoring of maintenance tools.</li></ul>","otherId":"ma-3_obj.b","defaultText":null,"uuid":"cc82e487-06bd-4d1a-a709-72e83828a6f7"}],"weight":1,"title":"MA-03 - Maintenance Tools","enhancements":"<strong>Enhancements</strong><ul><li>MA-3(1) - Inspect Tools</li><li>MA-3(2) - Inspect Media</li><li>MA-3(3) - Prevent Unauthorized Removal</li></ul>","otherId":"ma-3","sortId":"ma-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-3"},{"objectives":[{"objectiveType":"","otherId":"ma-4_smt.a","name":"a.","description":"<ul><li>a. Approve and monitor nonlocal maintenance and diagnostic activities;</li></ul>","uuid":"7b16a6fb-b27d-4a45-856a-b1ef2d343a06"},{"objectiveType":"","otherId":"ma-4_smt.b","name":"b.","description":"<ul><li>b. Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;</li></ul>","uuid":"7d571462-f928-4483-a974-99970e987de1"},{"objectiveType":"","otherId":"ma-4_smt.c","name":"c.","description":"<ul><li>c. Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions;</li></ul>","uuid":"f392bb7f-1c63-4355-aafb-f2e6b1c5d5f9"},{"objectiveType":"","otherId":"ma-4_smt.d","name":"d.","description":"<ul><li>d. Maintain records for nonlocal maintenance and diagnostic activities; and</li></ul>","uuid":"c787a371-ca5d-4bc6-b577-938ccdf58ebe"},{"objectiveType":"","otherId":"ma-4_smt.e","name":"e.","description":"<ul><li>e. Terminate session and network connections when nonlocal maintenance is completed.</li></ul>","uuid":"8120b61b-9dc9-450a-87e4-97829010211d"}],"description":"<ul><li>a. Approve and monitor nonlocal maintenance and diagnostic activities;</li><li>b. Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;</li><li>c. Employ strong authentication in the establishment of nonlocal maintenance and diagnostic sessions;</li><li>d. Maintain records for nonlocal maintenance and diagnostic activities; and</li><li>e. Terminate session and network connections when nonlocal maintenance is completed.</li></ul><br/><strong>Guidance</strong><p>Nonlocal maintenance and diagnostic activities are conducted by individuals who communicate through either an external or internal network. Local maintenance and diagnostic activities are carried out by individuals who are physically present at the system location and not communicating across a network connection. Authentication techniques used to establish nonlocal maintenance and diagnostic sessions reflect the network access requirements in <a href=\"#ia-2\">IA-2</a> . Strong authentication requires authenticators that are resistant to replay attacks and employ multi-factor authentication. Strong authenticators include PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in <a href=\"#ma-4\">MA-4</a> is accomplished, in part, by other controls. <a href=\"#e59c5a7c-8b1f-49ca-8de0-6ee0882180ce\">SP 800-63B</a> provides additional guidance on strong authentication and authenticators.</p>","uuid":"badf67cc-c39b-4c34-b772-3bbd00b4ccf7","family":"Maintenance","parameters":[],"subControls":null,"tests":[{"testId":"MA-04a.[01]","test":"Assessment Objective: Determine if nonlocal maintenance and diagnostic activities are approved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.a-1","defaultText":null,"uuid":"6ef3fb90-a16a-49ec-81b9-8e8c23888177"},{"testId":"MA-04a.[02]","test":"Assessment Objective: Determine if nonlocal maintenance and diagnostic activities are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.a-2","defaultText":null,"uuid":"db5b12e1-374a-4247-8f5f-a013108a9dec"},{"testId":"MA-04b.[01]","test":"Assessment Objective: Determine if the use of nonlocal maintenance and diagnostic tools are allowed only as consistent with organizational policy;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.b-1","defaultText":null,"uuid":"b1aff7e1-ec0f-45c1-8424-21ed98a20021"},{"testId":"MA-04b.[02]","test":"Assessment Objective: Determine if the use of nonlocal maintenance and diagnostic tools are documented in the security plan for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.b-2","defaultText":null,"uuid":"54b33a1a-8e0d-4186-9d63-1204c2bf904e"},{"testId":"MA-04c.","test":"Assessment Objective: Determine if strong authentication is employed in the establishment of nonlocal maintenance and diagnostic sessions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.c","defaultText":null,"uuid":"fc530004-d5cd-47db-ac34-fbd7957746ae"},{"testId":"MA-04d.","test":"Assessment Objective: Determine if records for nonlocal maintenance and diagnostic activities are maintained;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.d","defaultText":null,"uuid":"882947e2-91f0-4167-94e3-e383670f2377"},{"testId":"MA-04e.[01]","test":"Assessment Objective: Determine if session connections are terminated when nonlocal maintenance is completed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.e-1","defaultText":null,"uuid":"7b098086-4a9c-4a8b-afd4-8ba73dbd1735"},{"testId":"MA-04e.[02]","test":"Assessment Objective: Determine if network connections are terminated when nonlocal maintenance is completed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing nonlocal system maintenance.</li><li>Remote access policy.</li><li>Remote access procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Maintenance records.</li><li>Records of remote access.</li><li>Diagnostic records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing nonlocal maintenance.</li><li>Mechanisms implementing, supporting, and/or managing nonlocal maintenance.</li><li>Mechanisms for strong authentication of nonlocal maintenance diagnostic sessions.</li><li>Mechanisms for terminating nonlocal maintenance sessions and network connections.</li></ul>","otherId":"ma-4_obj.e-2","defaultText":null,"uuid":"c0b3b36d-0b99-4cb5-b2dc-eb08c4b4cb41"}],"weight":1,"title":"MA-04 - Nonlocal Maintenance","enhancements":"","otherId":"ma-4","sortId":"ma-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-4"},{"objectives":[{"objectiveType":"","otherId":"ma-5.1_smt.a","name":"(a)","description":"<ul><li>(a) Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:</li><ul><li>(1) Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and</li><li>(2) Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and</li></ul>","uuid":"ee2a30b2-d0e5-4046-8a19-a4bf231492af"},{"objectiveType":"","otherId":"ma-5.1_smt.b","name":"(b)","description":"<ul><li>(b) Develop and implement {{ insert: param, MA-5(1)(b) }} in the event a system component cannot be sanitized, removed, or disconnected from the system.</li></ul>","uuid":"3d966f1e-e26b-4c35-adde-51c06aad9c83"}],"description":"<ul><li>(a) Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:</li><ul><li>(1) Maintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified; and</li><li>(2) Prior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and</li></ul><li>(b) Develop and implement {{ insert: param, MA-5(1)(b) }} in the event a system component cannot be sanitized, removed, or disconnected from the system.</li></ul><br/><strong>Guidance</strong><p>Procedures for individuals who lack appropriate security clearances or who are not U.S. citizens are intended to deny visual and electronic access to classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems.</p><br/><strong>MA-5 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> Only MA-5 (1) (a) (1) is required by FedRAMP Moderate Baseline</li></ul>","uuid":"8750683a-923c-4cdc-bdc8-5652637ade8d","family":"Maintenance","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"alternate controls to be developed and implemented in the event that a system component cannot be sanitized, removed, or disconnected from the system are defined;","uuid":"593dab6f-a9ca-4ea9-a34d-390a3ce2d856","otherId":"ma-05.01_odp","parameterId":"MA-5(1)(b)","text":"alternate controls","default":" [Assignment: organization-defined alternate controls] "}],"subControls":null,"tests":[{"testId":"MA-05(01)(a)(01)","test":"Assessment Objective: Determine if procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified escorting and supervising maintenance personnel without the needed access authorization during the performance of maintenance and diagnostic activities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing maintenance personnel.</li><li>System media protection policy.</li><li>Physical and environmental protection policy.</li><li>List of maintenance personnel requiring escort/supervision.</li><li>Maintenance records.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing maintenance personnel without appropriate access.</li><li>Mechanisms supporting and/or implementing alternative security safeguards.</li><li>Mechanisms supporting and/or implementing information storage component sanitization.</li></ul>","otherId":"ma-5.1_obj.a.1","defaultText":null,"uuid":"aefee37e-0963-4963-905e-edf206c2c553"},{"testId":"MA-05(01)(a)(02)","test":"Assessment Objective: Determine if procedures for the use of maintenance personnel who lack appropriate security clearances or are not U.S. citizens are implemented and include all volatile information storage components within the system being sanitized and all non-volatile storage media being removed or physically disconnected from the system and secured prior to initiating maintenance or diagnostic activities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing maintenance personnel.</li><li>System media protection policy.</li><li>Physical and environmental protection policy.</li><li>List of maintenance personnel requiring escort/supervision.</li><li>Maintenance records.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing maintenance personnel without appropriate access.</li><li>Mechanisms supporting and/or implementing alternative security safeguards.</li><li>Mechanisms supporting and/or implementing information storage component sanitization.</li></ul>","otherId":"ma-5.1_obj.a.2","defaultText":null,"uuid":"9bdd152b-1a2a-4d96-bf97-999761c45d95"},{"testId":"MA-05(01)(b)","test":"Assessment Objective: Determine if \n{{ insert: param, ma-05.01_odp }} are developed and implemented in the event that a system cannot be sanitized, removed, or disconnected from the system.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing maintenance personnel.</li><li>System media protection policy.</li><li>Physical and environmental protection policy.</li><li>List of maintenance personnel requiring escort/supervision.</li><li>Maintenance records.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for media sanitization.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing maintenance personnel without appropriate access.</li><li>Mechanisms supporting and/or implementing alternative security safeguards.</li><li>Mechanisms supporting and/or implementing information storage component sanitization.</li></ul>","otherId":"ma-5.1_obj.b","defaultText":null,"uuid":"06da640e-4c09-4e87-b49a-a61f13c51d5d"}],"weight":1,"title":"MA-05(01) - Individuals Without Appropriate Access","enhancements":null,"otherId":"ma-5.1","sortId":"ma-05.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-5(1)"},{"objectives":[{"objectiveType":"","otherId":"ma-5_smt.a","name":"a.","description":"<ul><li>a. Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;</li></ul>","uuid":"226d5add-be2f-492a-84d2-23fcfc898007"},{"objectiveType":"","otherId":"ma-5_smt.b","name":"b.","description":"<ul><li>b. Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and</li></ul>","uuid":"9f19a230-db1f-424c-9648-ac42031302e9"},{"objectiveType":"","otherId":"ma-5_smt.c","name":"c.","description":"<ul><li>c. Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.</li></ul>","uuid":"0f7bbebb-31bb-4183-b96b-ad2fd0aeb74b"}],"description":"<ul><li>a. Establish a process for maintenance personnel authorization and maintain a list of authorized maintenance organizations or personnel;</li><li>b. Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and</li><li>c. Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.</li></ul><br/><strong>Guidance</strong><p>Maintenance personnel refers to individuals who perform hardware or software maintenance on organizational systems, while <a href=\"#pe-2\">PE-2</a> addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the systems, while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel—such as information technology manufacturers, vendors, systems integrators, and consultants—may require privileged access to organizational systems, such as when they are required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.</p>","uuid":"10609f61-6270-4477-8311-5d3a4d8b7f1b","family":"Maintenance","parameters":[],"subControls":null,"tests":[{"testId":"MA-05a.[01]","test":"Assessment Objective: Determine if a process for maintenance personnel authorization is established;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing maintenance personnel.</li><li>Service provider contracts.</li><li>Service-level agreements.</li><li>List of authorized personnel.</li><li>Maintenance records.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for authorizing and managing maintenance personnel.</li><li>Mechanisms supporting and/or implementing authorization of maintenance personnel.</li></ul>","otherId":"ma-5_obj.a-1","defaultText":null,"uuid":"ed8d5e39-3b44-4aa2-8870-fd91d144eaae"},{"testId":"MA-05a.[02]","test":"Assessment Objective: Determine if a list of authorized maintenance organizations or personnel is maintained;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing maintenance personnel.</li><li>Service provider contracts.</li><li>Service-level agreements.</li><li>List of authorized personnel.</li><li>Maintenance records.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for authorizing and managing maintenance personnel.</li><li>Mechanisms supporting and/or implementing authorization of maintenance personnel.</li></ul>","otherId":"ma-5_obj.a-2","defaultText":null,"uuid":"7d83904d-e768-420a-81dd-453873bb4c21"},{"testId":"MA-05b.","test":"Assessment Objective: Determine if non-escorted personnel performing maintenance on the system possess the required access authorizations;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing maintenance personnel.</li><li>Service provider contracts.</li><li>Service-level agreements.</li><li>List of authorized personnel.</li><li>Maintenance records.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for authorizing and managing maintenance personnel.</li><li>Mechanisms supporting and/or implementing authorization of maintenance personnel.</li></ul>","otherId":"ma-5_obj.b","defaultText":null,"uuid":"da28a057-3cd7-4a2f-b3cd-1dc5b0347d75"},{"testId":"MA-05c.","test":"Assessment Objective: Determine if organizational personnel with required access authorizations and technical competence is/are designated to supervise the maintenance activities of personnel who do not possess the required access authorizations.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing maintenance personnel.</li><li>Service provider contracts.</li><li>Service-level agreements.</li><li>List of authorized personnel.</li><li>Maintenance records.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for authorizing and managing maintenance personnel.</li><li>Mechanisms supporting and/or implementing authorization of maintenance personnel.</li></ul>","otherId":"ma-5_obj.c","defaultText":null,"uuid":"597340da-67a4-4364-9bc0-652805403795"}],"weight":1,"title":"MA-05 - Maintenance Personnel","enhancements":"<strong>Enhancements</strong><ul><li>MA-5(1) - Individuals Without Appropriate Access</li></ul>","otherId":"ma-5","sortId":"ma-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-5"},{"objectives":[{"objectiveType":"","otherId":"ma-6_smt","name":"MA-6","description":"Obtain maintenance support and/or spare parts for {{ insert: param, MA-6-1 }} within {{ insert: param, MA-6-2 }} of failure.","uuid":"df09bb7a-9c8c-4a94-b042-1b5afe4d0f33"}],"description":"<p>Obtain maintenance support and/or spare parts for {{ insert: param, MA-6-1 }} within {{ insert: param, MA-6-2 }} of failure.</p><br/><strong>Guidance</strong><p>Organizations specify the system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support include having appropriate contracts in place.</p>","uuid":"3a2fe6d7-b8ec-4b13-8314-deb926a02e6e","family":"Maintenance","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system components for which maintenance support and/or spare parts are obtained are defined;","uuid":"ffbec97f-4d45-4c26-a84d-575a6cd50d0e","otherId":"ma-06_odp.01","parameterId":"MA-6-1","text":"system components","default":" [Assignment: organization-defined system components] "},{"constraints":"a timeframe to support advertised uptime and availability","displayName":"","dataType":"","guidance":"time period within which maintenance support and/or spare parts are to be obtained after a failure are defined;","uuid":"f1533195-1276-467b-a76e-b738434bc8bf","otherId":"ma-06_odp.02","parameterId":"MA-6-2","text":"time period","default":"[FedRAMP Assignment: a timeframe to support advertised uptime and availability]"}],"subControls":null,"tests":[{"testId":"MA-06","test":"Assessment Objective: Determine if maintenance support and/or spare parts are obtained for {{ insert: param, ma-06_odp.01 }} within {{ insert: param, ma-06_odp.02 }} of failure.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Maintenance policy.</li><li>Procedures addressing system maintenance.</li><li>Service provider contracts.</li><li>Service-level agreements.</li><li>Inventory and availability of spare parts.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system maintenance responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for ensuring timely maintenance.</li></ul>","otherId":"ma-6_obj","defaultText":null,"uuid":"06ddccc0-0ce2-421d-8654-4e8e62e4ae40"}],"weight":1,"title":"MA-06 - Timely Maintenance","enhancements":"","otherId":"ma-6","sortId":"ma-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MA-6"},{"objectives":[{"objectiveType":"","otherId":"mp-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, MP-1(a) }}:</li><ul><li>1. {{ insert: param, MP-1(a)(1) }} media protection policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;</li></ul>","uuid":"9b718402-dd97-4343-ab32-82ea39b7b08b"},{"objectiveType":"","otherId":"mp-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, MP-1(b) }} to manage the development, documentation, and dissemination of the media protection policy and procedures; and</li></ul>","uuid":"b21e6d1e-6f2a-48a9-b758-34ad6940c923"},{"objectiveType":"","otherId":"mp-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current media protection:</li><ul><li>1. Policy {{ insert: param, MP-1(c)(1)-1 }} and following {{ insert: param, MP-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, MP-1(c)(2)-1 }} and following {{ insert: param, MP-1(c)(2)-2 }}.</li></ul>","uuid":"1cb42bbd-f7c9-4095-a537-b90afffda76d"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, MP-1(a) }}:</li><ul><li>1. {{ insert: param, MP-1(a)(1) }} media protection policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;</li></ul><li>b. Designate an {{ insert: param, MP-1(b) }} to manage the development, documentation, and dissemination of the media protection policy and procedures; and</li><li>c. Review and update the current media protection:</li><ul><li>1. Policy {{ insert: param, MP-1(c)(1)-1 }} and following {{ insert: param, MP-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, MP-1(c)(2)-1 }} and following {{ insert: param, MP-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Media protection policy and procedures address the controls in the MP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of media protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to media protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"40a722af-ae9f-4bee-8775-9d2c29f517c0","family":"Media Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"89841461-04d1-4f2e-99da-106e1a9d15a7","otherId":"mp-1_prm_1","parameterId":"MP-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"1690dbf2-fbd8-4422-88d9-d32257fbd8ec","otherId":"mp-01_odp.03","parameterId":"MP-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the media protection policy and procedures is defined;","uuid":"2d726d77-f36e-4a10-a794-25968e683a4f","otherId":"mp-01_odp.04","parameterId":"MP-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency with which the current media protection policy is reviewed and updated is defined;","uuid":"78388cf1-dd23-40ab-a2fb-10da31309b81","otherId":"mp-01_odp.05","parameterId":"MP-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current media protection policy to be reviewed and updated are defined;","uuid":"c4c3ff6d-d4f7-44a8-9b1d-7e4eea37693e","otherId":"mp-01_odp.06","parameterId":"MP-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency with which the current media protection procedures are reviewed and updated is defined;","uuid":"d9700467-49f6-4f6a-9fcd-78c4ca073bad","otherId":"mp-01_odp.07","parameterId":"MP-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require media protection procedures to be reviewed and updated are defined;","uuid":"2dd9df81-d0c3-48af-bb3d-cf791bef3148","otherId":"mp-01_odp.08","parameterId":"MP-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"MP-01a.[01]","test":"Assessment Objective: Determine if a media protection policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a-1","defaultText":null,"uuid":"e2212392-e255-4864-aabb-af23d4686ba2"},{"testId":"MP-01a.[02]","test":"Assessment Objective: Determine if the media protection policy is disseminated to {{ insert: param, mp-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a-2","defaultText":null,"uuid":"df2377df-3303-4e0f-a191-dc485fa85f81"},{"testId":"MP-01a.[03]","test":"Assessment Objective: Determine if media protection procedures to facilitate the implementation of the media protection policy and associated media protection controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a-3","defaultText":null,"uuid":"302f717b-a5d7-4ec3-9a80-37c5257ad6ef"},{"testId":"MP-01a.[04]","test":"Assessment Objective: Determine if the media protection procedures are disseminated to {{ insert: param, mp-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a-4","defaultText":null,"uuid":"3ad97dbe-fa3b-40ed-8437-65ec59a4aad5"},{"testId":"MP-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.03 }} media protection policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.a-1","defaultText":null,"uuid":"3488ae46-2a26-4a9e-9a95-0daea3513b1b"},{"testId":"MP-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.03 }} media protection policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.a-2","defaultText":null,"uuid":"f487a831-5833-4b1b-b6dc-e1fccf70f777"},{"testId":"MP-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.03 }} media protection policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.a-3","defaultText":null,"uuid":"313ba7f4-6a98-4005-977d-1b85a8d451b4"},{"testId":"MP-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.03 }} media protection policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.a-4","defaultText":null,"uuid":"fe66542e-0ea4-4ab3-9497-bec1624e2e28"},{"testId":"MP-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.03 }} media protection policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.a-5","defaultText":null,"uuid":"9028fb4d-5895-4125-9ef5-60e03e2a2a3d"},{"testId":"MP-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.03 }} media protection policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.a-6","defaultText":null,"uuid":"5187dd7c-7538-4a1a-9116-b0a0c039d722"},{"testId":"MP-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.03 }} media protection policy compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.a-7","defaultText":null,"uuid":"e21dfe26-28fe-4813-8d02-dd17290974d7"},{"testId":"MP-01a.01(b)","test":"Assessment Objective: Determine if the media protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.a.1.b","defaultText":null,"uuid":"efb11cc0-602e-4eb7-b2cd-e1d48593a529"},{"testId":"MP-01b.","test":"Assessment Objective: Determine if the {{ insert: param, mp-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the media protection policy and procedures.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.b","defaultText":null,"uuid":"af508651-67e3-48f2-8dc1-b4a45e1475bf"},{"testId":"MP-01c.01[01]","test":"Assessment Objective: Determine if the current media protection policy is reviewed and updated {{ insert: param, mp-01_odp.05 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.c.1-1","defaultText":null,"uuid":"b84603d7-d8f3-4b72-963c-6db852486d9f"},{"testId":"MP-01c.01[02]","test":"Assessment Objective: Determine if the current media protection policy is reviewed and updated following {{ insert: param, mp-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.c.1-2","defaultText":null,"uuid":"b839521b-3da0-4577-b3b4-7525e80eff92"},{"testId":"MP-01c.02[01]","test":"Assessment Objective: Determine if the current media protection procedures are reviewed and updated {{ insert: param, mp-01_odp.07 }}; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.c.2-1","defaultText":null,"uuid":"1b869ce2-57e6-4ef1-bfd4-a589a827854e"},{"testId":"MP-01c.02[02]","test":"Assessment Objective: Determine if the current media protection procedures are reviewed and updated following {{ insert: param, mp-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Media protection policy and procedures.</li><li>Organizational risk management strategy.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"mp-1_obj.c.2-2","defaultText":null,"uuid":"030fdc24-84fd-43e4-a584-2a22d1d79073"}],"weight":1,"title":"MP-01 - Policy and Procedures","enhancements":"","otherId":"mp-1","sortId":"mp-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MP-1"},{"objectives":[{"objectiveType":"","otherId":"mp-2_smt","name":"MP-2","description":"Restrict access to {{ insert: param, MP-2-1 }} to {{ insert: param, MP-2-2 }}.","uuid":"5060a968-a288-45be-a51d-49e1c00fbd86"}],"description":"<p>Restrict access to {{ insert: param, MP-2-1 }} to {{ insert: param, MP-2-2 }}.</p><br/><strong>Guidance</strong><p>System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers is an example of restricting access to non-digital media. Limiting access to the design specifications stored on compact discs in the media library to individuals on the system development team is an example of restricting access to digital media.</p>","uuid":"eff167e5-bc5d-4e54-b3b2-b925d6a835fd","family":"Media Protection","parameters":[{"constraints":"all types of digital and/or non-digital media containing sensitive information","displayName":"","dataType":"","guidance":"","uuid":"9977f47a-9439-4931-ae83-1ae176146297","otherId":"mp-2_prm_1","parameterId":"MP-2-1","text":"organization-defined types of digital and/or non-digital media","default":"[FedRAMP Assignment: all types of digital and/or non-digital media containing sensitive information]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"57bf298d-ed90-4dde-b8f4-49fe2cb2b21e","otherId":"mp-2_prm_2","parameterId":"MP-2-2","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"MP-02[01]","test":"Assessment Objective: Determine if access to {{ insert: param, mp-02_odp.01 }} is restricted to {{ insert: param, mp-02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media access restrictions.</li><li>Access control policy and procedures.</li><li>Physical and environmental protection policy and procedures.</li><li>Media storage facilities.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for restricting information media.</li><li>Mechanisms supporting and/or implementing media access restrictions.</li></ul>","otherId":"mp-2_obj-1","defaultText":null,"uuid":"d7be62c3-aaf3-4ee1-928a-03abdb2dfc96"},{"testId":"MP-02[02]","test":"Assessment Objective: Determine if access to {{ insert: param, mp-02_odp.03 }} is restricted to {{ insert: param, mp-02_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media access restrictions.</li><li>Access control policy and procedures.</li><li>Physical and environmental protection policy and procedures.</li><li>Media storage facilities.</li><li>Access control records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for restricting information media.</li><li>Mechanisms supporting and/or implementing media access restrictions.</li></ul>","otherId":"mp-2_obj-2","defaultText":null,"uuid":"d40a6e08-f487-4bce-8ad4-bc8dce839085"}],"weight":1,"title":"MP-02 - Media Access","enhancements":"","otherId":"mp-2","sortId":"mp-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MP-2"},{"objectives":[{"objectiveType":"","otherId":"mp-3_smt.a","name":"a.","description":"<ul><li>a. Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and</li></ul>","uuid":"894f7f68-6c53-4db3-8eec-7f6159809df1"},{"objectiveType":"","otherId":"mp-3_smt.b","name":"b.","description":"<ul><li>b. Exempt {{ insert: param, MP-3(b)-1 }} from marking if the media remain within {{ insert: param, MP-3(b)-2 }}.</li></ul>","uuid":"1624fe6f-6eb3-48b9-8749-5e8c7fc0f4aa"}],"description":"<ul><li>a. Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and</li><li>b. Exempt {{ insert: param, MP-3(b)-1 }} from marking if the media remain within {{ insert: param, MP-3(b)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Security marking refers to the application or use of human-readable security attributes. Digital media includes diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), flash drives, compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Controlled unclassified information is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in <a href=\"#91f992fb-f668-4c91-a50f-0f05b95ccee3\">32 CFR 2002</a> . Security markings are generally not required for media that contains information determined by organizations to be in the public domain or to be publicly releasable. Some organizations may require markings for public information indicating that the information is publicly releasable. System media marking reflects applicable laws, executive orders, directives, policies, regulations, standards, and guidelines.</p><br/><strong>MP-3 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(b) Guidance:</b> Second parameter not-applicable</li></ul>","uuid":"a9c7c499-7db9-42c1-bbc7-fa815afefa81","family":"Media Protection","parameters":[{"constraints":"no removable media types","displayName":"","dataType":"","guidance":"types of system media exempt from marking when remaining in controlled areas are defined;","uuid":"87f46777-ef23-4ef1-8e72-080dc89cc55d","otherId":"mp-03_odp.01","parameterId":"MP-3(b)-1","text":"types of media exempted from marking","default":"[FedRAMP Assignment: no removable media types]"},{"constraints":"organization-defined security safeguards not applicable","displayName":"","dataType":"","guidance":"controlled areas where media is exempt from marking are defined;","uuid":"f693c659-7eea-4beb-a348-9d7610996a0b","otherId":"mp-03_odp.02","parameterId":"MP-3(b)-2","text":"controlled areas","default":"[FedRAMP Assignment: organization-defined security safeguards not applicable]"}],"subControls":null,"tests":[{"testId":"MP-03a.","test":"Assessment Objective: Determine if system media is marked to indicate distribution limitations, handling caveats, and applicable security markings (if any) of the information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media marking.</li><li>Physical and environmental protection policy and procedures.</li><li>List of system media marking security attributes.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and marking responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for marking information media.</li><li>Mechanisms supporting and/or implementing media marking.</li></ul>","otherId":"mp-3_obj.a","defaultText":null,"uuid":"3164c699-3400-4eb3-acc7-3d1a3b454a0e"},{"testId":"MP-03b.","test":"Assessment Objective: Determine if \n{{ insert: param, mp-03_odp.01 }} remain within {{ insert: param, mp-03_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media marking.</li><li>Physical and environmental protection policy and procedures.</li><li>List of system media marking security attributes.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and marking responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for marking information media.</li><li>Mechanisms supporting and/or implementing media marking.</li></ul>","otherId":"mp-3_obj.b","defaultText":null,"uuid":"f5f61222-ffea-4806-8037-ec2b61e8a5e5"}],"weight":1,"title":"MP-03 - Media Marking","enhancements":"","otherId":"mp-3","sortId":"mp-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MP-3"},{"objectives":[{"objectiveType":"","otherId":"mp-4_smt.a","name":"a.","description":"<ul><li>a. Physically control and securely store {{ insert: param, MP-4(a)-1 }} within {{ insert: param, MP-4(a)-2 }} ; and</li></ul>","uuid":"1e197d85-4124-422b-9158-f4f13452b3f3"},{"objectiveType":"","otherId":"mp-4_smt.b","name":"b.","description":"<ul><li>b. Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures.</li></ul>","uuid":"15f5acc1-c511-4474-9cbf-63c8db7b892e"}],"description":"<ul><li>a. Physically control and securely store {{ insert: param, MP-4(a)-1 }} within {{ insert: param, MP-4(a)-2 }} ; and</li><li>b. Protect system media types defined in MP-4a until the media are destroyed or sanitized using approved equipment, techniques, and procedures.</li></ul><br/><strong>Guidance</strong><p>System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state, magnetic), compact discs, and digital versatile discs. Non-digital media includes paper and microfilm. Physically controlling stored media includes conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the library, and maintaining accountability for stored media. Secure storage includes a locked drawer, desk, or cabinet or a controlled media library. The type of media storage is commensurate with the security category or classification of the information on the media. Controlled areas are spaces that provide physical and procedural controls to meet the requirements established for protecting information and systems. Fewer controls may be needed for media that contains information determined to be in the public domain, publicly releasable, or have limited adverse impacts on organizations, operations, or individuals if accessed by other than authorized personnel. In these situations, physical access controls provide adequate protection.</p><br/><strong>MP-4 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(a) Requirement:</b> The service provider defines controlled areas within facilities where the information and information system reside.</li></ul>","uuid":"6dec330f-50e6-410a-8141-ae68b1fac0a9","family":"Media Protection","parameters":[{"constraints":"all types of digital and non-digital media with sensitive information","displayName":"","dataType":"","guidance":"","uuid":"7f31d4f2-80b3-4495-8851-0c3f445a3326","otherId":"mp-4_prm_1","parameterId":"MP-4(a)-1","text":"organization-defined types of digital and/or non-digital media","default":"[FedRAMP Assignment: all types of digital and non-digital media with sensitive information]"},{"constraints":"see additional FedRAMP requirements and guidance","displayName":"","dataType":"","guidance":"","uuid":"700f1f41-fd13-4de1-ba24-a8f43e42a208","otherId":"mp-4_prm_2","parameterId":"MP-4(a)-2","text":"organization-defined controlled areas","default":"[FedRAMP Assignment: see additional FedRAMP requirements and guidance]"}],"subControls":null,"tests":[{"testId":"MP-04a.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-04_odp.01 }} are physically controlled;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing secure media storage/media protection.</li></ul>","otherId":"mp-4_obj.a-1","defaultText":null,"uuid":"4f22a529-6755-4bfb-b875-eba9086675e8"},{"testId":"MP-04a.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-04_odp.02 }} are physically controlled;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing secure media storage/media protection.</li></ul>","otherId":"mp-4_obj.a-2","defaultText":null,"uuid":"df82dd64-3e47-4e76-8f2a-e9f0e5602a7c"},{"testId":"MP-04a.[03]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-04_odp.03 }} are securely stored within {{ insert: param, mp-04_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing secure media storage/media protection.</li></ul>","otherId":"mp-4_obj.a-3","defaultText":null,"uuid":"667f0649-2e3b-49d9-b1a8-9c29f9fe55c8"},{"testId":"MP-04a.[04]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-04_odp.04 }} are securely stored within {{ insert: param, mp-04_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing secure media storage/media protection.</li></ul>","otherId":"mp-4_obj.a-4","defaultText":null,"uuid":"a55d0e87-cc9f-4f5a-ab43-4918089e4806"},{"testId":"MP-04b.","test":"Assessment Objective: Determine if system media types (defined in MP-04_ODP[01], MP-04_ODP[02], MP-04_ODP[03], MP-04_ODP[04]) are protected until the media are destroyed or sanitized using approved equipment, techniques, and procedures.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing secure media storage/media protection.</li></ul>","otherId":"mp-4_obj.b","defaultText":null,"uuid":"a6daa003-9562-4ec0-a47e-965a26d04143"}],"weight":1,"title":"MP-04 - Media Storage","enhancements":"","otherId":"mp-4","sortId":"mp-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MP-4"},{"objectives":[{"objectiveType":"","otherId":"mp-5_smt.a","name":"a.","description":"<ul><li>a. Protect and control {{ insert: param, MP-5(a)-1 }} during transport outside of controlled areas using {{ insert: param, MP-5(a)-2 }};</li></ul>","uuid":"ea37e06d-1a01-499e-a192-876ab1413463"},{"objectiveType":"","otherId":"mp-5_smt.b","name":"b.","description":"<ul><li>b. Maintain accountability for system media during transport outside of controlled areas;</li></ul>","uuid":"1f51bbc8-9796-4895-9912-2b45d1b509ac"},{"objectiveType":"","otherId":"mp-5_smt.c","name":"c.","description":"<ul><li>c. Document activities associated with the transport of system media; and</li></ul>","uuid":"44c29f92-34b0-4934-b1cb-e9bd19e8b9c7"},{"objectiveType":"","otherId":"mp-5_smt.d","name":"d.","description":"<ul><li>d. Restrict the activities associated with the transport of system media to authorized personnel.</li></ul>","uuid":"c62f22c3-d6bf-4b2e-8345-d7d629e01c3f"}],"description":"<ul><li>a. Protect and control {{ insert: param, MP-5(a)-1 }} during transport outside of controlled areas using {{ insert: param, MP-5(a)-2 }};</li><li>b. Maintain accountability for system media during transport outside of controlled areas;</li><li>c. Document activities associated with the transport of system media; and</li><li>d. Restrict the activities associated with the transport of system media to authorized personnel.</li></ul><br/><strong>Guidance</strong><p>System media includes digital and non-digital media. Digital media includes flash drives, diskettes, magnetic tapes, external or removable hard disk drives (e.g., solid state and magnetic), compact discs, and digital versatile discs. Non-digital media includes microfilm and paper. Controlled areas are spaces for which organizations provide physical or procedural controls to meet requirements established for protecting information and systems. Controls to protect media during transport include cryptography and locked containers. Cryptographic mechanisms can provide confidentiality and integrity protections depending on the mechanisms implemented. Activities associated with media transport include releasing media for transport, ensuring that media enters the appropriate transport processes, and the actual transport. Authorized transport and courier personnel may include individuals external to the organization. Maintaining accountability of media during transport includes restricting transport activities to authorized personnel and tracking and/or obtaining records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of system media in accordance with organizational assessments of risk. Organizations maintain the flexibility to define record-keeping methods for the different types of media transport as part of a system of transport-related records.</p><br/><strong>MP-5 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(a) Requirement:</b> The service provider defines security measures to protect digital and non-digital media in transport. The security measures are approved and accepted by the JAB/AO.</li></ul>","uuid":"8492ba7a-70f7-47a8-bef8-3690bb2c9e6d","family":"Media Protection","parameters":[{"constraints":"prior to leaving secure/controlled environment: for digital media, encryption in compliance with Federal requirements and utilizes FIPS validated or NSA approved cryptography (see SC-13.); for non-digital media, secured in locked container","displayName":"","dataType":"","guidance":"","uuid":"70899731-97bf-4676-9d5a-7cd59b8e62df","otherId":"mp-5_prm_2","parameterId":"MP-5(a)-2","text":"organization-defined controls","default":"[FedRAMP Assignment: prior to leaving secure/controlled environment: for digital media, encryption in compliance with Federal requirements and utilizes FIPS validated or NSA approved cryptography (see SC-13.); for non-digital media, secured in locked container]"},{"constraints":"all media with sensitive information","displayName":"","dataType":"","guidance":"types of system media to protect and control during transport outside of controlled areas are defined;","uuid":"ba741615-d08d-4928-8dfc-c5a4a557cf9f","otherId":"mp-05_odp.01","parameterId":"MP-5(a)-1","text":"types of system media","default":"[FedRAMP Assignment: all media with sensitive information]"}],"subControls":null,"tests":[{"testId":"MP-05a.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-05_odp.01 }} are protected during transport outside of controlled areas using {{ insert: param, mp-05_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>Authorized personnel list.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing media storage/media protection.</li></ul>","otherId":"mp-5_obj.a-1","defaultText":null,"uuid":"068db833-3838-491d-b14a-74e9b2818a54"},{"testId":"MP-05a.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-05_odp.01 }} are controlled during transport outside of controlled areas using {{ insert: param, mp-05_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>Authorized personnel list.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing media storage/media protection.</li></ul>","otherId":"mp-5_obj.a-2","defaultText":null,"uuid":"7352d5ec-a5a8-4945-b7cc-30fa33dbf6da"},{"testId":"MP-05b.","test":"Assessment Objective: Determine if accountability for system media is maintained during transport outside of controlled areas;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>Authorized personnel list.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing media storage/media protection.</li></ul>","otherId":"mp-5_obj.b","defaultText":null,"uuid":"f2aa8aed-9265-415d-8696-afece0a0387e"},{"testId":"MP-05c.","test":"Assessment Objective: Determine if activities associated with the transport of system media are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>Authorized personnel list.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing media storage/media protection.</li></ul>","otherId":"mp-5_obj.c","defaultText":null,"uuid":"dde1b36e-2ecd-4d3e-81a4-2f2ee7159885"},{"testId":"MP-05d.[01]","test":"Assessment Objective: Determine if personnel authorized to conduct media transport activities is/are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>Authorized personnel list.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing media storage/media protection.</li></ul>","otherId":"mp-5_obj.d-1","defaultText":null,"uuid":"c19f82da-b589-4459-ad5d-99949afbc31c"},{"testId":"MP-05d.[02]","test":"Assessment Objective: Determine if activities associated with the transport of system media are restricted to identified authorized personnel.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media storage.</li><li>Physical and environmental protection policy and procedures.</li><li>Access control policy and procedures.</li><li>Authorized personnel list.</li><li>System media.</li><li>Designated controlled areas.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media protection and storage responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for storing information media.</li><li>Mechanisms supporting and/or implementing media storage/media protection.</li></ul>","otherId":"mp-5_obj.d-2","defaultText":null,"uuid":"b33da55a-a2d4-4a51-bcf8-2b6dac8d0ee9"}],"weight":1,"title":"MP-05 - Media Transport","enhancements":"","otherId":"mp-5","sortId":"mp-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MP-5"},{"objectives":[{"objectiveType":"","otherId":"mp-6_smt.a","name":"a.","description":"<ul><li>a. Sanitize {{ insert: param, MP-6(a)-1 }} prior to disposal, release out of organizational control, or release for reuse using {{ insert: param, MP-6(a)-2 }} ; and</li></ul>","uuid":"ab989fbd-5fea-483b-8fdd-89a0c30429ad"},{"objectiveType":"","otherId":"mp-6_smt.b","name":"b.","description":"<ul><li>b. Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.</li></ul>","uuid":"b5405df3-4875-40c4-9f6b-8bbc8ac2dcf2"}],"description":"<ul><li>a. Sanitize {{ insert: param, MP-6(a)-1 }} prior to disposal, release out of organizational control, or release for reuse using {{ insert: param, MP-6(a)-2 }} ; and</li><li>b. Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.</li></ul><br/><strong>Guidance</strong><p>Media sanitization applies to all digital and non-digital system media subject to disposal or reuse, whether or not the media is considered removable. Examples include digital media in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices, and non-digital media (e.g., paper and microfilm). The sanitization process removes information from system media such that the information cannot be retrieved or reconstructed. Sanitization techniques—including clearing, purging, cryptographic erase, de-identification of personally identifiable information, and destruction—prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods, recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media that contains information deemed to be in the public domain or publicly releasable or information deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media that contains classified information. NARA policies control the sanitization process for controlled unclassified information.</p>","uuid":"30b2bc82-113c-4199-a10b-2764ce84e21a","family":"Media Protection","parameters":[{"constraints":"techniques and procedures IAW NIST SP 800-88 Section 4: Reuse and Disposal of Storage Media and Hardware","displayName":"","dataType":"","guidance":"","uuid":"729e36f7-8d29-40f8-be22-4094aae23cf6","otherId":"mp-6_prm_1","parameterId":"MP-6(a)-1","text":"organization-defined system media","default":"[FedRAMP Assignment: techniques and procedures IAW NIST SP 800-88 Section 4: Reuse and Disposal of Storage Media and Hardware]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"36777100-8f8c-46ac-a4c5-16557c93f686","otherId":"mp-6_prm_2","parameterId":"MP-6(a)-2","text":"organization-defined sanitization techniques and procedures","default":" [Assignment: organization-defined sanitization techniques and procedures] "}],"subControls":null,"tests":[{"testId":"MP-06a.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-06_odp.01 }} is sanitized using {{ insert: param, mp-06_odp.04 }} prior to disposal;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media sanitization and disposal.</li><li>Applicable federal standards and policies addressing media sanitization policy.</li><li>Media sanitization records.</li><li>System audit records.</li><li>System design documentation.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media sanitization responsibilities.</li><li>Organizational personnel with records retention and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for media sanitization.</li><li>Mechanisms supporting and/or implementing media sanitization.</li></ul>","otherId":"mp-6_obj.a-1","defaultText":null,"uuid":"69599cf6-f87c-4574-8dc7-d7d4767214d2"},{"testId":"MP-06a.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-06_odp.02 }} is sanitized using {{ insert: param, mp-06_odp.05 }} prior to release from organizational control;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media sanitization and disposal.</li><li>Applicable federal standards and policies addressing media sanitization policy.</li><li>Media sanitization records.</li><li>System audit records.</li><li>System design documentation.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media sanitization responsibilities.</li><li>Organizational personnel with records retention and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for media sanitization.</li><li>Mechanisms supporting and/or implementing media sanitization.</li></ul>","otherId":"mp-6_obj.a-2","defaultText":null,"uuid":"765ee037-6e01-4f2b-9e63-4f5e2ed6c4a0"},{"testId":"MP-06a.[03]","test":"Assessment Objective: Determine if \n{{ insert: param, mp-06_odp.03 }} is sanitized using {{ insert: param, mp-06_odp.06 }} prior to release for reuse;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media sanitization and disposal.</li><li>Applicable federal standards and policies addressing media sanitization policy.</li><li>Media sanitization records.</li><li>System audit records.</li><li>System design documentation.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media sanitization responsibilities.</li><li>Organizational personnel with records retention and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for media sanitization.</li><li>Mechanisms supporting and/or implementing media sanitization.</li></ul>","otherId":"mp-6_obj.a-3","defaultText":null,"uuid":"943c1f1f-4fc2-4f31-aa9c-ffe62caf733f"},{"testId":"MP-06b.","test":"Assessment Objective: Determine if sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information are employed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>Procedures addressing media sanitization and disposal.</li><li>Applicable federal standards and policies addressing media sanitization policy.</li><li>Media sanitization records.</li><li>System audit records.</li><li>System design documentation.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with media sanitization responsibilities.</li><li>Organizational personnel with records retention and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for media sanitization.</li><li>Mechanisms supporting and/or implementing media sanitization.</li></ul>","otherId":"mp-6_obj.b","defaultText":null,"uuid":"a3aa5a52-1472-43e0-939b-088cf3bf94b4"}],"weight":1,"title":"MP-06 - Media Sanitization","enhancements":"","otherId":"mp-6","sortId":"mp-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MP-6"},{"objectives":[{"objectiveType":"","otherId":"mp-7_smt.a","name":"a.","description":"<ul><li>a. {{ insert: param, MP-7(a)-1 }} the use of {{ insert: param, MP-7(a)-2 }} on {{ insert: param, MP-7(a)-3 }} using {{ insert: param, MP-7(a)-4 }} ; and</li></ul>","uuid":"9ac2f039-4d85-4e74-9491-135a71f31ddc"},{"objectiveType":"","otherId":"mp-7_smt.b","name":"b.","description":"<ul><li>b. Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.</li></ul>","uuid":"b874e544-20ee-4aef-bfaf-1b80b7210094"}],"description":"<ul><li>a. {{ insert: param, MP-7(a)-1 }} the use of {{ insert: param, MP-7(a)-2 }} on {{ insert: param, MP-7(a)-3 }} using {{ insert: param, MP-7(a)-4 }} ; and</li><li>b. Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.</li></ul><br/><strong>Guidance</strong><p>System media includes both digital and non-digital media. Digital media includes diskettes, magnetic tapes, flash drives, compact discs, digital versatile discs, and removable hard disk drives. Non-digital media includes paper and microfilm. Media use protections also apply to mobile devices with information storage capabilities. In contrast to <a href=\"#mp-2\">MP-2</a> , which restricts user access to media, MP-7 restricts the use of certain types of media on systems, for example, restricting or prohibiting the use of flash drives or external hard disk drives. Organizations use technical and nontechnical controls to restrict the use of system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports or disabling or removing the ability to insert, read, or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices, including devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, such as by prohibiting the use of writeable, portable storage devices and implementing this restriction by disabling or removing the capability to write to such devices. Requiring identifiable owners for storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices.</p>","uuid":"c4f62741-e5fd-4157-a4f3-8fc7745272ae","family":"Media Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"types of system media to be restricted or prohibited from use on systems or system components are defined;","uuid":"fcdf43cf-fd5a-4e6e-9a90-9c3e27942e79","otherId":"mp-07_odp.01","parameterId":"MP-7(a)-2","text":"types of system media","default":" [Assignment: organization-defined types of system media] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"769132ae-f6b7-4d5c-b6e2-2974497b88e9","otherId":"mp-07_odp.02","parameterId":"MP-7(a)-1","text":"[Selection: restrict; prohibit]","default":"[Selection: restrict; prohibit]"},{"constraints":"","displayName":"","dataType":"","guidance":"systems or system components on which the use of specific types of system media to be restricted or prohibited are defined;","uuid":"9e0df89f-8830-4c0a-a077-3b2647c11aba","otherId":"mp-07_odp.03","parameterId":"MP-7(a)-3","text":"systems or system components","default":" [Assignment: organization-defined systems or system components] "},{"constraints":"","displayName":"","dataType":"","guidance":"controls to restrict or prohibit the use of specific types of system media on systems or system components are defined;","uuid":"05c52175-df13-467f-89cd-4c85a1840d45","otherId":"mp-07_odp.04","parameterId":"MP-7(a)-4","text":"controls","default":" [Assignment: organization-defined controls] "}],"subControls":null,"tests":[{"testId":"MP-07a.","test":"Assessment Objective: Determine if the use of {{ insert: param, mp-07_odp.01 }} is {{ insert: param, mp-07_odp.02 }} on {{ insert: param, mp-07_odp.03 }} using {{ insert: param, mp-07_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>System use policy.</li><li>Procedures addressing media usage restrictions.</li><li>Rules of behavior.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media use responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for media use.</li><li>Mechanisms restricting or prohibiting the use of system media on systems or system components.</li></ul>","otherId":"mp-7_obj.a","defaultText":null,"uuid":"153ef205-0db8-4962-a24b-2abbbb12326c"},{"testId":"MP-07b.","test":"Assessment Objective: Determine if the use of portable storage devices in organizational systems is prohibited when such devices have no identifiable owner.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System media protection policy.</li><li>System use policy.</li><li>Procedures addressing media usage restrictions.</li><li>Rules of behavior.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system media use responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for media use.</li><li>Mechanisms restricting or prohibiting the use of system media on systems or system components.</li></ul>","otherId":"mp-7_obj.b","defaultText":null,"uuid":"c6f6cbc9-2c7d-490d-b1ae-c5a565758481"}],"weight":1,"title":"MP-07 - Media Use","enhancements":"","otherId":"mp-7","sortId":"mp-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"MP-7"},{"objectives":[{"objectiveType":"","otherId":"pe-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, PE-1(a) }}:</li><ul><li>1. {{ insert: param, PE-1(a)(1) }} physical and environmental protection policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;</li></ul>","uuid":"fc4c6e0d-2985-4510-b4c9-ccb9c6153405"},{"objectiveType":"","otherId":"pe-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, PE-1(b) }} to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and</li></ul>","uuid":"d3d1cd9f-42a2-4028-bbb3-326fe16c1997"},{"objectiveType":"","otherId":"pe-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current physical and environmental protection:</li><ul><li>1. Policy {{ insert: param, PE-1(c)(1)-1 }} and following {{ insert: param, PE-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, PE-1(c)(2)-1 }} and following {{ insert: param, PE-1(c)(2)-2 }}.</li></ul>","uuid":"06789081-db02-4343-a650-5f26281ad1da"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, PE-1(a) }}:</li><ul><li>1. {{ insert: param, PE-1(a)(1) }} physical and environmental protection policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;</li></ul><li>b. Designate an {{ insert: param, PE-1(b) }} to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures; and</li><li>c. Review and update the current physical and environmental protection:</li><ul><li>1. Policy {{ insert: param, PE-1(c)(1)-1 }} and following {{ insert: param, PE-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, PE-1(c)(2)-1 }} and following {{ insert: param, PE-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Physical and environmental protection policy and procedures address the controls in the PE family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of physical and environmental protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to physical and environmental protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"d42d2fe3-25a2-4181-b3b3-a3ebf87585aa","family":"Physical and Environmental Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"f4695fa4-456e-4a02-9eda-948152351de4","otherId":"pe-1_prm_1","parameterId":"PE-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"fc897935-d60f-4593-ac48-d1226aa4bc38","otherId":"pe-01_odp.03","parameterId":"PE-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the physical and environmental protection policy and procedures is defined;","uuid":"fce42e73-170d-4503-b011-febe55497780","otherId":"pe-01_odp.04","parameterId":"PE-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current physical and environmental protection policy is reviewed and updated is defined;","uuid":"e7d6e363-7603-413b-b719-56b7028bc2cd","otherId":"pe-01_odp.05","parameterId":"PE-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current physical and environmental protection policy to be reviewed and updated are defined;","uuid":"b0961fb9-a83b-4393-9fa1-9aad199b0032","otherId":"pe-01_odp.06","parameterId":"PE-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current physical and environmental protection procedures are reviewed and updated is defined;","uuid":"96e3fb67-6e4c-4348-8fb2-d2b2c8228028","otherId":"pe-01_odp.07","parameterId":"PE-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require the physical and environmental protection procedures to be reviewed and updated are defined;","uuid":"7792cf86-b3bd-483f-a245-52c11ab38fe4","otherId":"pe-01_odp.08","parameterId":"PE-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"PE-01a.[01]","test":"Assessment Objective: Determine if a physical and environmental protection policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a-1","defaultText":null,"uuid":"8ff8ae02-ddb9-49f6-a22f-80041cbcb9f6"},{"testId":"PE-01a.[02]","test":"Assessment Objective: Determine if the physical and environmental protection policy is disseminated to {{ insert: param, pe-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a-2","defaultText":null,"uuid":"d3e644ee-c307-4c4d-85cd-ee0f926a6ea5"},{"testId":"PE-01a.[03]","test":"Assessment Objective: Determine if physical and environmental protection procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a-3","defaultText":null,"uuid":"da401fed-54cf-4e5c-bdd1-ae6be03e29dd"},{"testId":"PE-01a.[04]","test":"Assessment Objective: Determine if the physical and environmental protection procedures are disseminated to {{ insert: param, pe-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a-4","defaultText":null,"uuid":"a52435ca-9bf4-4f32-a2b8-b6b1c3f5fb0e"},{"testId":"PE-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.a-1","defaultText":null,"uuid":"488e9b81-05ec-4d47-b88a-6750ef476930"},{"testId":"PE-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.a-2","defaultText":null,"uuid":"7b0388f2-b0cc-4dc2-a41f-dde3ad03c50f"},{"testId":"PE-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.a-3","defaultText":null,"uuid":"624fd01c-43ef-43d0-a30f-4353e836e163"},{"testId":"PE-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.a-4","defaultText":null,"uuid":"71562d9d-5cc5-4ee6-b6b0-a9aac90fea1e"},{"testId":"PE-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.a-5","defaultText":null,"uuid":"36c174a9-f476-43c2-a073-dadcec54e8bb"},{"testId":"PE-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.a-6","defaultText":null,"uuid":"4c5618a1-e16e-4618-95b4-c5518be965f6"},{"testId":"PE-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.a-7","defaultText":null,"uuid":"9d70690f-e2b5-4727-a06e-91457b70a5a1"},{"testId":"PE-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.03 }} physical and environmental protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.a.1.b","defaultText":null,"uuid":"ef4cdf3d-6387-4d90-b673-a4bbef15e4b0"},{"testId":"PE-01b.","test":"Assessment Objective: Determine if the {{ insert: param, pe-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the physical and environmental protection policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.b","defaultText":null,"uuid":"1ad08aed-a5ff-4c18-a27c-17c181207a05"},{"testId":"PE-01c.01[01]","test":"Assessment Objective: Determine if the current physical and environmental protection policy is reviewed and updated {{ insert: param, pe-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.c.1-1","defaultText":null,"uuid":"877ad824-2cd2-4299-9cf9-0cb3367fbc67"},{"testId":"PE-01c.01[02]","test":"Assessment Objective: Determine if the current physical and environmental protection policy is reviewed and updated following {{ insert: param, pe-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.c.1-2","defaultText":null,"uuid":"91007e05-9351-4e0f-9eb4-7421b17ea941"},{"testId":"PE-01c.02[01]","test":"Assessment Objective: Determine if the current physical and environmental protection procedures are reviewed and updated {{ insert: param, pe-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.c.2-1","defaultText":null,"uuid":"8622b034-bdd1-4bb2-b0f6-94cbb5d0290a"},{"testId":"PE-01c.02[02]","test":"Assessment Objective: Determine if the current physical and environmental protection procedures are reviewed and updated following {{ insert: param, pe-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Organizational risk management strategy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical and environmental protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pe-1_obj.c.2-2","defaultText":null,"uuid":"7278e903-464b-4964-ab3d-9290e8c1b382"}],"weight":1,"title":"PE-01 - Policy and Procedures","enhancements":"","otherId":"pe-1","sortId":"pe-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-1"},{"objectives":[{"objectiveType":"","otherId":"pe-2_smt.a","name":"a.","description":"<ul><li>a. Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;</li></ul>","uuid":"78baedb8-ae21-4346-978b-c127b6053f2d"},{"objectiveType":"","otherId":"pe-2_smt.b","name":"b.","description":"<ul><li>b. Issue authorization credentials for facility access;</li></ul>","uuid":"ed173484-3e2e-4f7a-92ea-7602bd731161"},{"objectiveType":"","otherId":"pe-2_smt.c","name":"c.","description":"<ul><li>c. Review the access list detailing authorized facility access by individuals {{ insert: param, PE-2(c) }} ; and</li></ul>","uuid":"d41b78f3-5bc2-42a6-881e-678866021544"},{"objectiveType":"","otherId":"pe-2_smt.d","name":"d.","description":"<ul><li>d. Remove individuals from the facility access list when access is no longer required.</li></ul>","uuid":"4c8ea3c7-80d9-44aa-a660-d0f3db76c7c7"}],"description":"<ul><li>a. Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;</li><li>b. Issue authorization credentials for facility access;</li><li>c. Review the access list detailing authorized facility access by individuals {{ insert: param, PE-2(c) }} ; and</li><li>d. Remove individuals from the facility access list when access is no longer required.</li></ul><br/><strong>Guidance</strong><p>Physical access authorizations apply to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Authorization credentials include ID badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Physical access authorizations may not be necessary to access certain areas within facilities that are designated as publicly accessible.</p>","uuid":"5370b319-b3c1-4b88-81bf-9274711f3652","family":"Physical and Environmental Protection","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to review the access list detailing authorized facility access by individuals is defined;","uuid":"4fb7628c-e6ba-4f72-b2d8-7294b5e9ffe7","otherId":"pe-02_odp","parameterId":"PE-2(c)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"PE-02a.[01]","test":"Assessment Objective: Determine if a list of individuals with authorized access to the facility where the system resides has been developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access authorizations.</li><li>Authorized personnel access list.</li><li>Authorization credentials.</li><li>Physical access list reviews.</li><li>Physical access termination records and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access authorization responsibilities.</li><li>Organizational personnel with physical access to system facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access authorizations.</li><li>Mechanisms supporting and/or implementing physical access authorizations.</li></ul>","otherId":"pe-2_obj.a-1","defaultText":null,"uuid":"d5f56a82-145b-4abe-a4fd-0c1bfa970f33"},{"testId":"PE-02a.[02]","test":"Assessment Objective: Determine if the list of individuals with authorized access to the facility where the system resides has been approved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access authorizations.</li><li>Authorized personnel access list.</li><li>Authorization credentials.</li><li>Physical access list reviews.</li><li>Physical access termination records and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access authorization responsibilities.</li><li>Organizational personnel with physical access to system facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access authorizations.</li><li>Mechanisms supporting and/or implementing physical access authorizations.</li></ul>","otherId":"pe-2_obj.a-2","defaultText":null,"uuid":"8774885f-06bc-49a5-be90-e4cddda53af7"},{"testId":"PE-02a.[03]","test":"Assessment Objective: Determine if the list of individuals with authorized access to the facility where the system resides has been maintained;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access authorizations.</li><li>Authorized personnel access list.</li><li>Authorization credentials.</li><li>Physical access list reviews.</li><li>Physical access termination records and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access authorization responsibilities.</li><li>Organizational personnel with physical access to system facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access authorizations.</li><li>Mechanisms supporting and/or implementing physical access authorizations.</li></ul>","otherId":"pe-2_obj.a-3","defaultText":null,"uuid":"8166a033-db7a-41f6-bd26-713438e0ab07"},{"testId":"PE-02b.","test":"Assessment Objective: Determine if authorization credentials are issued for facility access;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access authorizations.</li><li>Authorized personnel access list.</li><li>Authorization credentials.</li><li>Physical access list reviews.</li><li>Physical access termination records and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access authorization responsibilities.</li><li>Organizational personnel with physical access to system facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access authorizations.</li><li>Mechanisms supporting and/or implementing physical access authorizations.</li></ul>","otherId":"pe-2_obj.b","defaultText":null,"uuid":"b7a15f26-1628-47ea-8d5d-45c72d5ce3a4"},{"testId":"PE-02c.","test":"Assessment Objective: Determine if the access list detailing authorized facility access by individuals is reviewed {{ insert: param, pe-02_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access authorizations.</li><li>Authorized personnel access list.</li><li>Authorization credentials.</li><li>Physical access list reviews.</li><li>Physical access termination records and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access authorization responsibilities.</li><li>Organizational personnel with physical access to system facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access authorizations.</li><li>Mechanisms supporting and/or implementing physical access authorizations.</li></ul>","otherId":"pe-2_obj.c","defaultText":null,"uuid":"5ff8aaff-2a7a-46a9-ace1-3cb7a8aebf9e"},{"testId":"PE-02d.","test":"Assessment Objective: Determine if individuals are removed from the facility access list when access is no longer required.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access authorizations.</li><li>Authorized personnel access list.</li><li>Authorization credentials.</li><li>Physical access list reviews.</li><li>Physical access termination records and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access authorization responsibilities.</li><li>Organizational personnel with physical access to system facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access authorizations.</li><li>Mechanisms supporting and/or implementing physical access authorizations.</li></ul>","otherId":"pe-2_obj.d","defaultText":null,"uuid":"a8f86b29-5a18-4624-9de3-3f3a7e2aba22"}],"weight":1,"title":"PE-02 - Physical Access Authorizations","enhancements":"","otherId":"pe-2","sortId":"pe-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-2"},{"objectives":[{"objectiveType":"","otherId":"pe-3_smt.a","name":"a.","description":"<ul><li>a. Enforce physical access authorizations at {{ insert: param, PE-3(a) }} by:</li><ul><li>1. Verifying individual access authorizations before granting access to the facility; and</li><li>2. Controlling ingress and egress to the facility using {{ insert: param, PE-3(a)(2) }};</li></ul>","uuid":"ce9f9909-5593-41b1-ab04-335c06bb7bb6"},{"objectiveType":"","otherId":"pe-3_smt.b","name":"b.","description":"<ul><li>b. Maintain physical access audit logs for {{ insert: param, PE-3(b) }};</li></ul>","uuid":"17f31e10-1163-425f-8881-5c2507fac4fe"},{"objectiveType":"","otherId":"pe-3_smt.c","name":"c.","description":"<ul><li>c. Control access to areas within the facility designated as publicly accessible by implementing the following controls: {{ insert: param, PE-3(c) }};</li></ul>","uuid":"617e4086-4b67-48ec-9a42-8da3bb6255df"},{"objectiveType":"","otherId":"pe-3_smt.d","name":"d.","description":"<ul><li>d. Escort visitors and control visitor activity {{ insert: param, PE-3(d) }};</li></ul>","uuid":"7becaab3-7ef6-441a-8753-dfce3af3144e"},{"objectiveType":"","otherId":"pe-3_smt.e","name":"e.","description":"<ul><li>e. Secure keys, combinations, and other physical access devices;</li></ul>","uuid":"eefc5001-d8b9-435e-a68d-31ccdcd419aa"},{"objectiveType":"","otherId":"pe-3_smt.f","name":"f.","description":"<ul><li>f. Inventory {{ insert: param, PE-3(f)-1 }} every {{ insert: param, PE-3(f)-2 }} ; and</li></ul>","uuid":"dd55d8e9-0c82-45f8-9bf6-3faf92c0ee48"},{"objectiveType":"","otherId":"pe-3_smt.g","name":"g.","description":"<ul><li>g. Change combinations and keys {{ insert: param, PE-3(g) }} and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated.</li></ul>","uuid":"4776fa00-9233-4048-ac7b-ee9564d110b2"}],"description":"<ul><li>a. Enforce physical access authorizations at {{ insert: param, PE-3(a) }} by:</li><ul><li>1. Verifying individual access authorizations before granting access to the facility; and</li><li>2. Controlling ingress and egress to the facility using {{ insert: param, PE-3(a)(2) }};</li></ul><li>b. Maintain physical access audit logs for {{ insert: param, PE-3(b) }};</li><li>c. Control access to areas within the facility designated as publicly accessible by implementing the following controls: {{ insert: param, PE-3(c) }};</li><li>d. Escort visitors and control visitor activity {{ insert: param, PE-3(d) }};</li><li>e. Secure keys, combinations, and other physical access devices;</li><li>f. Inventory {{ insert: param, PE-3(f)-1 }} every {{ insert: param, PE-3(f)-2 }} ; and</li><li>g. Change combinations and keys {{ insert: param, PE-3(g) }} and/or when keys are lost, combinations are compromised, or when individuals possessing the keys or combinations are transferred or terminated.</li></ul><br/><strong>Guidance</strong><p>Physical access control applies to employees and visitors. Individuals with permanent physical access authorizations are not considered visitors. Physical access controls for publicly accessible areas may include physical access control logs/records, guards, or physical access devices and barriers to prevent movement from publicly accessible areas to non-public areas. Organizations determine the types of guards needed, including professional security staff, system users, or administrative staff. Physical access devices include keys, locks, combinations, biometric readers, and card readers. Physical access control systems comply with applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems that require supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations controlling access to the components.</p>","uuid":"5adc787c-f56b-4635-83f1-e1af40d9a565","family":"Physical and Environmental Protection","parameters":[{"constraints":"at least annually or earlier as required by a security relevant event.","displayName":"","dataType":"","guidance":"","uuid":"f19d68f5-fc23-4643-8d18-22ed5cde69ce","otherId":"pe-3_prm_9","parameterId":"PE-3(g)","text":"organization-defined frequency","default":"[FedRAMP Assignment: at least annually or earlier as required by a security relevant event.]"},{"constraints":"","displayName":"","dataType":"","guidance":"entry and exit points to the facility in which the system resides are defined;","uuid":"c34e87b6-59d5-415c-9614-9893e5d03e37","otherId":"pe-03_odp.01","parameterId":"PE-3(a)","text":"entry and exit points","default":" [Assignment: organization-defined entry and exit points] "},{"constraints":"CSP defined physical access control systems/devices AND guards","displayName":"","dataType":"","guidance":"","uuid":"12fe8198-3590-4ffc-990c-f7ecd40ee01b","otherId":"pe-03_odp.02","parameterId":"PE-3(a)(2)","text":"[Selection (one or more): [(NESTED PARAMETER) Assignment for pe-03_odp.03: systems or devices]; guards]","default":"[FedRAMP Assignment: CSP defined physical access control systems/devices AND guards]"},{"constraints":"","displayName":"","dataType":"","guidance":"entry or exit points for which physical access logs are maintained are defined;","uuid":"72b5f55c-320c-4e42-81f6-ba1a86dd21bf","otherId":"pe-03_odp.04","parameterId":"PE-3(b)","text":"entry or exit points","default":" [Assignment: organization-defined entry or exit points] "},{"constraints":"","displayName":"","dataType":"","guidance":"physical access controls to control access to areas within the facility designated as publicly accessible are defined;","uuid":"d99d5c87-e435-4445-b723-3b74fb7cfd08","otherId":"pe-03_odp.05","parameterId":"PE-3(c)","text":"physical access controls","default":" [Assignment: organization-defined physical access controls] "},{"constraints":"in all circumstances within restricted access area where the information system resides","displayName":"","dataType":"","guidance":"circumstances requiring visitor escorts and control of visitor activity are defined;","uuid":"5dedb049-4280-4708-ae80-285f291ed083","otherId":"pe-03_odp.06","parameterId":"PE-3(d)","text":"circumstances","default":"[FedRAMP Assignment: in all circumstances within restricted access area where the information system resides]"},{"constraints":"","displayName":"","dataType":"","guidance":"physical access devices to be inventoried are defined;","uuid":"4691464a-1cb1-475e-b037-f0f1cf45f85a","otherId":"pe-03_odp.07","parameterId":"PE-3(f)-1","text":"physical access devices","default":" [Assignment: organization-defined physical access devices] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency at which to inventory physical access devices is defined;","uuid":"c90de2b6-a286-4b9b-b032-8939e44eb3a2","otherId":"pe-03_odp.08","parameterId":"PE-3(f)-2","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"PE-03a.01","test":"Assessment Objective: Determine if physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by verifying individual access authorizations before granting access to the facility;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.a.1","defaultText":null,"uuid":"a6d7d68d-8e06-4fc7-8b00-b80c281329a3"},{"testId":"PE-03a.02","test":"Assessment Objective: Determine if physical access authorizations are enforced at {{ insert: param, pe-03_odp.01 }} by controlling ingress and egress to the facility using {{ insert: param, pe-03_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.a.2","defaultText":null,"uuid":"fbe090a6-823d-497e-9666-692414096c9a"},{"testId":"PE-03b.","test":"Assessment Objective: Determine if physical access audit logs are maintained for {{ insert: param, pe-03_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.b","defaultText":null,"uuid":"94cedf5b-a548-43ea-a6d0-d2595ea42b19"},{"testId":"PE-03c.","test":"Assessment Objective: Determine if access to areas within the facility designated as publicly accessible are maintained by implementing {{ insert: param, pe-03_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.c","defaultText":null,"uuid":"53ce142a-9276-450f-b252-339c45d8d62c"},{"testId":"PE-03d.[01]","test":"Assessment Objective: Determine if visitors are escorted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.d-1","defaultText":null,"uuid":"728300fd-25a0-4adb-bc4b-1913b5870e38"},{"testId":"PE-03d.[02]","test":"Assessment Objective: Determine if visitor activity is controlled {{ insert: param, pe-03_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.d-2","defaultText":null,"uuid":"c2bf82cc-c5da-4176-8f69-897ec721e24c"},{"testId":"PE-03e.[01]","test":"Assessment Objective: Determine if keys are secured;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.e-1","defaultText":null,"uuid":"9963bd5d-4fe0-4de4-852a-7314ffb7bd97"},{"testId":"PE-03e.[02]","test":"Assessment Objective: Determine if combinations are secured;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.e-2","defaultText":null,"uuid":"f3e04377-fd0b-4a24-afff-e65a2043f6cf"},{"testId":"PE-03e.[03]","test":"Assessment Objective: Determine if other physical access devices are secured;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.e-3","defaultText":null,"uuid":"96f75b71-4125-4116-b3eb-0ef2ba9f35e1"},{"testId":"PE-03f.","test":"Assessment Objective: Determine if \n{{ insert: param, pe-03_odp.07 }} are inventoried {{ insert: param, pe-03_odp.08 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.f","defaultText":null,"uuid":"97e298b0-7c1e-4e03-84f0-d08399428af1"},{"testId":"PE-03g.[01]","test":"Assessment Objective: Determine if combinations are changed {{ insert: param, pe-03_odp.09 }} , when combinations are compromised, or when individuals possessing the combinations are transferred or terminated;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.g-1","defaultText":null,"uuid":"2a72b330-b807-4e8b-b715-043697d91ed3"},{"testId":"PE-03g.[02]","test":"Assessment Objective: Determine if keys are changed {{ insert: param, pe-03_odp.10 }} , when keys are lost, or when individuals possessing the keys are transferred or terminated.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access control.</li><li>Physical access control logs or records.</li><li>Inventory records of physical access control devices.</li><li>System entry and exit points.</li><li>Records of key and lock combination changes.</li><li>Storage locations for physical access control devices.</li><li>Physical access control devices.</li><li>List of security safeguards controlling access to designated publicly accessible areas within facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for physical access control.</li><li>Mechanisms supporting and/or implementing physical access control.</li><li>Physical access control devices.</li></ul>","otherId":"pe-3_obj.g-2","defaultText":null,"uuid":"cb32b191-075a-429a-94a2-95d7b2ad7c71"}],"weight":1,"title":"PE-03 - Physical Access Control","enhancements":"","otherId":"pe-3","sortId":"pe-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-3"},{"objectives":[{"objectiveType":"","otherId":"pe-4_smt","name":"PE-4","description":"Control physical access to {{ insert: param, PE-4-1 }} within organizational facilities using {{ insert: param, PE-4-2 }}.","uuid":"55a2c3cb-2c1c-4039-8e5b-28c18a056f1c"}],"description":"<p>Control physical access to {{ insert: param, PE-4-1 }} within organizational facilities using {{ insert: param, PE-4-2 }}.</p><br/><strong>Guidance</strong><p>Security controls applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such controls may also be necessary to prevent eavesdropping or modification of unencrypted transmissions. Security controls used to control physical access to system distribution and transmission lines include disconnected or locked spare jacks, locked wiring closets, protection of cabling by conduit or cable trays, and wiretapping sensors.</p>","uuid":"a428d24f-67d4-4d5f-a120-2a650e0aa214","family":"Physical and Environmental Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system distribution and transmission lines requiring physical access controls are defined;","uuid":"7d45ea27-e4ed-473b-9126-c63edcaeb0ef","otherId":"pe-04_odp.01","parameterId":"PE-4-1","text":"system distribution and transmission lines","default":" [Assignment: organization-defined system distribution and transmission lines] "},{"constraints":"","displayName":"","dataType":"","guidance":"security controls to be implemented to control physical access to system distribution and transmission lines within the organizational facility are defined;","uuid":"5e3ba60d-d943-4a8f-bd72-902e48a3fe74","otherId":"pe-04_odp.02","parameterId":"PE-4-2","text":"security controls","default":" [Assignment: organization-defined security controls] "}],"subControls":null,"tests":[{"testId":"PE-04","test":"Assessment Objective: Determine if physical access to {{ insert: param, pe-04_odp.01 }} within organizational facilities is controlled using {{ insert: param, pe-04_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing access control for transmission mediums.</li><li>System design documentation.</li><li>Facility communications and wiring diagrams.</li><li>List of physical security safeguards applied to system distribution and transmission lines.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for access control to distribution and transmission lines.</li><li>Mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines.</li></ul>","otherId":"pe-4_obj","defaultText":null,"uuid":"03b41a58-a3c2-4c3d-acdb-7e1bed5c93a1"}],"weight":1,"title":"PE-04 - Access Control for Transmission","enhancements":"","otherId":"pe-4","sortId":"pe-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-4"},{"objectives":[{"objectiveType":"","otherId":"pe-5_smt","name":"PE-5","description":"Control physical access to output from {{ insert: param, PE-5 }} to prevent unauthorized individuals from obtaining the output.","uuid":"b1d7a7c7-c87f-4084-b729-34bf74cd4c27"}],"description":"<p>Control physical access to output from {{ insert: param, PE-5 }} to prevent unauthorized individuals from obtaining the output.</p><br/><strong>Guidance</strong><p>Controlling physical access to output devices includes placing output devices in locked rooms or other secured areas with keypad or card reader access controls and allowing access to authorized individuals only, placing output devices in locations that can be monitored by personnel, installing monitor or screen filters, and using headphones. Examples of output devices include monitors, printers, scanners, audio devices, facsimile machines, and copiers.</p>","uuid":"b8cc6e8a-33bd-43a5-a466-6dc39e0dc900","family":"Physical and Environmental Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"output devices that require physical access control to output are defined;","uuid":"f420733d-9d59-492a-8ef5-9b7a1ac0b75f","otherId":"pe-05_odp","parameterId":"PE-5","text":"output devices","default":" [Assignment: organization-defined output devices] "}],"subControls":null,"tests":[{"testId":"PE-05","test":"Assessment Objective: Determine if physical access to output from {{ insert: param, pe-05_odp }} is controlled to prevent unauthorized individuals from obtaining the output.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing access control for display medium.</li><li>Facility layout of system components.</li><li>Actual displays from system components.</li><li>List of output devices and associated outputs requiring physical access controls.</li><li>Physical access control logs or records for areas containing output devices and related outputs.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access control responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for access control to output devices.</li><li>Mechanisms supporting and/or implementing access control to output devices.</li></ul>","otherId":"pe-5_obj","defaultText":null,"uuid":"f7bf7244-af1b-489f-8847-dd931121db96"}],"weight":1,"title":"PE-05 - Access Control for Output Devices","enhancements":"","otherId":"pe-5","sortId":"pe-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-5"},{"objectives":[{"objectiveType":"","otherId":"pe-6.1_smt","name":"PE-6(1)","description":"Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.","uuid":"3c412759-abb5-4211-951d-5056a8de5d2d"}],"description":"<p>Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.</p><br/><strong>Guidance</strong><p>Physical intrusion alarms can be employed to alert security personnel when unauthorized access to the facility is attempted. Alarm systems work in conjunction with physical barriers, physical access control systems, and security guards by triggering a response when these other forms of security have been compromised or breached. Physical intrusion alarms can include different types of sensor devices, such as motion sensors, contact sensors, and broken glass sensors. Surveillance equipment includes video cameras installed at strategic locations throughout the facility.</p>","uuid":"554b0d27-f92c-4252-88bf-f129cd92485b","family":"Physical and Environmental Protection","parameters":[],"subControls":null,"tests":[{"testId":"PE-06(01)[01]","test":"Assessment Objective: Determine if physical access to the facility where the system resides is monitored using physical intrusion alarms;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access monitoring.</li><li>Physical access logs or records.</li><li>Physical access monitoring records.</li><li>Physical access log reviews.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access monitoring responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring physical intrusion alarms and surveillance equipment.</li><li>Mechanisms supporting and/or implementing physical access monitoring.</li><li>Mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment.</li></ul>","otherId":"pe-6.1_obj-1","defaultText":null,"uuid":"b6113345-23d3-4e27-8f76-0266e63949ce"},{"testId":"PE-06(01)[02]","test":"Assessment Objective: Determine if physical access to the facility where the system resides is monitored using physical surveillance equipment.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access monitoring.</li><li>Physical access logs or records.</li><li>Physical access monitoring records.</li><li>Physical access log reviews.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access monitoring responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring physical intrusion alarms and surveillance equipment.</li><li>Mechanisms supporting and/or implementing physical access monitoring.</li><li>Mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment.</li></ul>","otherId":"pe-6.1_obj-2","defaultText":null,"uuid":"292f9214-2d3d-4fb6-a4df-01219afd9b8f"}],"weight":1,"title":"PE-06(01) - Intrusion Alarms and Surveillance Equipment","enhancements":null,"otherId":"pe-6.1","sortId":"pe-06.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-6(1)"},{"objectives":[{"objectiveType":"","otherId":"pe-6_smt.a","name":"a.","description":"<ul><li>a. Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;</li></ul>","uuid":"b46141e5-d489-4733-9800-9c1d77ed528d"},{"objectiveType":"","otherId":"pe-6_smt.b","name":"b.","description":"<ul><li>b. Review physical access logs {{ insert: param, PE-6(b)-1 }} and upon occurrence of {{ insert: param, PE-6(b)-2 }} ; and</li></ul>","uuid":"e325491d-cdde-473f-9fea-06175225424e"},{"objectiveType":"","otherId":"pe-6_smt.c","name":"c.","description":"<ul><li>c. Coordinate results of reviews and investigations with the organizational incident response capability.</li></ul>","uuid":"6c463ea8-ad12-4a87-b63e-232c83382228"}],"description":"<ul><li>a. Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;</li><li>b. Review physical access logs {{ insert: param, PE-6(b)-1 }} and upon occurrence of {{ insert: param, PE-6(b)-2 }} ; and</li><li>c. Coordinate results of reviews and investigations with the organizational incident response capability.</li></ul><br/><strong>Guidance</strong><p>Physical access monitoring includes publicly accessible areas within organizational facilities. Examples of physical access monitoring include the employment of guards, video surveillance equipment (i.e., cameras), and sensor devices. Reviewing physical access logs can help identify suspicious activity, anomalous events, or potential threats. The reviews can be supported by audit logging controls, such as <a href=\"#au-2\">AU-2</a> , if the access logs are part of an automated system. Organizational incident response capabilities include investigations of physical security incidents and responses to the incidents. Incidents include security violations or suspicious physical access activities. Suspicious physical access activities include accesses outside of normal work hours, repeated accesses to areas not normally accessed, accesses for unusual lengths of time, and out-of-sequence accesses.</p>","uuid":"44a8a9bd-4f2f-4412-bc9f-9d507838f382","family":"Physical and Environmental Protection","parameters":[{"constraints":"at least monthly","displayName":"","dataType":"","guidance":"the frequency at which to review physical access logs is defined;","uuid":"3e89d5f2-1dbf-4dbf-b37d-850454c60198","otherId":"pe-06_odp.01","parameterId":"PE-6(b)-1","text":"frequency","default":"[FedRAMP Assignment: at least monthly]"},{"constraints":"","displayName":"","dataType":"","guidance":"events or potential indication of events requiring physical access logs to be reviewed are defined;","uuid":"9708e0a3-5725-4fb0-851e-e2505075462d","otherId":"pe-06_odp.02","parameterId":"PE-6(b)-2","text":"events","default":" [Assignment: organization-defined events] "}],"subControls":null,"tests":[{"testId":"PE-06a.","test":"Assessment Objective: Determine if physical access to the facility where the system resides is monitored to detect and respond to physical security incidents;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access monitoring.</li><li>Physical access logs or records.</li><li>Physical access monitoring records.</li><li>Physical access log reviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access monitoring responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring physical access.</li><li>Mechanisms supporting and/or implementing physical access monitoring.</li><li>Mechanisms supporting and/or implementing the review of physical access logs.</li></ul>","otherId":"pe-6_obj.a","defaultText":null,"uuid":"b767c2cc-b5ea-42e5-bcf7-9da42854bc27"},{"testId":"PE-06b.[01]","test":"Assessment Objective: Determine if physical access logs are reviewed {{ insert: param, pe-06_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access monitoring.</li><li>Physical access logs or records.</li><li>Physical access monitoring records.</li><li>Physical access log reviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access monitoring responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring physical access.</li><li>Mechanisms supporting and/or implementing physical access monitoring.</li><li>Mechanisms supporting and/or implementing the review of physical access logs.</li></ul>","otherId":"pe-6_obj.b-1","defaultText":null,"uuid":"4e5ee2c5-9134-4587-a6c3-fd40f1c75cc8"},{"testId":"PE-06b.[02]","test":"Assessment Objective: Determine if physical access logs are reviewed upon occurrence of {{ insert: param, pe-06_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access monitoring.</li><li>Physical access logs or records.</li><li>Physical access monitoring records.</li><li>Physical access log reviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access monitoring responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring physical access.</li><li>Mechanisms supporting and/or implementing physical access monitoring.</li><li>Mechanisms supporting and/or implementing the review of physical access logs.</li></ul>","otherId":"pe-6_obj.b-2","defaultText":null,"uuid":"ad98662d-8a39-4c47-bfb9-852b066c546e"},{"testId":"PE-06c.[01]","test":"Assessment Objective: Determine if results of reviews are coordinated with organizational incident response capabilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access monitoring.</li><li>Physical access logs or records.</li><li>Physical access monitoring records.</li><li>Physical access log reviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access monitoring responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring physical access.</li><li>Mechanisms supporting and/or implementing physical access monitoring.</li><li>Mechanisms supporting and/or implementing the review of physical access logs.</li></ul>","otherId":"pe-6_obj.c-1","defaultText":null,"uuid":"cbe784ae-ef73-4704-b9bb-db9d907b0c0b"},{"testId":"PE-06c.[02]","test":"Assessment Objective: Determine if results of investigations are coordinated with organizational incident response capabilities.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing physical access monitoring.</li><li>Physical access logs or records.</li><li>Physical access monitoring records.</li><li>Physical access log reviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with physical access monitoring responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring physical access.</li><li>Mechanisms supporting and/or implementing physical access monitoring.</li><li>Mechanisms supporting and/or implementing the review of physical access logs.</li></ul>","otherId":"pe-6_obj.c-2","defaultText":null,"uuid":"351a6752-4436-40e7-81ac-5be2a761543b"}],"weight":1,"title":"PE-06 - Monitoring Physical Access","enhancements":"<strong>Enhancements</strong><ul><li>PE-6(1) - Intrusion Alarms and Surveillance Equipment</li></ul>","otherId":"pe-6","sortId":"pe-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-6"},{"objectives":[{"objectiveType":"","otherId":"pe-8_smt.a","name":"a.","description":"<ul><li>a. Maintain visitor access records to the facility where the system resides for {{ insert: param, PE-8(a) }};</li></ul>","uuid":"c9c69a46-b03a-4492-aed6-9b4333df616e"},{"objectiveType":"","otherId":"pe-8_smt.b","name":"b.","description":"<ul><li>b. Review visitor access records {{ insert: param, PE-8(b) }} ; and</li></ul>","uuid":"984634a3-8569-46db-ad93-5844e9b5f04f"},{"objectiveType":"","otherId":"pe-8_smt.c","name":"c.","description":"<ul><li>c. Report anomalies in visitor access records to {{ insert: param, PE-8(c) }}.</li></ul>","uuid":"c0dcfe8e-f352-4016-bbd4-ae3f443f1559"}],"description":"<ul><li>a. Maintain visitor access records to the facility where the system resides for {{ insert: param, PE-8(a) }};</li><li>b. Review visitor access records {{ insert: param, PE-8(b) }} ; and</li><li>c. Report anomalies in visitor access records to {{ insert: param, PE-8(c) }}.</li></ul><br/><strong>Guidance</strong><p>Visitor access records include the names and organizations of individuals visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purpose of visits, and the names and organizations of individuals visited. Access record reviews determine if access authorizations are current and are still required to support organizational mission and business functions. Access records are not required for publicly accessible areas.</p>","uuid":"2cd7acc3-0909-48fb-a7cc-ed5ca6b01ff8","family":"Physical and Environmental Protection","parameters":[{"constraints":"for a minimum of one (1) year","displayName":"","dataType":"","guidance":"time period for which to maintain visitor access records for the facility where the system resides is defined;","uuid":"4a1b2cb4-0b7a-4710-a0a5-8afa098bac48","otherId":"pe-08_odp.01","parameterId":"PE-8(a)","text":"time period","default":"[FedRAMP Assignment: for a minimum of one (1) year]"},{"constraints":"at least monthly","displayName":"","dataType":"","guidance":"the frequency at which to review visitor access records is defined;","uuid":"4251015a-2477-43da-a716-36d513b3b8f9","otherId":"pe-08_odp.02","parameterId":"PE-8(b)","text":"frequency","default":"[FedRAMP Assignment: at least monthly]"},{"constraints":"","displayName":"","dataType":"","guidance":"personnel to whom visitor access records anomalies are reported to is/are defined;","uuid":"63d15306-0aa7-427a-a723-ef065a45965b","otherId":"pe-08_odp.03","parameterId":"PE-8(c)","text":"personnel","default":" [Assignment: organization-defined personnel] "}],"subControls":null,"tests":[{"testId":"PE-08a.","test":"Assessment Objective: Determine if visitor access records for the facility where the system resides are maintained for {{ insert: param, pe-08_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing visitor access records.</li><li>Visitor access control logs or records.</li><li>Visitor access record or log reviews.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with visitor access record responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for maintaining and reviewing visitor access records.</li><li>Mechanisms supporting and/or implementing the maintenance and review of visitor access records.</li></ul>","otherId":"pe-8_obj.a","defaultText":null,"uuid":"ece3fad2-4ea4-4dc7-b113-1102258a3b63"},{"testId":"PE-08b.","test":"Assessment Objective: Determine if visitor access records are reviewed {{ insert: param, pe-08_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing visitor access records.</li><li>Visitor access control logs or records.</li><li>Visitor access record or log reviews.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with visitor access record responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for maintaining and reviewing visitor access records.</li><li>Mechanisms supporting and/or implementing the maintenance and review of visitor access records.</li></ul>","otherId":"pe-8_obj.b","defaultText":null,"uuid":"1d9be9a1-3914-460b-8d40-274ecc9e122b"},{"testId":"PE-08c.","test":"Assessment Objective: Determine if visitor access records anomalies are reported to {{ insert: param, pe-08_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing visitor access records.</li><li>Visitor access control logs or records.</li><li>Visitor access record or log reviews.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with visitor access record responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for maintaining and reviewing visitor access records.</li><li>Mechanisms supporting and/or implementing the maintenance and review of visitor access records.</li></ul>","otherId":"pe-8_obj.c","defaultText":null,"uuid":"077d9cf8-aa45-4aa8-a2e1-4005be4c712a"}],"weight":1,"title":"PE-08 - Visitor Access Records","enhancements":"","otherId":"pe-8","sortId":"pe-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-8"},{"objectives":[{"objectiveType":"","otherId":"pe-9_smt","name":"PE-9","description":"Protect power equipment and power cabling for the system from damage and destruction.","uuid":"6e445885-45c9-4811-aa2c-2d8d5a0bfdb3"}],"description":"<p>Protect power equipment and power cabling for the system from damage and destruction.</p><br/><strong>Guidance</strong><p>Organizations determine the types of protection necessary for the power equipment and cabling employed at different locations that are both internal and external to organizational facilities and environments of operation. Types of power equipment and cabling include internal cabling and uninterruptable power sources in offices or data centers, generators and power cabling outside of buildings, and power sources for self-contained components such as satellites, vehicles, and other deployable systems.</p>","uuid":"689c6f41-ed0e-49c1-9082-ccea295ff863","family":"Physical and Environmental Protection","parameters":[],"subControls":null,"tests":[{"testId":"PE-09[01]","test":"Assessment Objective: Determine if power equipment for the system is protected from damage and destruction;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing power equipment/cabling protection.</li><li>Facilities housing power equipment/cabling.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility to protect power equipment/cabling.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the protection of power equipment/cabling.</li></ul>","otherId":"pe-9_obj-1","defaultText":null,"uuid":"086a9b6e-9812-4afa-93c1-9e3daeebd3d5"},{"testId":"PE-09[02]","test":"Assessment Objective: Determine if power cabling for the system is protected from damage and destruction.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing power equipment/cabling protection.</li><li>Facilities housing power equipment/cabling.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility to protect power equipment/cabling.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the protection of power equipment/cabling.</li></ul>","otherId":"pe-9_obj-2","defaultText":null,"uuid":"a6060f34-ef45-4252-9eac-7626fa27c2a0"}],"weight":1,"title":"PE-09 - Power Equipment and Cabling","enhancements":"","otherId":"pe-9","sortId":"pe-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-9"},{"objectives":[{"objectiveType":"","otherId":"pe-10_smt.a","name":"a.","description":"<ul><li>a. Provide the capability of shutting off power to {{ insert: param, PE-10(a) }} in emergency situations;</li></ul>","uuid":"f207e15e-bdb9-4cd4-8579-3708d5c7e6be"},{"objectiveType":"","otherId":"pe-10_smt.b","name":"b.","description":"<ul><li>b. Place emergency shutoff switches or devices in {{ insert: param, PE-10(b) }} to facilitate access for authorized personnel; and</li></ul>","uuid":"915cef0d-95a1-42ea-8b48-8d91b3dfb1df"},{"objectiveType":"","otherId":"pe-10_smt.c","name":"c.","description":"<ul><li>c. Protect emergency power shutoff capability from unauthorized activation.</li></ul>","uuid":"7c36503a-a4ca-4df1-8109-1f494784a4e1"}],"description":"<ul><li>a. Provide the capability of shutting off power to {{ insert: param, PE-10(a) }} in emergency situations;</li><li>b. Place emergency shutoff switches or devices in {{ insert: param, PE-10(b) }} to facilitate access for authorized personnel; and</li><li>c. Protect emergency power shutoff capability from unauthorized activation.</li></ul><br/><strong>Guidance</strong><p>Emergency power shutoff primarily applies to organizational facilities that contain concentrations of system resources, including data centers, mainframe computer rooms, server rooms, and areas with computer-controlled machinery.</p>","uuid":"2146310c-287f-43b4-92e8-53da9b95f43a","family":"Physical and Environmental Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system or individual system components that require the capability to shut off power in emergency situations is/are defined;","uuid":"894804b9-16a5-4ebe-82e6-b4b6b975d32e","otherId":"pe-10_odp.01","parameterId":"PE-10(a)","text":"system or individual system components","default":" [Assignment: organization-defined system or individual system components] "},{"constraints":"near more than one egress point of the IT area and ensures it is labeled and protected by a cover to prevent accidental shut-off","displayName":"","dataType":"","guidance":"location of emergency shutoff switches or devices by system or system component is defined;","uuid":"dbe73677-2f50-45b8-a23c-2df17e77ac56","otherId":"pe-10_odp.02","parameterId":"PE-10(b)","text":"location","default":"[FedRAMP Assignment: near more than one egress point of the IT area and ensures it is labeled and protected by a cover to prevent accidental shut-off]"}],"subControls":null,"tests":[{"testId":"PE-10a.","test":"Assessment Objective: Determine if the capability to shut off power to {{ insert: param, pe-10_odp.01 }} in emergency situations is provided;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing power source emergency shutoff.</li><li>Emergency shutoff controls or switches.</li><li>Locations housing emergency shutoff switches and devices.</li><li>Security safeguards protecting the emergency power shutoff capability from unauthorized activation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability).</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing emergency power shutoff.</li></ul>","otherId":"pe-10_obj.a","defaultText":null,"uuid":"ad9f6da4-35b9-44f9-8d32-b4d38676deb6"},{"testId":"PE-10b.","test":"Assessment Objective: Determine if emergency shutoff switches or devices are placed in {{ insert: param, pe-10_odp.02 }} to facilitate access for authorized personnel;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing power source emergency shutoff.</li><li>Emergency shutoff controls or switches.</li><li>Locations housing emergency shutoff switches and devices.</li><li>Security safeguards protecting the emergency power shutoff capability from unauthorized activation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability).</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing emergency power shutoff.</li></ul>","otherId":"pe-10_obj.b","defaultText":null,"uuid":"e376e5f4-3b58-4f10-bd1f-1de2342a6a3e"},{"testId":"PE-10c.","test":"Assessment Objective: Determine if the emergency power shutoff capability is protected from unauthorized activation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing power source emergency shutoff.</li><li>Emergency shutoff controls or switches.</li><li>Locations housing emergency shutoff switches and devices.</li><li>Security safeguards protecting the emergency power shutoff capability from unauthorized activation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for the emergency power shutoff capability (both implementing and using the capability).</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing emergency power shutoff.</li></ul>","otherId":"pe-10_obj.c","defaultText":null,"uuid":"bc28feeb-f5b3-4239-bffb-4cfd22505e56"}],"weight":1,"title":"PE-10 - Emergency Shutoff","enhancements":"","otherId":"pe-10","sortId":"pe-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-10"},{"objectives":[{"objectiveType":"","otherId":"pe-11_smt","name":"PE-11","description":"Provide an uninterruptible power supply to facilitate {{ insert: param, PE-11 }} in the event of a primary power source loss.","uuid":"d76d7d9e-5e66-4a40-a9d2-bceb5901d21d"}],"description":"<p>Provide an uninterruptible power supply to facilitate {{ insert: param, PE-11 }} in the event of a primary power source loss.</p><br/><strong>Guidance</strong><p>An uninterruptible power supply (UPS) is an electrical system or mechanism that provides emergency power when there is a failure of the main power source. A UPS is typically used to protect computers, data centers, telecommunication equipment, or other electrical equipment where an unexpected power disruption could cause injuries, fatalities, serious mission or business disruption, or loss of data or information. A UPS differs from an emergency power system or backup generator in that the UPS provides near-instantaneous protection from unanticipated power interruptions from the main power source by providing energy stored in batteries, supercapacitors, or flywheels. The battery duration of a UPS is relatively short but provides sufficient time to start a standby power source, such as a backup generator, or properly shut down the system.</p>","uuid":"bcd37085-ab22-4378-bfff-7d742e41e1fe","family":"Physical and Environmental Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"f0c4b919-219b-4d48-8685-88f41f8fd2dd","otherId":"pe-11_odp","parameterId":"PE-11","text":"[Selection: an orderly shutdown of the system; transition of the system to long-term alternate power]","default":"[Selection: an orderly shutdown of the system; transition of the system to long-term alternate power]"}],"subControls":null,"tests":[{"testId":"PE-11","test":"Assessment Objective: Determine if an uninterruptible power supply is provided to facilitate {{ insert: param, pe-11_odp }} in the event of a primary power source loss.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing emergency power.</li><li>Uninterruptible power supply.</li><li>Uninterruptible power supply documentation.</li><li>Uninterruptible power supply test records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for emergency power and/or planning.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing an uninterruptible power supply.</li><li>The uninterruptable power supply.</li></ul>","otherId":"pe-11_obj","defaultText":null,"uuid":"9be2ee89-25cc-4261-a54c-577971b1fb23"}],"weight":1,"title":"PE-11 - Emergency Power","enhancements":"","otherId":"pe-11","sortId":"pe-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-11"},{"objectives":[{"objectiveType":"","otherId":"pe-12_smt","name":"PE-12","description":"Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.","uuid":"82054b3e-051a-478a-8439-0591c01dedce"}],"description":"<p>Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.</p><br/><strong>Guidance</strong><p>The provision of emergency lighting applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Emergency lighting provisions for the system are described in the contingency plan for the organization. If emergency lighting for the system fails or cannot be provided, organizations consider alternate processing sites for power-related contingencies.</p>","uuid":"05d3291e-22d0-468d-94b9-2b5f1487d509","family":"Physical and Environmental Protection","parameters":[],"subControls":null,"tests":[{"testId":"PE-12[01]","test":"Assessment Objective: Determine if automatic emergency lighting that activates in the event of a power outage or disruption is employed for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing emergency lighting.</li><li>Emergency lighting documentation.</li><li>Emergency lighting test records.</li><li>Emergency exits and evacuation routes.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for emergency lighting and/or planning.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing an emergency lighting capability.</li></ul>","otherId":"pe-12_obj-1","defaultText":null,"uuid":"0dbe2572-c440-4daf-a074-501c1765183a"},{"testId":"PE-12[02]","test":"Assessment Objective: Determine if automatic emergency lighting that activates in the event of a power outage or disruption is maintained for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing emergency lighting.</li><li>Emergency lighting documentation.</li><li>Emergency lighting test records.</li><li>Emergency exits and evacuation routes.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for emergency lighting and/or planning.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing an emergency lighting capability.</li></ul>","otherId":"pe-12_obj-2","defaultText":null,"uuid":"29505843-9f8c-4007-9065-4513c1fa7cc0"},{"testId":"PE-12[03]","test":"Assessment Objective: Determine if automatic emergency lighting for the system covers emergency exits within the facility;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing emergency lighting.</li><li>Emergency lighting documentation.</li><li>Emergency lighting test records.</li><li>Emergency exits and evacuation routes.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for emergency lighting and/or planning.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing an emergency lighting capability.</li></ul>","otherId":"pe-12_obj-3","defaultText":null,"uuid":"03a0924c-2654-4f45-9dca-6949c92cdbad"},{"testId":"PE-12[04]","test":"Assessment Objective: Determine if automatic emergency lighting for the system covers evacuation routes within the facility.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing emergency lighting.</li><li>Emergency lighting documentation.</li><li>Emergency lighting test records.</li><li>Emergency exits and evacuation routes.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with the responsibility for emergency lighting and/or planning.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing an emergency lighting capability.</li></ul>","otherId":"pe-12_obj-4","defaultText":null,"uuid":"18ab03e4-00e3-4f86-8221-08a3b25304f6"}],"weight":1,"title":"PE-12 - Emergency Lighting","enhancements":"","otherId":"pe-12","sortId":"pe-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-12"},{"objectives":[{"objectiveType":"","otherId":"pe-13.1_smt","name":"PE-13(1)","description":"Employ fire detection systems that activate automatically and notify {{ insert: param, PE-13(1)-1 }} and {{ insert: param, PE-13(1)-2 }} in the event of a fire.","uuid":"2c1c73a6-60e6-4071-93ae-9c824c0975a6"}],"description":"<p>Employ fire detection systems that activate automatically and notify {{ insert: param, PE-13(1)-1 }} and {{ insert: param, PE-13(1)-2 }} in the event of a fire.</p><br/><strong>Guidance</strong><p>Organizations can identify personnel, roles, and emergency responders if individuals on the notification list need to have access authorizations or clearances (e.g., to enter to facilities where access is restricted due to the classification or impact level of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire.</p>","uuid":"40c7df80-a4a2-4e9f-8a85-85981bdbefef","family":"Physical and Environmental Protection","parameters":[{"constraints":"service provider building maintenance/physical security personnel","displayName":"","dataType":"","guidance":"personnel or roles to be notified in the event of a fire is/are defined;","uuid":"35c4d625-75da-429d-8570-4434c55494b4","otherId":"pe-13.01_odp.01","parameterId":"PE-13(1)-1","text":"personnel or roles","default":"[FedRAMP Assignment: service provider building maintenance/physical security personnel]"},{"constraints":"service provider emergency responders with incident response responsibilities","displayName":"","dataType":"","guidance":"emergency responders to be notified in the event of a fire are defined;","uuid":"74e4696a-41e9-4c26-b585-96a1de211a43","otherId":"pe-13.01_odp.02","parameterId":"PE-13(1)-2","text":"emergency responders","default":"[FedRAMP Assignment: service provider emergency responders with incident response responsibilities]"}],"subControls":null,"tests":[{"testId":"PE-13(01)[01]","test":"Assessment Objective: Determine if fire detection systems that activate automatically are employed in the event of a fire;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Facility housing the information system.</li><li>Alarm service-level agreements.</li><li>Test records of fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Alerts/notifications of fire events.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire detection devices/systems.</li><li>Activation of fire detection devices/systems (simulated).</li><li>Automated notifications.</li></ul>","otherId":"pe-13.1_obj-1","defaultText":null,"uuid":"6ce23b00-68be-4730-8a47-aee323d1ffb1"},{"testId":"PE-13(01)[02]","test":"Assessment Objective: Determine if fire detection systems that notify {{ insert: param, pe-13.01_odp.01 }} automatically are employed in the event of a fire;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Facility housing the information system.</li><li>Alarm service-level agreements.</li><li>Test records of fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Alerts/notifications of fire events.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire detection devices/systems.</li><li>Activation of fire detection devices/systems (simulated).</li><li>Automated notifications.</li></ul>","otherId":"pe-13.1_obj-2","defaultText":null,"uuid":"8b0d53af-a11c-405a-9159-f9ccdf5d49b0"},{"testId":"PE-13(01)[03]","test":"Assessment Objective: Determine if fire detection systems that notify {{ insert: param, pe-13.01_odp.02 }} automatically are employed in the event of a fire.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Facility housing the information system.</li><li>Alarm service-level agreements.</li><li>Test records of fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Alerts/notifications of fire events.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire detection devices/systems.</li><li>Activation of fire detection devices/systems (simulated).</li><li>Automated notifications.</li></ul>","otherId":"pe-13.1_obj-3","defaultText":null,"uuid":"113d98c4-3909-48d0-aea0-91ca3ff67992"}],"weight":1,"title":"PE-13(01) - Detection Systems — Automatic Activation and Notification","enhancements":null,"otherId":"pe-13.1","sortId":"pe-13.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-13(1)"},{"objectives":[{"objectiveType":"","otherId":"pe-13.2_smt.a","name":"(a)","description":"<ul><li>(a) Employ fire suppression systems that activate automatically and notify {{ insert: param, PE-13(2)(a)-1 }} and {{ insert: param, PE-13(2)(a)-2 }} ; and</li></ul>","uuid":"3da5bd5a-446d-4144-91ad-13bf446d08bd"},{"objectiveType":"","otherId":"pe-13.2_smt.b","name":"(b)","description":"<ul><li>(b) Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis.</li></ul>","uuid":"28974810-c763-4ec3-a54a-2a35bf5577af"}],"description":"<ul><li>(a) Employ fire suppression systems that activate automatically and notify {{ insert: param, PE-13(2)(a)-1 }} and {{ insert: param, PE-13(2)(a)-2 }} ; and</li><li>(b) Employ an automatic fire suppression capability when the facility is not staffed on a continuous basis.</li></ul><br/><strong>Guidance</strong><p>Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances (e.g., to enter to facilities where access is restricted due to the impact level or classification of information within the facility). Notification mechanisms may require independent energy sources to ensure that the notification capability is not adversely affected by the fire.</p>","uuid":"87013d8c-9c43-4a99-a711-8b8081313fb1","family":"Physical and Environmental Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to be notified in the event of a fire is/are defined;","uuid":"196a8943-8825-4544-9f7c-13411e6ca723","otherId":"pe-13.02_odp.01","parameterId":"PE-13(2)(a)-1","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"emergency responders to be notified in the event of a fire are defined;","uuid":"4487db70-084d-424d-8879-7d54a31d2067","otherId":"pe-13.02_odp.02","parameterId":"PE-13(2)(a)-2","text":"emergency responders","default":" [Assignment: organization-defined emergency responders] "}],"subControls":null,"tests":[{"testId":"PE-13(02)(a)[01]","test":"Assessment Objective: Determine if fire suppression systems that activate automatically are employed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Facility housing the system.</li><li>Alarm service-level agreements.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms supporting and/or implementing fire suppression devices/systems.</li><li>Activation of fire suppression devices/systems (simulated).</li><li>Automated notifications.</li></ul>","otherId":"pe-13.2_obj.a-1","defaultText":null,"uuid":"c88f1180-0343-45e9-996d-8d4ebbeb889f"},{"testId":"PE-13(02)(a)[02]","test":"Assessment Objective: Determine if fire suppression systems that notify {{ insert: param, pe-13.02_odp.01 }} automatically are employed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Facility housing the system.</li><li>Alarm service-level agreements.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms supporting and/or implementing fire suppression devices/systems.</li><li>Activation of fire suppression devices/systems (simulated).</li><li>Automated notifications.</li></ul>","otherId":"pe-13.2_obj.a-2","defaultText":null,"uuid":"8b04f219-9afb-417d-afa6-fa23bf39e1c1"},{"testId":"PE-13(02)(a)[03]","test":"Assessment Objective: Determine if fire suppression systems that notify {{ insert: param, pe-13.02_odp.02 }} automatically are employed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Facility housing the system.</li><li>Alarm service-level agreements.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms supporting and/or implementing fire suppression devices/systems.</li><li>Activation of fire suppression devices/systems (simulated).</li><li>Automated notifications.</li></ul>","otherId":"pe-13.2_obj.a-3","defaultText":null,"uuid":"f214d5f3-5ba2-4ec5-be93-e04e69d30ed2"},{"testId":"PE-13(02)(b)","test":"Assessment Objective: Determine if an automatic fire suppression capability is employed when the facility is not staffed on a continuous basis.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Facility housing the system.</li><li>Alarm service-level agreements.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms supporting and/or implementing fire suppression devices/systems.</li><li>Activation of fire suppression devices/systems (simulated).</li><li>Automated notifications.</li></ul>","otherId":"pe-13.2_obj.b","defaultText":null,"uuid":"d1b26941-88c1-4bc0-8116-26bf78394c75"}],"weight":1,"title":"PE-13(02) - Suppression Systems — Automatic Activation and Notification","enhancements":null,"otherId":"pe-13.2","sortId":"pe-13.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-13(2)"},{"objectives":[{"objectiveType":"","otherId":"pe-13_smt","name":"PE-13","description":"Employ and maintain fire detection and suppression systems that are supported by an independent energy source.","uuid":"9ab35ddc-3307-42b6-a510-456ce39e69a2"}],"description":"<p>Employ and maintain fire detection and suppression systems that are supported by an independent energy source.</p><br/><strong>Guidance</strong><p>The provision of fire detection and suppression systems applies primarily to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Fire detection and suppression systems that may require an independent energy source include sprinkler systems and smoke detectors. An independent energy source is an energy source, such as a microgrid, that is separate, or can be separated, from the energy sources providing power for the other parts of the facility.</p>","uuid":"9c0c1a05-0d70-44e4-89ff-c4e71d478e37","family":"Physical and Environmental Protection","parameters":[],"subControls":null,"tests":[{"testId":"PE-13[01]","test":"Assessment Objective: Determine if fire detection systems are employed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire suppression/detection devices/systems.</li></ul>","otherId":"pe-13_obj-1","defaultText":null,"uuid":"e38331c2-055d-4958-8c41-a02bee8a2735"},{"testId":"PE-13[02]","test":"Assessment Objective: Determine if employed fire detection systems are supported by an independent energy source;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire suppression/detection devices/systems.</li></ul>","otherId":"pe-13_obj-2","defaultText":null,"uuid":"ae59d1a2-8304-4641-8f57-d9c84005dc8f"},{"testId":"PE-13[03]","test":"Assessment Objective: Determine if employed fire detection systems are maintained;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire suppression/detection devices/systems.</li></ul>","otherId":"pe-13_obj-3","defaultText":null,"uuid":"b2f91b9f-38fa-4481-8e56-fbfb6e5d26bf"},{"testId":"PE-13[04]","test":"Assessment Objective: Determine if fire suppression systems are employed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire suppression/detection devices/systems.</li></ul>","otherId":"pe-13_obj-4","defaultText":null,"uuid":"16c689a1-0638-4cf4-803e-2f3260a2689e"},{"testId":"PE-13[05]","test":"Assessment Objective: Determine if employed fire suppression systems are supported by an independent energy source;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire suppression/detection devices/systems.</li></ul>","otherId":"pe-13_obj-5","defaultText":null,"uuid":"c2d193b2-65b4-4577-9002-b8953e582bd3"},{"testId":"PE-13[06]","test":"Assessment Objective: Determine if employed fire suppression systems are maintained.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing fire protection.</li><li>Fire suppression and detection devices/systems.</li><li>Fire suppression and detection devices/systems documentation.</li><li>Test records of fire suppression and detection devices/systems.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for fire detection and suppression devices/systems.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing fire suppression/detection devices/systems.</li></ul>","otherId":"pe-13_obj-6","defaultText":null,"uuid":"afc77ee6-1192-4a46-9390-bbbda3eed05d"}],"weight":1,"title":"PE-13 - Fire Protection","enhancements":"<strong>Enhancements</strong><ul><li>PE-13(1) - Detection Systems — Automatic Activation and Notification</li><li>PE-13(2) - Suppression Systems — Automatic Activation and Notification</li></ul>","otherId":"pe-13","sortId":"pe-13","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-13"},{"objectives":[{"objectiveType":"","otherId":"pe-14_smt.a","name":"a.","description":"<ul><li>a. Maintain {{ insert: param, PE-14(a)-1 }} levels within the facility where the system resides at {{ insert: param, PE-14(a)-2 }} ; and</li></ul>","uuid":"467d4197-b07e-4bf8-86c5-85c69c26ac0c"},{"objectiveType":"","otherId":"pe-14_smt.b","name":"b.","description":"<ul><li>b. Monitor environmental control levels {{ insert: param, PE-14(b) }}.</li></ul>","uuid":"23c7282a-5c84-4ef6-9a44-abc96e8e9422"}],"description":"<ul><li>a. Maintain {{ insert: param, PE-14(a)-1 }} levels within the facility where the system resides at {{ insert: param, PE-14(a)-2 }} ; and</li><li>b. Monitor environmental control levels {{ insert: param, PE-14(b) }}.</li></ul><br/><strong>Guidance</strong><p>The provision of environmental controls applies primarily to organizational facilities that contain concentrations of system resources (e.g., data centers, mainframe computer rooms, and server rooms). Insufficient environmental controls, especially in very harsh environments, can have a significant adverse impact on the availability of systems and system components that are needed to support organizational mission and business functions.</p><br/><strong>PE-14 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(a) Requirement:</b> The service provider measures temperature at server inlets and humidity levels by dew point.</li></ul>","uuid":"8a750595-9806-4247-9531-73e7d7d6418e","family":"Physical and Environmental Protection","parameters":[{"constraints":"consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments","displayName":"","dataType":"","guidance":"","uuid":"d2a398e9-0db6-4f2f-a91a-953e874f9c65","otherId":"pe-14_odp.01","parameterId":"PE-14(a)-1","text":"[Selection (one or more): temperature; humidity; pressure; radiation; [(NESTED PARAMETER) Assignment for pe-14_odp.02: environmental control]]","default":"[FedRAMP Assignment: consistent with American Society of Heating, Refrigerating and Air-conditioning Engineers (ASHRAE) document entitled Thermal Guidelines for Data Processing Environments]"},{"constraints":"","displayName":"","dataType":"","guidance":"acceptable levels for environmental controls are defined;","uuid":"ce1baffd-8c0a-44a4-90c2-a942847bcdee","otherId":"pe-14_odp.03","parameterId":"PE-14(a)-2","text":"acceptable levels","default":" [Assignment: organization-defined acceptable levels] "},{"constraints":"continuously","displayName":"","dataType":"","guidance":"frequency at which to monitor environmental control levels is defined;","uuid":"b711f359-471f-4d7e-95e3-15becf1cb588","otherId":"pe-14_odp.04","parameterId":"PE-14(b)","text":"frequency","default":"[FedRAMP Assignment: continuously]"}],"subControls":null,"tests":[{"testId":"PE-14a.","test":"Assessment Objective: Determine if \n{{ insert: param, pe-14_odp.01 }} levels are maintained at {{ insert: param, pe-14_odp.03 }} within the facility where the system resides;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing temperature and humidity control.</li><li>Temperature and humidity controls.</li><li>Facility housing the system.</li><li>Temperature and humidity controls documentation.</li><li>Temperature and humidity records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for system environmental controls.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the maintenance and monitoring of temperature and humidity levels.</li></ul>","otherId":"pe-14_obj.a","defaultText":null,"uuid":"22ac286f-52d5-41f5-9ca1-a7842a2118f9"},{"testId":"PE-14b.","test":"Assessment Objective: Determine if environmental control levels are monitored {{ insert: param, pe-14_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing temperature and humidity control.</li><li>Temperature and humidity controls.</li><li>Facility housing the system.</li><li>Temperature and humidity controls documentation.</li><li>Temperature and humidity records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for system environmental controls.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the maintenance and monitoring of temperature and humidity levels.</li></ul>","otherId":"pe-14_obj.b","defaultText":null,"uuid":"2fe36b47-87da-4718-9b28-0e8bb8893d61"}],"weight":1,"title":"PE-14 - Environmental Controls","enhancements":"","otherId":"pe-14","sortId":"pe-14","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-14"},{"objectives":[{"objectiveType":"","otherId":"pe-15_smt","name":"PE-15","description":"Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.","uuid":"e5a59d2b-8252-431d-94d6-40163309492c"}],"description":"<p>Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.</p><br/><strong>Guidance</strong><p>The provision of water damage protection primarily applies to organizational facilities that contain concentrations of system resources, including data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern without affecting entire organizations.</p>","uuid":"9cf1b6c0-12d8-47cf-95cb-6c2b56c7e7ff","family":"Physical and Environmental Protection","parameters":[],"subControls":null,"tests":[{"testId":"PE-15[01]","test":"Assessment Objective: Determine if the system is protected from damage resulting from water leakage by providing master shutoff or isolation valves;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing water damage protection.</li><li>Facility housing the system.</li><li>Master shutoff valves.</li><li>List of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system.</li><li>Master shutoff valve documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for system environmental controls.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Master water-shutoff valves.</li><li>Organizational process for activating master water shutoff.</li></ul>","otherId":"pe-15_obj-1","defaultText":null,"uuid":"19f53c76-b3f9-4e30-a186-d37abd71eabe"},{"testId":"PE-15[02]","test":"Assessment Objective: Determine if the master shutoff or isolation valves are accessible;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing water damage protection.</li><li>Facility housing the system.</li><li>Master shutoff valves.</li><li>List of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system.</li><li>Master shutoff valve documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for system environmental controls.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Master water-shutoff valves.</li><li>Organizational process for activating master water shutoff.</li></ul>","otherId":"pe-15_obj-2","defaultText":null,"uuid":"71532603-efd3-420e-8c8c-93d752a87d7c"},{"testId":"PE-15[03]","test":"Assessment Objective: Determine if the master shutoff or isolation valves are working properly;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing water damage protection.</li><li>Facility housing the system.</li><li>Master shutoff valves.</li><li>List of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system.</li><li>Master shutoff valve documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for system environmental controls.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Master water-shutoff valves.</li><li>Organizational process for activating master water shutoff.</li></ul>","otherId":"pe-15_obj-3","defaultText":null,"uuid":"b7947bd1-7168-4cba-a9bd-53407a57d5eb"},{"testId":"PE-15[04]","test":"Assessment Objective: Determine if the master shutoff or isolation valves are known to key personnel.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing water damage protection.</li><li>Facility housing the system.</li><li>Master shutoff valves.</li><li>List of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system.</li><li>Master shutoff valve documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for system environmental controls.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Master water-shutoff valves.</li><li>Organizational process for activating master water shutoff.</li></ul>","otherId":"pe-15_obj-4","defaultText":null,"uuid":"c264117f-59f2-43fe-bfa8-bb4bc0307636"}],"weight":1,"title":"PE-15 - Water Damage Protection","enhancements":"","otherId":"pe-15","sortId":"pe-15","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-15"},{"objectives":[{"objectiveType":"","otherId":"pe-16_smt.a","name":"a.","description":"<ul><li>a. Authorize and control {{ insert: param, PE-16(a) }} entering and exiting the facility; and</li></ul>","uuid":"edbb5692-fab5-4285-9a50-e3a19073ef47"},{"objectiveType":"","otherId":"pe-16_smt.b","name":"b.","description":"<ul><li>b. Maintain records of the system components.</li></ul>","uuid":"d69810ee-fbe1-481f-9a9d-ee693f89c1d4"}],"description":"<ul><li>a. Authorize and control {{ insert: param, PE-16(a) }} entering and exiting the facility; and</li><li>b. Maintain records of the system components.</li></ul><br/><strong>Guidance</strong><p>Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries.</p>","uuid":"da64fabd-c8e0-49dd-a59d-9e8cda6faa97","family":"Physical and Environmental Protection","parameters":[{"constraints":"all information system components","displayName":"","dataType":"","guidance":"","uuid":"99cd3f03-b31a-4750-914a-43977e23dd6d","otherId":"pe-16_prm_1","parameterId":"PE-16(a)","text":"organization-defined types of system components","default":"[FedRAMP Assignment: all information system components]"}],"subControls":null,"tests":[{"testId":"PE-16a.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, pe-16_odp.01 }} are authorized when entering the facility;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing the delivery and removal of system components from the facility.</li><li>Facility housing the system.</li><li>Records of items entering and exiting the facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for controlling system components entering and exiting the facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li><li>Mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li></ul>","otherId":"pe-16_obj.a-1","defaultText":null,"uuid":"e02bc5c3-017d-40cb-a000-97edd7aebd22"},{"testId":"PE-16a.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, pe-16_odp.01 }} are controlled when entering the facility;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing the delivery and removal of system components from the facility.</li><li>Facility housing the system.</li><li>Records of items entering and exiting the facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for controlling system components entering and exiting the facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li><li>Mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li></ul>","otherId":"pe-16_obj.a-2","defaultText":null,"uuid":"375b0dad-ccd1-447a-907f-e8b6c32eec78"},{"testId":"PE-16a.[03]","test":"Assessment Objective: Determine if \n{{ insert: param, pe-16_odp.02 }} are authorized when exiting the facility;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing the delivery and removal of system components from the facility.</li><li>Facility housing the system.</li><li>Records of items entering and exiting the facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for controlling system components entering and exiting the facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li><li>Mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li></ul>","otherId":"pe-16_obj.a-3","defaultText":null,"uuid":"0242db90-5195-42a5-8b7f-975c9d2e139b"},{"testId":"PE-16a.[04]","test":"Assessment Objective: Determine if \n{{ insert: param, pe-16_odp.02 }} are controlled when exiting the facility;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing the delivery and removal of system components from the facility.</li><li>Facility housing the system.</li><li>Records of items entering and exiting the facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for controlling system components entering and exiting the facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li><li>Mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li></ul>","otherId":"pe-16_obj.a-4","defaultText":null,"uuid":"13600ba0-b955-4c71-a09c-6bdebe33c4ae"},{"testId":"PE-16b.","test":"Assessment Objective: Determine if records of the system components are maintained.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing the delivery and removal of system components from the facility.</li><li>Facility housing the system.</li><li>Records of items entering and exiting the facility.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibilities for controlling system components entering and exiting the facility.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li><li>Mechanisms supporting and/or implementing, authorizing, monitoring, and controlling system-related items entering and exiting the facility.</li></ul>","otherId":"pe-16_obj.b","defaultText":null,"uuid":"ceb0239d-923a-4fdb-b70a-26031078d284"}],"weight":1,"title":"PE-16 - Delivery and Removal","enhancements":"","otherId":"pe-16","sortId":"pe-16","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-16"},{"objectives":[{"objectiveType":"","otherId":"pe-17_smt.a","name":"a.","description":"<ul><li>a. Determine and document the {{ insert: param, PE-17(a) }} allowed for use by employees;</li></ul>","uuid":"6bb66891-ebfc-4d68-a6a7-369d731ff320"},{"objectiveType":"","otherId":"pe-17_smt.b","name":"b.","description":"<ul><li>b. Employ the following controls at alternate work sites: {{ insert: param, PE-17(b) }};</li></ul>","uuid":"d133acde-edd5-4209-aa4e-f38d11d51579"},{"objectiveType":"","otherId":"pe-17_smt.c","name":"c.","description":"<ul><li>c. Assess the effectiveness of controls at alternate work sites; and</li></ul>","uuid":"a446f6b4-5d5f-40de-a144-cc4bbf6ede5b"},{"objectiveType":"","otherId":"pe-17_smt.d","name":"d.","description":"<ul><li>d. Provide a means for employees to communicate with information security and privacy personnel in case of incidents.</li></ul>","uuid":"37b52ea1-3720-456b-a6f2-191b99745f31"}],"description":"<ul><li>a. Determine and document the {{ insert: param, PE-17(a) }} allowed for use by employees;</li><li>b. Employ the following controls at alternate work sites: {{ insert: param, PE-17(b) }};</li><li>c. Assess the effectiveness of controls at alternate work sites; and</li><li>d. Provide a means for employees to communicate with information security and privacy personnel in case of incidents.</li></ul><br/><strong>Guidance</strong><p>Alternate work sites include government facilities or the private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of controls for specific alternate work sites or types of sites depending on the work-related activities conducted at the sites. Implementing and assessing the effectiveness of organization-defined controls and providing a means to communicate incidents at alternate work sites supports the contingency planning activities of organizations.</p>","uuid":"db22ce16-c825-40af-8ddb-f1ec358d735f","family":"Physical and Environmental Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"alternate work sites allowed for use by employees are defined;","uuid":"7a403362-5b28-4784-9542-4da701d3ac15","otherId":"pe-17_odp.01","parameterId":"PE-17(a)","text":"alternate work sites","default":" [Assignment: organization-defined alternate work sites] "},{"constraints":"","displayName":"","dataType":"","guidance":"controls to be employed at alternate work sites are defined;","uuid":"b4817fd9-c3a7-4cdc-a762-8f23bd16b65e","otherId":"pe-17_odp.02","parameterId":"PE-17(b)","text":"controls","default":" [Assignment: organization-defined controls] "}],"subControls":null,"tests":[{"testId":"PE-17a.","test":"Assessment Objective: Determine if \n{{ insert: param, pe-17_odp.01 }} are determined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing alternate work sites for organizational personnel.</li><li>List of security controls required for alternate work sites.</li><li>Assessments of security controls at alternate work sites.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel approving the use of alternate work sites.</li><li>Organizational personnel using alternate work sites.</li><li>Organizational personnel assessing controls at alternate work sites.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy at alternate work sites.</li><li>Mechanisms supporting alternate work sites.</li><li>Security and privacy controls employed at alternate work sites.</li><li>Means of communication between personnel at alternate work sites and security and privacy personnel.</li></ul>","otherId":"pe-17_obj.a","defaultText":null,"uuid":"e92f1499-2547-424e-b9c9-352d16a2e06c"},{"testId":"PE-17b.","test":"Assessment Objective: Determine if \n{{ insert: param, pe-17_odp.02 }} are employed at alternate work sites;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing alternate work sites for organizational personnel.</li><li>List of security controls required for alternate work sites.</li><li>Assessments of security controls at alternate work sites.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel approving the use of alternate work sites.</li><li>Organizational personnel using alternate work sites.</li><li>Organizational personnel assessing controls at alternate work sites.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy at alternate work sites.</li><li>Mechanisms supporting alternate work sites.</li><li>Security and privacy controls employed at alternate work sites.</li><li>Means of communication between personnel at alternate work sites and security and privacy personnel.</li></ul>","otherId":"pe-17_obj.b","defaultText":null,"uuid":"a66721da-db57-4e70-a716-0b22377e7b96"},{"testId":"PE-17c.","test":"Assessment Objective: Determine if the effectiveness of controls at alternate work sites is assessed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing alternate work sites for organizational personnel.</li><li>List of security controls required for alternate work sites.</li><li>Assessments of security controls at alternate work sites.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel approving the use of alternate work sites.</li><li>Organizational personnel using alternate work sites.</li><li>Organizational personnel assessing controls at alternate work sites.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy at alternate work sites.</li><li>Mechanisms supporting alternate work sites.</li><li>Security and privacy controls employed at alternate work sites.</li><li>Means of communication between personnel at alternate work sites and security and privacy personnel.</li></ul>","otherId":"pe-17_obj.c","defaultText":null,"uuid":"30eb8a61-858a-4fb3-92a4-7a0d6c5e996b"},{"testId":"PE-17d.","test":"Assessment Objective: Determine if a means for employees to communicate with information security and privacy personnel in case of incidents is provided.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Physical and environmental protection policy.</li><li>Procedures addressing alternate work sites for organizational personnel.</li><li>List of security controls required for alternate work sites.</li><li>Assessments of security controls at alternate work sites.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel approving the use of alternate work sites.</li><li>Organizational personnel using alternate work sites.</li><li>Organizational personnel assessing controls at alternate work sites.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy at alternate work sites.</li><li>Mechanisms supporting alternate work sites.</li><li>Security and privacy controls employed at alternate work sites.</li><li>Means of communication between personnel at alternate work sites and security and privacy personnel.</li></ul>","otherId":"pe-17_obj.d","defaultText":null,"uuid":"768abc07-9ce7-4b53-b502-5c0b0e9f63ce"}],"weight":1,"title":"PE-17 - Alternate Work Site","enhancements":"","otherId":"pe-17","sortId":"pe-17","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PE-17"},{"objectives":[{"objectiveType":"","otherId":"pl-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, PL-1(a) }}:</li><ul><li>1. {{ insert: param, PL-1(a)(1) }} planning policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the planning policy and the associated planning controls;</li></ul>","uuid":"cc7a73cb-7149-442e-8382-b671232745df"},{"objectiveType":"","otherId":"pl-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, PL-1(b) }} to manage the development, documentation, and dissemination of the planning policy and procedures; and</li></ul>","uuid":"36b530d2-5aea-47cf-88c7-a526fd7d8a12"},{"objectiveType":"","otherId":"pl-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current planning:</li><ul><li>1. Policy {{ insert: param, PL-1(c)(1)-1 }} and following {{ insert: param, PL-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, PL-1(c)(2)-1 }} and following {{ insert: param, PL-1(c)(2)-2 }}.</li></ul>","uuid":"1f5df0f5-fd99-4a94-b4bc-65edb8169264"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, PL-1(a) }}:</li><ul><li>1. {{ insert: param, PL-1(a)(1) }} planning policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the planning policy and the associated planning controls;</li></ul><li>b. Designate an {{ insert: param, PL-1(b) }} to manage the development, documentation, and dissemination of the planning policy and procedures; and</li><li>c. Review and update the current planning:</li><ul><li>1. Policy {{ insert: param, PL-1(c)(1)-1 }} and following {{ insert: param, PL-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, PL-1(c)(2)-1 }} and following {{ insert: param, PL-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Planning policy and procedures for the controls in the PL family implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to planning policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"4a8b64a3-96f6-4127-9922-874c6d981920","family":"Planning","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"582d5794-35b8-46b2-ac30-fab39cdd99bd","otherId":"pl-1_prm_1","parameterId":"PL-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"1907fd55-a3b3-48a5-aa8d-f1c6997baa07","otherId":"pl-01_odp.03","parameterId":"PL-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the planning policy and procedures is defined;","uuid":"db11dcb3-9087-4498-9f3a-35a49aba5304","otherId":"pl-01_odp.04","parameterId":"PL-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency with which the current planning policy is reviewed and updated is defined;","uuid":"767d9dbb-2233-4437-8c59-74962ebb66e8","otherId":"pl-01_odp.05","parameterId":"PL-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current planning policy to be reviewed and updated are defined;","uuid":"8bf02f2a-ffc7-421b-aa4c-14d41ce8f008","otherId":"pl-01_odp.06","parameterId":"PL-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency with which the current planning procedures are reviewed and updated is defined;","uuid":"ff65cadf-6d84-4781-aefe-818e61952871","otherId":"pl-01_odp.07","parameterId":"PL-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require procedures to be reviewed and updated are defined;","uuid":"c4e244e0-889e-4a8e-8cf0-eb3cf5b1563a","otherId":"pl-01_odp.08","parameterId":"PL-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"PL-01a.[01]","test":"Assessment Objective: Determine if a planning policy is developed and documented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a-1","defaultText":null,"uuid":"e608a9f5-5a5a-4396-91fe-34932f31bad4"},{"testId":"PL-01a.[02]","test":"Assessment Objective: Determine if the planning policy is disseminated to {{ insert: param, pl-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a-2","defaultText":null,"uuid":"150bc416-3fcd-40d4-91c2-782ccfc05b04"},{"testId":"PL-01a.[03]","test":"Assessment Objective: Determine if planning procedures to facilitate the implementation of the planning policy and associated planning controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a-3","defaultText":null,"uuid":"b5c12b51-23ce-4a14-8d90-d5d2eef85c6a"},{"testId":"PL-01a.[04]","test":"Assessment Objective: Determine if the planning procedures are disseminated to {{ insert: param, pl-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a-4","defaultText":null,"uuid":"11e07095-a24e-4dac-9711-831c03b18f67"},{"testId":"PL-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.a-1","defaultText":null,"uuid":"4e22ce00-e159-4f31-8205-ed06f4a2f813"},{"testId":"PL-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.a-2","defaultText":null,"uuid":"d78170a8-8780-44f7-98f5-38a1fb2de387"},{"testId":"PL-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.a-3","defaultText":null,"uuid":"56a78bc0-77b5-47b4-8074-b499e545a0dd"},{"testId":"PL-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.a-4","defaultText":null,"uuid":"b5a6d846-ba92-4d6a-be66-6abc0c286a94"},{"testId":"PL-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.a-5","defaultText":null,"uuid":"9b1bd49b-ee93-4501-817b-1023af20ed70"},{"testId":"PL-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.a-6","defaultText":null,"uuid":"0b459d04-c0c1-4f44-856c-1984ba250c05"},{"testId":"PL-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.a-7","defaultText":null,"uuid":"e243e27c-27e5-4c3b-ba50-4449ec908fe7"},{"testId":"PL-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.03 }} planning policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.a.1.b","defaultText":null,"uuid":"dae0ecd7-3234-4a26-ba07-82c234c0168a"},{"testId":"PL-01b.","test":"Assessment Objective: Determine if the {{ insert: param, pl-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the planning policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.b","defaultText":null,"uuid":"0ebf8681-e5a2-4d7f-a09e-e948ef66be45"},{"testId":"PL-01c.01[01]","test":"Assessment Objective: Determine if the current planning policy is reviewed and updated {{ insert: param, pl-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.c.1-1","defaultText":null,"uuid":"28daa9de-79d8-41b8-bc8e-3d5a84510abb"},{"testId":"PL-01c.01[02]","test":"Assessment Objective: Determine if the current planning policy is reviewed and updated following {{ insert: param, pl-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.c.1-2","defaultText":null,"uuid":"78ef3d81-6ca0-4f64-a732-e755b11065f1"},{"testId":"PL-01c.02[01]","test":"Assessment Objective: Determine if the current planning procedures are reviewed and updated {{ insert: param, pl-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.c.2-1","defaultText":null,"uuid":"bf46fd52-7174-4080-bb49-9e3cd6db5a5f"},{"testId":"PL-01c.02[02]","test":"Assessment Objective: Determine if the current planning procedures are reviewed and updated following {{ insert: param, pl-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Planning policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with planning responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-1_obj.c.2-2","defaultText":null,"uuid":"97011456-dab6-4ae9-ac1c-e641eeb48204"}],"weight":1,"title":"PL-01 - Policy and Procedures","enhancements":"","otherId":"pl-1","sortId":"pl-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PL-1"},{"objectives":[{"objectiveType":"","otherId":"pl-2_smt.a","name":"a.","description":"<ul><li>a. Develop security and privacy plans for the system that:</li><ul><li>1. Are consistent with the organization’s enterprise architecture;</li><li>2. Explicitly define the constituent system components;</li><li>3. Describe the operational context of the system in terms of mission and business processes;</li><li>4. Identify the individuals that fulfill system roles and responsibilities;</li><li>5. Identify the information types processed, stored, and transmitted by the system;</li><li>6. Provide the security categorization of the system, including supporting rationale;</li><li>7. Describe any specific threats to the system that are of concern to the organization;</li><li>8. Provide the results of a privacy risk assessment for systems processing personally identifiable information;</li><li>9. Describe the operational environment for the system and any dependencies on or connections to other systems or system components;</li><li>10. Provide an overview of the security and privacy requirements for the system;</li><li>11. Identify any relevant control baselines or overlays, if applicable;</li><li>12. Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;</li><li>13. Include risk determinations for security and privacy architecture and design decisions;</li><li>14. Include security- and privacy-related activities affecting the system that require planning and coordination with {{ insert: param, PL-2(a)(14) }} ; and</li><li>15. Are reviewed and approved by the authorizing official or designated representative prior to plan implementation.</li></ul>","uuid":"527af4e0-cdb8-4fd3-8e28-22d367a8f44e"},{"objectiveType":"","otherId":"pl-2_smt.b","name":"b.","description":"<ul><li>b. Distribute copies of the plans and communicate subsequent changes to the plans to {{ insert: param, PL-2(b) }};</li></ul>","uuid":"17a2c273-88a4-4ac6-b4dc-2e9fad747aec"},{"objectiveType":"","otherId":"pl-2_smt.c","name":"c.","description":"<ul><li>c. Review the plans {{ insert: param, PL-2(c) }};</li></ul>","uuid":"1a45197e-da5f-4950-a2b3-2e72afbe0612"},{"objectiveType":"","otherId":"pl-2_smt.d","name":"d.","description":"<ul><li>d. Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and</li></ul>","uuid":"3f9a6cfe-bbcf-4343-bf02-49f109985409"},{"objectiveType":"","otherId":"pl-2_smt.e","name":"e.","description":"<ul><li>e. Protect the plans from unauthorized disclosure and modification.</li></ul>","uuid":"6ed4dea3-751e-4cc9-95f5-4c42adab025e"}],"description":"<ul><li>a. Develop security and privacy plans for the system that:</li><ul><li>1. Are consistent with the organization’s enterprise architecture;</li><li>2. Explicitly define the constituent system components;</li><li>3. Describe the operational context of the system in terms of mission and business processes;</li><li>4. Identify the individuals that fulfill system roles and responsibilities;</li><li>5. Identify the information types processed, stored, and transmitted by the system;</li><li>6. Provide the security categorization of the system, including supporting rationale;</li><li>7. Describe any specific threats to the system that are of concern to the organization;</li><li>8. Provide the results of a privacy risk assessment for systems processing personally identifiable information;</li><li>9. Describe the operational environment for the system and any dependencies on or connections to other systems or system components;</li><li>10. Provide an overview of the security and privacy requirements for the system;</li><li>11. Identify any relevant control baselines or overlays, if applicable;</li><li>12. Describe the controls in place or planned for meeting the security and privacy requirements, including a rationale for any tailoring decisions;</li><li>13. Include risk determinations for security and privacy architecture and design decisions;</li><li>14. Include security- and privacy-related activities affecting the system that require planning and coordination with {{ insert: param, PL-2(a)(14) }} ; and</li><li>15. Are reviewed and approved by the authorizing official or designated representative prior to plan implementation.</li></ul><li>b. Distribute copies of the plans and communicate subsequent changes to the plans to {{ insert: param, PL-2(b) }};</li><li>c. Review the plans {{ insert: param, PL-2(c) }};</li><li>d. Update the plans to address changes to the system and environment of operation or problems identified during plan implementation or control assessments; and</li><li>e. Protect the plans from unauthorized disclosure and modification.</li></ul><br/><strong>Guidance</strong><p>System security and privacy plans are scoped to the system and system components within the defined authorization boundary and contain an overview of the security and privacy requirements for the system and the controls selected to satisfy the requirements. The plans describe the intended application of each selected control in the context of the system with a sufficient level of detail to correctly implement the control and to subsequently assess the effectiveness of the control. The control documentation describes how system-specific and hybrid controls are implemented and the plans and expectations regarding the functionality of the system. System security and privacy plans can also be used in the design and development of systems in support of life cycle-based security and privacy engineering processes. System security and privacy plans are living documents that are updated and adapted throughout the system development life cycle (e.g., during capability determination, analysis of alternatives, requests for proposal, and design reviews). <a href=\"#c3397cc9-83c6-4459-adb2-836739dc1b94\">Section 2.1</a> describes the different types of requirements that are relevant to organizations during the system development life cycle and the relationship between requirements and controls.</p><p>Organizations may develop a single, integrated security and privacy plan or maintain separate plans. Security and privacy plans relate security and privacy requirements to a set of controls and control enhancements. The plans describe how the controls and control enhancements meet the security and privacy requirements but do not provide detailed, technical descriptions of the design or implementation of the controls and control enhancements. Security and privacy plans contain sufficient information (including specifications of control parameter values for selection and assignment operations explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented.</p><p>Security and privacy plans need not be single documents. The plans can be a collection of various documents, including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents, including design and implementation specifications where more detailed information can be obtained. The use of references helps reduce the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas, including enterprise architecture, system development life cycle, systems engineering, and acquisition. Security and privacy plans need not contain detailed contingency plan or incident response plan information but can instead provide—explicitly or by reference—sufficient information to define what needs to be accomplished by those plans.</p><p>Security- and privacy-related activities that may require coordination and planning with other individuals or groups within the organization include assessments, audits, inspections, hardware and software maintenance, acquisition and supply chain risk management, patch management, and contingency plan testing. Planning and coordination include emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can also be included in other documents, as appropriate.</p>","uuid":"8383a0d4-96b5-4a71-b3df-b02cc6c71746","family":"Planning","parameters":[{"constraints":"to include chief privacy and ISSO and/or similar role or designees","displayName":"","dataType":"","guidance":"individuals or groups with whom security and privacy-related activities affecting the system that require planning and coordination is/are assigned;","uuid":"dc8b5fa3-eaed-4f5f-9b8c-3ea42716c895","otherId":"pl-02_odp.01","parameterId":"PL-2(a)(14)","text":"individuals or groups","default":"[FedRAMP Assignment: to include chief privacy and ISSO and/or similar role or designees]"},{"constraints":"to include chief privacy and ISSO and/or similar role","displayName":"","dataType":"","guidance":"personnel or roles to receive distributed copies of the system security and privacy plans is/are assigned;","uuid":"8a7de179-0059-4c56-8abe-3e968de50182","otherId":"pl-02_odp.02","parameterId":"PL-2(b)","text":"personnel or roles","default":"[FedRAMP Assignment: to include chief privacy and ISSO and/or similar role]"},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"frequency to review system security and privacy plans is defined;","uuid":"39b03c5a-c69f-4eff-abc9-9de52038cfa9","otherId":"pl-02_odp.03","parameterId":"PL-2(c)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"PL-02a.01[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that is consistent with the organization’s enterprise architecture;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.1-1","defaultText":null,"uuid":"bca8a4f3-1135-4496-80e4-a1de626cfbe4"},{"testId":"PL-02a.01[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that is consistent with the organization’s enterprise architecture;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.1-2","defaultText":null,"uuid":"db090b1e-1aea-4572-8c17-c03d715ad3dd"},{"testId":"PL-02a.02[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that explicitly defines the constituent system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.2-1","defaultText":null,"uuid":"baea70ca-404f-4739-8227-0a87ad158168"},{"testId":"PL-02a.02[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that explicitly defines the constituent system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.2-2","defaultText":null,"uuid":"4f6acbd3-7cd6-4d14-a3ee-3a4abc5424a9"},{"testId":"PL-02a.03[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that describes the operational context of the system in terms of mission and business processes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.3-1","defaultText":null,"uuid":"617088fe-6abe-47c6-a9a4-4a01d39734e3"},{"testId":"PL-02a.03[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that describes the operational context of the system in terms of mission and business processes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.3-2","defaultText":null,"uuid":"0c717ffc-4509-45c4-a37d-0decd6fbe6c5"},{"testId":"PL-02a.04[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.4-1","defaultText":null,"uuid":"cd16ddc9-da22-4923-8537-f48c8c6e0ada"},{"testId":"PL-02a.04[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that identifies the individuals that fulfill system roles and responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.4-2","defaultText":null,"uuid":"a73c0e26-7d36-45cd-a2e2-d8dfa32c09cd"},{"testId":"PL-02a.05[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.5-1","defaultText":null,"uuid":"93230419-29e7-47a1-aacb-b372de868425"},{"testId":"PL-02a.05[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that identifies the information types processed, stored, and transmitted by the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.5-2","defaultText":null,"uuid":"bdf9ac18-7449-42d5-9ad8-7a0a2ca16d92"},{"testId":"PL-02a.06[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that provides the security categorization of the system, including supporting rationale;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.6-1","defaultText":null,"uuid":"873a2039-0dcd-46cf-a36c-5b2aee0ec500"},{"testId":"PL-02a.06[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that provides the security categorization of the system, including supporting rationale;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.6-2","defaultText":null,"uuid":"44b8abfd-10cc-4a69-af16-beb7193d5bb7"},{"testId":"PL-02a.07[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that describes any specific threats to the system that are of concern to the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.7-1","defaultText":null,"uuid":"d757028e-0d5d-43b2-a0b9-272a51a8f2dc"},{"testId":"PL-02a.07[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that describes any specific threats to the system that are of concern to the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.7-2","defaultText":null,"uuid":"4443e195-4e1e-4394-8228-4864f28ee57a"},{"testId":"PL-02a.08[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.8-1","defaultText":null,"uuid":"1dd9d357-3e4b-401d-ae3d-c3a3a5e09130"},{"testId":"PL-02a.08[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that provides the results of a privacy risk assessment for systems processing personally identifiable information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.8-2","defaultText":null,"uuid":"9bd102a7-0f6c-40a0-9d6e-47170f649abb"},{"testId":"PL-02a.09[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.9-1","defaultText":null,"uuid":"60808a96-63e3-4e66-b038-d7757590ac53"},{"testId":"PL-02a.09[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that describes the operational environment for the system and any dependencies on or connections to other systems or system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.9-2","defaultText":null,"uuid":"55ccd175-484b-4918-b2c8-d3829ff3dad2"},{"testId":"PL-02a.10[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that provides an overview of the security requirements for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.10-1","defaultText":null,"uuid":"dc353de7-4b1e-4590-99c8-c38f19be2a73"},{"testId":"PL-02a.10[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that provides an overview of the privacy requirements for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.10-2","defaultText":null,"uuid":"f91182cb-749f-4fe6-ab41-3da08ad54670"},{"testId":"PL-02a.11[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.11-1","defaultText":null,"uuid":"631d6759-a9b6-419b-8d42-a08588806bc6"},{"testId":"PL-02a.11[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that identifies any relevant control baselines or overlays, if applicable;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.11-2","defaultText":null,"uuid":"eca82750-0d84-4fbb-b04c-13176d4592eb"},{"testId":"PL-02a.12[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that describes the controls in place or planned for meeting the security requirements, including rationale for any tailoring decisions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.12-1","defaultText":null,"uuid":"d702dd78-377d-4ef2-bdfc-9d0259dfe462"},{"testId":"PL-02a.12[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that describes the controls in place or planned for meeting the privacy requirements, including rationale for any tailoring decisions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.12-2","defaultText":null,"uuid":"a4c84a24-77fc-4322-89c0-fd100ad35c72"},{"testId":"PL-02a.13[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that includes risk determinations for security architecture and design decisions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.13-1","defaultText":null,"uuid":"b815ad6c-06a5-42df-a0d2-f8835c563e43"},{"testId":"PL-02a.13[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that includes risk determinations for privacy architecture and design decisions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.13-2","defaultText":null,"uuid":"8ca425b7-7fa3-4f46-9dce-acc8b8327830"},{"testId":"PL-02a.14[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that includes security-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.14-1","defaultText":null,"uuid":"86ec70b8-a1ad-4e5f-9c35-793e69dc8720"},{"testId":"PL-02a.14[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that includes privacy-related activities affecting the system that require planning and coordination with {{ insert: param, pl-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.14-2","defaultText":null,"uuid":"181b25ff-73bc-45c8-b09e-238675698b28"},{"testId":"PL-02a.15[01]","test":"Assessment Objective: Determine if a security plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.15-1","defaultText":null,"uuid":"98c4ead8-7a11-49e9-835f-64cf5a39244f"},{"testId":"PL-02a.15[02]","test":"Assessment Objective: Determine if a privacy plan for the system is developed that is reviewed and approved by the authorizing official or designated representative prior to plan implementation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.a.15-2","defaultText":null,"uuid":"a5446066-979e-4a18-acc3-328273f5d347"},{"testId":"PL-02b.[01]","test":"Assessment Objective: Determine if copies of the plans are distributed to {{ insert: param, pl-02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.b-1","defaultText":null,"uuid":"7fc3a77e-f9fc-4396-b599-e5a1a8bcb18f"},{"testId":"PL-02b.[02]","test":"Assessment Objective: Determine if subsequent changes to the plans are communicated to {{ insert: param, pl-02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.b-2","defaultText":null,"uuid":"96373e0f-9d34-4ece-8b3f-798ac5971f69"},{"testId":"PL-02c.","test":"Assessment Objective: Determine if plans are reviewed {{ insert: param, pl-02_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.c","defaultText":null,"uuid":"ca68e3d3-7ead-44e4-b34a-79f41971d24b"},{"testId":"PL-02d.[01]","test":"Assessment Objective: Determine if plans are updated to address changes to the system and environment of operations;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.d-1","defaultText":null,"uuid":"114f36c6-923a-480d-947c-9a1c43b761f9"},{"testId":"PL-02d.[02]","test":"Assessment Objective: Determine if plans are updated to address problems identified during the plan implementation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.d-2","defaultText":null,"uuid":"afb8477c-b204-49e6-8ac9-15a39000a949"},{"testId":"PL-02d.[03]","test":"Assessment Objective: Determine if plans are updated to address problems identified during control assessments;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.d-3","defaultText":null,"uuid":"4c9d586f-5dcb-40be-9b20-43865d520a8c"},{"testId":"PL-02e.[01]","test":"Assessment Objective: Determine if plans are protected from unauthorized disclosure;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.e-1","defaultText":null,"uuid":"a749a97c-b3b6-467d-b9d0-d1bd91bd1ede"},{"testId":"PL-02e.[02]","test":"Assessment Objective: Determine if plans are protected from unauthorized modification.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing security and privacy plan reviews and updates.</li><li>Enterprise architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Security and privacy architecture and design documentation.</li><li>Risk assessments.</li><li>Risk assessment results.</li><li>Control assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system security and privacy planning and plan implementation responsibilities.</li><li>System developers.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system security and privacy plan development, review, update, and approval.</li><li>Mechanisms supporting the system security and privacy plan.</li></ul>","otherId":"pl-2_obj.e-2","defaultText":null,"uuid":"7ad7c529-e953-4a5f-8d08-493905881314"}],"weight":1,"title":"PL-02 - System Security and Privacy Plans","enhancements":"","otherId":"pl-2","sortId":"pl-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PL-2"},{"objectives":[{"objectiveType":"","otherId":"pl-4.1_smt.a","name":"(a)","description":"<ul><li>(a) Include in the rules of behavior, restrictions on: Use of social media, social networking sites, and external sites/applications;</li></ul>","uuid":"b0d66bc7-a25a-4069-afb1-e77dfa641d03"},{"objectiveType":"","otherId":"pl-4.1_smt.b","name":"(b)","description":"<ul><li>(b) Include in the rules of behavior, restrictions on: Posting organizational information on public websites; and</li></ul>","uuid":"25dab5f5-68b5-436e-be7f-472a921451e6"},{"objectiveType":"","otherId":"pl-4.1_smt.c","name":"(c)","description":"<ul><li>(c) Include in the rules of behavior, restrictions on: Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications.</li></ul>","uuid":"cb92ea90-4c13-4feb-8ab5-e6706ff99a1d"}],"description":"<p>Include in the rules of behavior, restrictions on:</p><ul><li>(a) Use of social media, social networking sites, and external sites/applications;</li><li>(b) Posting organizational information on public websites; and</li><li>(c) Use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications.</li></ul><br/><strong>Guidance</strong><p>Social media, social networking, and external site/application usage restrictions address rules of behavior related to the use of social media, social networking, and external sites when organizational personnel are using such sites for official duties or in the conduct of official business, when organizational information is involved in social media and social networking transactions, and when personnel access social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining non-public organizational information from social media and networking sites either directly or through inference. Non-public information includes personally identifiable information and system account information.</p>","uuid":"42e02cbc-09ac-4e83-886b-9bf908917f66","family":"Planning","parameters":[],"subControls":null,"tests":[{"testId":"PL-04(01)(a)","test":"Assessment Objective: Determine if the rules of behavior include restrictions on the use of social media, social networking sites, and external sites/applications;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Training policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment of rules of behavior.</li></ul>","otherId":"pl-4.1_obj.a","defaultText":null,"uuid":"4ea5fb95-30f4-4012-8121-63fd5810d383"},{"testId":"PL-04(01)(b)","test":"Assessment Objective: Determine if the rules of behavior include restrictions on posting organizational information on public websites;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Training policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment of rules of behavior.</li></ul>","otherId":"pl-4.1_obj.b","defaultText":null,"uuid":"e51dc117-b197-4299-909c-c01db1e13dec"},{"testId":"PL-04(01)(c)","test":"Assessment Objective: Determine if the rules of behavior include restrictions on the use of organization-provided identifiers (e.g., email addresses) and authentication secrets (e.g., passwords) for creating accounts on external sites/applications.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Training policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment of rules of behavior.</li></ul>","otherId":"pl-4.1_obj.c","defaultText":null,"uuid":"42679001-0a56-4d71-bdb5-77cb3b805e48"}],"weight":1,"title":"PL-04(01) - Social Media and External Site/Application Usage Restrictions","enhancements":null,"otherId":"pl-4.1","sortId":"pl-04.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PL-4(1)"},{"objectives":[{"objectiveType":"","otherId":"pl-4_smt.a","name":"a.","description":"<ul><li>a. Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;</li></ul>","uuid":"161084f9-ec85-4d3c-9bfb-6a9974452fb0"},{"objectiveType":"","otherId":"pl-4_smt.b","name":"b.","description":"<ul><li>b. Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;</li></ul>","uuid":"1c0967f6-b659-49e7-9170-331b1cbe8ccf"},{"objectiveType":"","otherId":"pl-4_smt.c","name":"c.","description":"<ul><li>c. Review and update the rules of behavior {{ insert: param, PL-4(c) }} ; and</li></ul>","uuid":"8276dbb9-2c22-41c2-92d9-b8f4ce358bf0"},{"objectiveType":"","otherId":"pl-4_smt.d","name":"d.","description":"<ul><li>d. Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, PL-4(d) }}.</li></ul>","uuid":"c624402e-19c5-4f90-85dd-099a4019c27a"}],"description":"<ul><li>a. Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;</li><li>b. Receive a documented acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the system;</li><li>c. Review and update the rules of behavior {{ insert: param, PL-4(c) }} ; and</li><li>d. Require individuals who have acknowledged a previous version of the rules of behavior to read and re-acknowledge {{ insert: param, PL-4(d) }}.</li></ul><br/><strong>Guidance</strong><p>Rules of behavior represent a type of access agreement for organizational users. Other types of access agreements include nondisclosure agreements, conflict-of-interest agreements, and acceptable use agreements (see <a href=\"#ps-6\">PS-6</a> ). Organizations consider rules of behavior based on individual user roles and responsibilities and differentiate between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users, including individuals who receive information from federal systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for organizational and non-organizational users can also be established in <a href=\"#ac-8\">AC-8</a> . The related controls section provides a list of controls that are relevant to organizational rules of behavior. <a href=\"#pl-4_smt.b\">PL-4b</a> , the documented acknowledgment portion of the control, may be satisfied by the literacy training and awareness and role-based training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior include electronic or physical signatures and electronic agreement check boxes or radio buttons.</p>","uuid":"4f1b0aa6-4856-445f-9986-1db14faa8f6b","family":"Planning","parameters":[{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"frequency for reviewing and updating the rules of behavior is defined;","uuid":"c1e5ce0b-349f-4553-8fd9-644a604c78c7","otherId":"pl-04_odp.01","parameterId":"PL-4(c)","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"at least annually and when the rules are revised or changed","displayName":"","dataType":"","guidance":"","uuid":"afc06375-ea56-440b-9de7-d06650ddd47a","otherId":"pl-04_odp.02","parameterId":"PL-4(d)","text":"[Selection (one or more): [(NESTED PARAMETER) Assignment for pl-04_odp.03: frequency]; when the rules are revised or updated]","default":"[FedRAMP Assignment: at least annually and when the rules are revised or changed]"}],"subControls":null,"tests":[{"testId":"PL-04a.[01]","test":"Assessment Objective: Determine if rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are established for individuals requiring access to the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Signed acknowledgements.</li><li>Records for rules of behavior reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed and resigned rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior.</li></ul>","otherId":"pl-4_obj.a-1","defaultText":null,"uuid":"fad611cc-75dd-4a32-8700-21b3e3cc41e0"},{"testId":"PL-04a.[02]","test":"Assessment Objective: Determine if rules that describe responsibilities and expected behavior for information and system usage, security, and privacy are provided to individuals requiring access to the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Signed acknowledgements.</li><li>Records for rules of behavior reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed and resigned rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior.</li></ul>","otherId":"pl-4_obj.a-2","defaultText":null,"uuid":"9bf323f6-2348-4c2d-a913-5a1c4ce35161"},{"testId":"PL-04b.","test":"Assessment Objective: Determine if before authorizing access to information and the system, a documented acknowledgement from such individuals indicating that they have read, understand, and agree to abide by the rules of behavior is received;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Signed acknowledgements.</li><li>Records for rules of behavior reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed and resigned rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior.</li></ul>","otherId":"pl-4_obj.b","defaultText":null,"uuid":"56a6dcb2-0a1d-46b2-b41c-cc4a2ee275a5"},{"testId":"PL-04c.","test":"Assessment Objective: Determine if rules of behavior are reviewed and updated {{ insert: param, pl-04_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Signed acknowledgements.</li><li>Records for rules of behavior reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed and resigned rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior.</li></ul>","otherId":"pl-4_obj.c","defaultText":null,"uuid":"cd46d05a-6eb9-411a-adbe-8a2eeadd22dc"},{"testId":"PL-04d.","test":"Assessment Objective: Determine if individuals who have acknowledged a previous version of the rules of behavior are required to read and reacknowledge {{ insert: param, pl-04_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing rules of behavior for system users.</li><li>Rules of behavior.</li><li>Signed acknowledgements.</li><li>Records for rules of behavior reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior.</li><li>Organizational personnel with responsibility for literacy training and awareness and role-based training.</li><li>Organizational personnel who are authorized users of the system and have signed and resigned rules of behavior.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior.</li><li>Mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior.</li></ul>","otherId":"pl-4_obj.d","defaultText":null,"uuid":"420403d6-1f14-44a8-aa92-2de23995965c"}],"weight":1,"title":"PL-04 - Rules of Behavior","enhancements":"<strong>Enhancements</strong><ul><li>PL-4(1) - Social Media and External Site/Application Usage Restrictions</li></ul>","otherId":"pl-4","sortId":"pl-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PL-4"},{"objectives":[{"objectiveType":"","otherId":"pl-8_smt.a","name":"a.","description":"<ul><li>a. Develop security and privacy architectures for the system that:</li><ul><li>1. Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;</li><li>2. Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;</li><li>3. Describe how the architectures are integrated into and support the enterprise architecture; and</li><li>4. Describe any assumptions about, and dependencies on, external systems and services;</li></ul>","uuid":"b0ba1de4-f7ca-4dac-a8bf-b00739acb43a"},{"objectiveType":"","otherId":"pl-8_smt.b","name":"b.","description":"<ul><li>b. Review and update the architectures {{ insert: param, PL-8(b) }} to reflect changes in the enterprise architecture; and</li></ul>","uuid":"f1424372-ea76-4f1d-9ba6-3c71b9384d06"},{"objectiveType":"","otherId":"pl-8_smt.c","name":"c.","description":"<ul><li>c. Reflect planned architecture changes in security and privacy plans, Concept of Operations (CONOPS), criticality analysis, organizational procedures, and procurements and acquisitions.</li></ul>","uuid":"eca94b8c-d53e-4154-8f63-8c46ca047d13"}],"description":"<ul><li>a. Develop security and privacy architectures for the system that:</li><ul><li>1. Describe the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;</li><li>2. Describe the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;</li><li>3. Describe how the architectures are integrated into and support the enterprise architecture; and</li><li>4. Describe any assumptions about, and dependencies on, external systems and services;</li></ul><li>b. Review and update the architectures {{ insert: param, PL-8(b) }} to reflect changes in the enterprise architecture; and</li><li>c. Reflect planned architecture changes in security and privacy plans, Concept of Operations (CONOPS), criticality analysis, organizational procedures, and procurements and acquisitions.</li></ul><br/><strong>Guidance</strong><p>The security and privacy architectures at the system level are consistent with the organization-wide security and privacy architectures described in <a href=\"#pm-7\">PM-7</a> , which are integral to and developed as part of the enterprise architecture. The architectures include an architectural description, the allocation of security and privacy functionality (including controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. The architectures can also include other information, such as user roles and the access privileges assigned to each role; security and privacy requirements; types of information processed, stored, and transmitted by the system; supply chain risk management requirements; restoration priorities of information and system services; and other protection needs.</p><p>\n<a href=\"#e3cc0520-a366-4fc9-abc2-5272db7e3564\">SP 800-160-1</a> provides guidance on the use of security architectures as part of the system development life cycle process. <a href=\"#c5e11048-1d38-4af3-b00b-0d88dc26860c\">OMB M-19-03</a> requires the use of the systems security engineering concepts described in <a href=\"#e3cc0520-a366-4fc9-abc2-5272db7e3564\">SP 800-160-1</a> for high value assets. Security and privacy architectures are reviewed and updated throughout the system development life cycle, from analysis of alternatives through review of the proposed architecture in the RFP responses to the design reviews before and during implementation (e.g., during preliminary design reviews and critical design reviews).</p><p>In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is necessary for developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control a baseline configuration for organizational systems is critical to implementing and maintaining effective architectures. The development of the architectures is coordinated with the senior agency information security officer and the senior agency official for privacy to ensure that the controls needed to support security and privacy requirements are identified and effectively implemented. In many circumstances, there may be no distinction between the security and privacy architecture for a system. In other circumstances, security objectives may be adequately satisfied, but privacy objectives may only be partially satisfied by the security requirements. In these cases, consideration of the privacy requirements needed to achieve satisfaction will result in a distinct privacy architecture. The documentation, however, may simply reflect the combined architectures.</p><p>\n<a href=\"#pl-8\">PL-8</a> is primarily directed at organizations to ensure that architectures are developed for the system and, moreover, that the architectures are integrated with or tightly coupled to the enterprise architecture. In contrast, <a href=\"#sa-17\">SA-17</a> is primarily directed at the external information technology product and system developers and integrators. <a href=\"#sa-17\">SA-17</a> , which is complementary to <a href=\"#pl-8\">PL-8</a> , is selected when organizations outsource the development of systems or components to external entities and when there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures.</p><br/><strong>PL-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(b) Guidance:</b> Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F.</li></ul>","uuid":"d563deea-7713-47ac-9386-f445bc048345","family":"Planning","parameters":[{"constraints":"at least annually and when a significant change occurs","displayName":"","dataType":"","guidance":"frequency for review and update to reflect changes in the enterprise architecture;","uuid":"68afe792-d5a0-4fd9-8971-73222c79785e","otherId":"pl-08_odp","parameterId":"PL-8(b)","text":"frequency","default":"[FedRAMP Assignment: at least annually and when a significant change occurs]"}],"subControls":null,"tests":[{"testId":"PL-08a.01","test":"Assessment Objective: Determine if a security architecture for the system describes the requirements and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.a.1","defaultText":null,"uuid":"59521fd7-e350-438d-8823-7be63d2aee09"},{"testId":"PL-08a.02","test":"Assessment Objective: Determine if a privacy architecture describes the requirements and approach to be taken for processing personally identifiable information to minimize privacy risk to individuals;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.a.2","defaultText":null,"uuid":"d446a656-6cef-4223-867e-d545c9c7c006"},{"testId":"PL-08a.03[01]","test":"Assessment Objective: Determine if a security architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.a.3-1","defaultText":null,"uuid":"4f397726-3a89-4bac-9328-04647cbf41a4"},{"testId":"PL-08a.03[02]","test":"Assessment Objective: Determine if a privacy architecture for the system describes how the architecture is integrated into and supports the enterprise architecture;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.a.3-2","defaultText":null,"uuid":"54ad912f-1fea-4025-9901-f96889b1c012"},{"testId":"PL-08a.04[01]","test":"Assessment Objective: Determine if a security architecture for the system describes any assumptions about and dependencies on external systems and services;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.a.4-1","defaultText":null,"uuid":"0001d0a8-872a-4045-be83-feb744fefa83"},{"testId":"PL-08a.04[02]","test":"Assessment Objective: Determine if a privacy architecture for the system describes any assumptions about and dependencies on external systems and services;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.a.4-2","defaultText":null,"uuid":"44068e71-b5c7-4f7a-b7cd-b48e9abad8d8"},{"testId":"PL-08b.","test":"Assessment Objective: Determine if changes in the enterprise architecture are reviewed and updated {{ insert: param, pl-08_odp }} to reflect changes in the enterprise architecture;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.b","defaultText":null,"uuid":"ba1b49c7-9c8b-4d66-84e7-ad2909db071c"},{"testId":"PL-08c.[01]","test":"Assessment Objective: Determine if planned architecture changes are reflected in the security plan;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.c-1","defaultText":null,"uuid":"4a7d7712-7311-49ec-ba44-b1dc2de230f2"},{"testId":"PL-08c.[02]","test":"Assessment Objective: Determine if planned architecture changes are reflected in the privacy plan;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.c-2","defaultText":null,"uuid":"2ce6b7f4-6cd3-4454-a691-ee3764b2f674"},{"testId":"PL-08c.[03]","test":"Assessment Objective: Determine if planned architecture changes are reflected in the Concept of Operations (CONOPS);<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.c-3","defaultText":null,"uuid":"3ddaf1df-e896-4610-8a85-0534d9821d67"},{"testId":"PL-08c.[04]","test":"Assessment Objective: Determine if planned architecture changes are reflected in criticality analysis;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.c-4","defaultText":null,"uuid":"8375118e-b5c1-4df6-9757-8ec48ef9db7c"},{"testId":"PL-08c.[05]","test":"Assessment Objective: Determine if planned architecture changes are reflected in organizational procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.c-5","defaultText":null,"uuid":"ec33b310-e829-4d88-9d8d-530c7f15ae50"},{"testId":"PL-08c.[06]","test":"Assessment Objective: Determine if planned architecture changes are reflected in procurements and acquisitions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing information security and privacy architecture development.</li><li>Procedures addressing information security and privacy architecture reviews and updates.</li><li>Enterprise architecture documentation.</li><li>Information security and privacy architecture documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Security and privacy conops for the system.</li><li>Records of information security and privacy architecture reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy architecture development responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for developing, reviewing, and updating the information security and privacy architecture.</li><li>Mechanisms supporting and/or implementing the development, review, and update of the information security and privacy architecture.</li></ul>","otherId":"pl-8_obj.c-6","defaultText":null,"uuid":"1f1df298-d3c4-4de2-9db4-32634a4de3e7"}],"weight":1,"title":"PL-08 - Security and Privacy Architectures","enhancements":"","otherId":"pl-8","sortId":"pl-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PL-8"},{"objectives":[{"objectiveType":"","otherId":"pl-10_smt","name":"PL-10","description":"Select a control baseline for the system.","uuid":"a6daf0eb-a397-4fba-8857-98f5412a25e9"}],"description":"<p>Select a control baseline for the system.</p><br/><strong>Guidance</strong><p>Control baselines are predefined sets of controls specifically assembled to address the protection needs of a group, organization, or community of interest. Controls are chosen for baselines to either satisfy mandates imposed by laws, executive orders, directives, regulations, policies, standards, and guidelines or address threats common to all users of the baseline under the assumptions specific to the baseline. Baselines represent a starting point for the protection of individuals’ privacy, information, and information systems with subsequent tailoring actions to manage risk in accordance with mission, business, or other constraints (see <a href=\"#pl-11\">PL-11</a> ). Federal control baselines are provided in <a href=\"#46d9e201-840e-440e-987c-2c773333c752\">SP 800-53B</a> . The selection of a control baseline is determined by the needs of stakeholders. Stakeholder needs consider mission and business requirements as well as mandates imposed by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. For example, the control baselines in <a href=\"#46d9e201-840e-440e-987c-2c773333c752\">SP 800-53B</a> are based on the requirements from <a href=\"#0c67b2a9-bede-43d2-b86d-5f35b8be36e9\">FISMA</a> and <a href=\"#18e71fec-c6fd-475a-925a-5d8495cf8455\">PRIVACT</a> . The requirements, along with the NIST standards and guidelines implementing the legislation, direct organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on the system; analyzing the potential adverse impact of the loss or compromise of the information or system on the organization’s operations and assets, individuals, other organizations, or the Nation; and considering the results from system and organizational risk assessments. <a href=\"#4e4fbc93-333d-45e6-a875-de36b878b6b9\">CNSSI 1253</a> provides guidance on control baselines for national security systems.</p><br/><strong>PL-10 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> Select the appropriate FedRAMP Baseline</li></ul>","uuid":"595e3603-fd6b-433f-901b-64befab3e4d6","family":"Planning","parameters":[],"subControls":null,"tests":[{"testId":"PL-10","test":"Assessment Objective: Determine if a control baseline for the system is selected.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>Procedures addressing system security and privacy plan reviews and updates.</li><li>System design documentation.</li><li>System architecture and configuration documentation.</li><li>System categorization decision.</li><li>Information types stored, transmitted, and processed by the system.</li><li>System element/component information.</li><li>Stakeholder needs analysis.</li><li>List of security and privacy requirements allocated to the system, system elements, and environment of operation.</li><li>List of contractual requirements allocated to external providers of the system or system element.</li><li>Business impact analysis or criticality analysis.</li><li>Risk assessments.</li><li>Risk management strategy.</li><li>Organizational security and privacy policy.</li><li>Federal or organization-approved or mandated baselines or overlays.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with responsibility for organizational risk management activities.</li></ul>","otherId":"pl-10_obj","defaultText":null,"uuid":"a2abbc43-5003-46ef-833e-7247fcc6508b"}],"weight":1,"title":"PL-10 - Baseline Selection","enhancements":"","otherId":"pl-10","sortId":"pl-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PL-10"},{"objectives":[{"objectiveType":"","otherId":"pl-11_smt","name":"PL-11","description":"Tailor the selected control baseline by applying specified tailoring actions.","uuid":"34a76634-b477-474f-819c-aafcabd8047a"}],"description":"<p>Tailor the selected control baseline by applying specified tailoring actions.</p><br/><strong>Guidance</strong><p>The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. Tailoring actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific mission and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. Tailoring guidance is provided in <a href=\"#46d9e201-840e-440e-987c-2c773333c752\">SP 800-53B</a> . Tailoring a control baseline is accomplished by identifying and designating common controls, applying scoping considerations, selecting compensating controls, assigning values to control parameters, supplementing the control baseline with additional controls as needed, and providing information for control implementation. The general tailoring actions in <a href=\"#46d9e201-840e-440e-987c-2c773333c752\">SP 800-53B</a> can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in <a href=\"#46d9e201-840e-440e-987c-2c773333c752\">SP 800-53B</a> in accordance with the security and privacy requirements from <a href=\"#0c67b2a9-bede-43d2-b86d-5f35b8be36e9\">FISMA</a>, <a href=\"#18e71fec-c6fd-475a-925a-5d8495cf8455\">PRIVACT</a> , and <a href=\"#27847491-5ce1-4f6a-a1e4-9e483782f0ef\">OMB A-130</a> . Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in <a href=\"#46d9e201-840e-440e-987c-2c773333c752\">SP 800-53B</a> to specialize or customize the controls that represent the specific needs and concerns of those entities.</p>","uuid":"cd04317f-138b-4d89-bfc0-eef7f2e4c5d8","family":"Planning","parameters":[],"subControls":null,"tests":[{"testId":"PL-11","test":"Assessment Objective: Determine if the selected control baseline is tailored by applying specified tailoring actions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Security and privacy planning policy.</li><li>Procedures addressing system security and privacy plan development and implementation.</li><li>System design documentation.</li><li>System categorization decision.</li><li>Information types stored, transmitted, and processed by the system.</li><li>System element/component information.</li><li>Stakeholder needs analysis.</li><li>List of security and privacy requirements allocated to the system, system elements, and environment of operation.</li><li>List of contractual requirements allocated to external providers of the system or system element.</li><li>Business impact analysis or criticality analysis.</li><li>Risk assessments.</li><li>Risk management strategy.</li><li>Organizational security and privacy policy.</li><li>Federal or organization-approved or mandated baselines or overlays.</li><li>Baseline tailoring rationale.</li><li>System security plan.</li><li>Privacy plan.</li><li>Records of system security and privacy plan reviews and updates.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy planning and plan implementation responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"pl-11_obj","defaultText":null,"uuid":"4200fd50-1e6b-462f-b845-ee05855098ac"}],"weight":1,"title":"PL-11 - Baseline Tailoring","enhancements":"","otherId":"pl-11","sortId":"pl-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PL-11"},{"objectives":[{"objectiveType":"","otherId":"ps-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, PS-1(a) }}:</li><ul><li>1. {{ insert: param, PS-1(a)(1) }} personnel security policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;</li></ul>","uuid":"dfb8b044-2ad4-472f-8c6f-0d95a4df7dc9"},{"objectiveType":"","otherId":"ps-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, PS-1(b) }} to manage the development, documentation, and dissemination of the personnel security policy and procedures; and</li></ul>","uuid":"ab7a6538-9264-478f-8901-6aea17b36d48"},{"objectiveType":"","otherId":"ps-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current personnel security:</li><ul><li>1. Policy {{ insert: param, PS-1(c)(1)-1 }} and following {{ insert: param, PS-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, PS-1(c)(2)-1 }} and following {{ insert: param, PS-1(c)(2)-2 }}.</li></ul>","uuid":"e6201f08-20ac-422d-897a-41d9b907dd33"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, PS-1(a) }}:</li><ul><li>1. {{ insert: param, PS-1(a)(1) }} personnel security policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;</li></ul><li>b. Designate an {{ insert: param, PS-1(b) }} to manage the development, documentation, and dissemination of the personnel security policy and procedures; and</li><li>c. Review and update the current personnel security:</li><ul><li>1. Policy {{ insert: param, PS-1(c)(1)-1 }} and following {{ insert: param, PS-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, PS-1(c)(2)-1 }} and following {{ insert: param, PS-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Personnel security policy and procedures for the controls in the PS family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on their development. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission level or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission/business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to personnel security policy and procedures include, but are not limited to, assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"51154a0c-78e5-4131-8c83-3524c502da38","family":"Personnel Security","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"227c450f-7fec-4345-9fb8-cf232a133c6e","otherId":"ps-1_prm_1","parameterId":"PS-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"44c57f5b-869a-4baa-95dd-ac37a69b2c35","otherId":"ps-01_odp.03","parameterId":"PS-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the personnel security policy and procedures is defined;","uuid":"9e9fe11e-c4ac-4dab-84a6-bfc9914c084d","otherId":"ps-01_odp.04","parameterId":"PS-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current personnel security policy is reviewed and updated is defined;","uuid":"7eeddf8d-a383-4552-a649-8556b5188c35","otherId":"ps-01_odp.05","parameterId":"PS-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current personnel security policy to be reviewed and updated are defined;","uuid":"06c8949f-1cea-4980-927a-6a24bc3c1e7e","otherId":"ps-01_odp.06","parameterId":"PS-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current personnel security procedures are reviewed and updated is defined;","uuid":"58aa453b-58be-4436-8563-4f344d83b0b3","otherId":"ps-01_odp.07","parameterId":"PS-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require the personnel security procedures to be reviewed and updated are defined;","uuid":"82ccfa3c-8ee9-44a4-a641-3a3f823c7e24","otherId":"ps-01_odp.08","parameterId":"PS-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"PS-01a.[01]","test":"Assessment Objective: Determine if a personnel security policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a-1","defaultText":null,"uuid":"e63e1c8e-6548-4b99-8669-114cef277b1e"},{"testId":"PS-01a.[02]","test":"Assessment Objective: Determine if the personnel security policy is disseminated to {{ insert: param, ps-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a-2","defaultText":null,"uuid":"e87b3153-770d-401d-bc7b-be2f5c49c7d2"},{"testId":"PS-01a.[03]","test":"Assessment Objective: Determine if personnel security procedures to facilitate the implementation of the personnel security policy and associated personnel security controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a-3","defaultText":null,"uuid":"3bd0f6c3-1841-470d-8611-996c9be192e2"},{"testId":"PS-01a.[04]","test":"Assessment Objective: Determine if the personnel security procedures are disseminated to {{ insert: param, ps-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a-4","defaultText":null,"uuid":"ee67d341-51e7-499b-bb96-c2de923337f5"},{"testId":"PS-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.a-1","defaultText":null,"uuid":"c984627c-3a67-4a1f-9220-ce19d8f3ef31"},{"testId":"PS-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.a-2","defaultText":null,"uuid":"79055641-ce66-4cdc-bd18-dceb04e47ba6"},{"testId":"PS-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.a-3","defaultText":null,"uuid":"3ee53075-b42c-4223-9634-9920a3305b32"},{"testId":"PS-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.a-4","defaultText":null,"uuid":"baa595a6-1866-489c-8870-e2b3b7b1999d"},{"testId":"PS-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.a-5","defaultText":null,"uuid":"e57641f3-b5dd-41d5-85ec-30fc9dd01974"},{"testId":"PS-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.a-6","defaultText":null,"uuid":"e91455d7-7986-4f81-afde-a00efb991ce1"},{"testId":"PS-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.a-7","defaultText":null,"uuid":"37d4717a-e3a5-4644-a8b8-c05b8a83739a"},{"testId":"PS-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.03 }} personnel security policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.a.1.b","defaultText":null,"uuid":"7bef5d8a-a49c-41d4-9442-f2b6a4c5e6f0"},{"testId":"PS-01b.","test":"Assessment Objective: Determine if the {{ insert: param, ps-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the personnel security policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.b","defaultText":null,"uuid":"6092e6ee-6498-4e06-b208-ecef15b39aeb"},{"testId":"PS-01c.01[01]","test":"Assessment Objective: Determine if the current personnel security policy is reviewed and updated {{ insert: param, ps-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.c.1-1","defaultText":null,"uuid":"746a1fee-0bbc-4d66-98a0-e9d9a23d2c49"},{"testId":"PS-01c.01[02]","test":"Assessment Objective: Determine if the current personnel security policy is reviewed and updated following {{ insert: param, ps-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.c.1-2","defaultText":null,"uuid":"04204d41-0ca1-49b1-89f6-6330b5509e64"},{"testId":"PS-01c.02[01]","test":"Assessment Objective: Determine if the current personnel security procedures are reviewed and updated {{ insert: param, ps-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.c.2-1","defaultText":null,"uuid":"b3ef1ac5-97b9-4b9d-8a56-97a8fba90612"},{"testId":"PS-01c.02[02]","test":"Assessment Objective: Determine if the current personnel security procedures are reviewed and updated following {{ insert: param, ps-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"ps-1_obj.c.2-2","defaultText":null,"uuid":"abded5de-501f-41b9-b881-671d851beac8"}],"weight":1,"title":"PS-01 - Policy and Procedures","enhancements":"","otherId":"ps-1","sortId":"ps-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-1"},{"objectives":[{"objectiveType":"","otherId":"ps-2_smt.a","name":"a.","description":"<ul><li>a. Assign a risk designation to all organizational positions;</li></ul>","uuid":"358eb5c4-6659-43eb-a8d4-f742dc75a88f"},{"objectiveType":"","otherId":"ps-2_smt.b","name":"b.","description":"<ul><li>b. Establish screening criteria for individuals filling those positions; and</li></ul>","uuid":"b1f18390-f5b4-4973-aef2-05d7d2329d37"},{"objectiveType":"","otherId":"ps-2_smt.c","name":"c.","description":"<ul><li>c. Review and update position risk designations {{ insert: param, PS-2(c) }}.</li></ul>","uuid":"33baf51e-2845-4afd-9cba-9200f5e27dc9"}],"description":"<ul><li>a. Assign a risk designation to all organizational positions;</li><li>b. Establish screening criteria for individuals filling those positions; and</li><li>c. Review and update position risk designations {{ insert: param, PS-2(c) }}.</li></ul><br/><strong>Guidance</strong><p>Position risk designations reflect Office of Personnel Management (OPM) policy and guidance. Proper position designation is the foundation of an effective and consistent suitability and personnel security program. The Position Designation System (PDS) assesses the duties and responsibilities of a position to determine the degree of potential damage to the efficiency or integrity of the service due to misconduct of an incumbent of a position and establishes the risk level of that position. The PDS assessment also determines if the duties and responsibilities of the position present the potential for position incumbents to bring about a material adverse effect on national security and the degree of that potential effect, which establishes the sensitivity level of a position. The results of the assessment determine what level of investigation is conducted for a position. Risk designations can guide and inform the types of authorizations that individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements. Parts 1400 and 731 of Title 5, Code of Federal Regulations, establish the requirements for organizations to evaluate relevant covered positions for a position sensitivity and position risk designation commensurate with the duties and responsibilities of those positions.</p>","uuid":"21307079-2c7e-4cc7-a930-04bbedc05155","family":"Personnel Security","parameters":[{"constraints":"at least every three years","displayName":"","dataType":"","guidance":"the frequency at which to review and update position risk designations is defined;","uuid":"3df1a833-652a-47a4-a9d2-21e042579edf","otherId":"ps-02_odp","parameterId":"PS-2(c)","text":"frequency","default":"[FedRAMP Assignment: at least every three years]"}],"subControls":null,"tests":[{"testId":"PS-02a.","test":"Assessment Objective: Determine if a risk designation is assigned to all organizational positions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing position categorization.</li><li>Appropriate codes of federal regulations.</li><li>List of risk designations for organizational positions.</li><li>Records of position risk designation reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assigning, reviewing, and updating position risk designations.</li><li>Organizational processes for establishing screening criteria.</li></ul>","otherId":"ps-2_obj.a","defaultText":null,"uuid":"ebab4cd9-f701-43ab-91b4-29c7efde0b4e"},{"testId":"PS-02b.","test":"Assessment Objective: Determine if screening criteria are established for individuals filling organizational positions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing position categorization.</li><li>Appropriate codes of federal regulations.</li><li>List of risk designations for organizational positions.</li><li>Records of position risk designation reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assigning, reviewing, and updating position risk designations.</li><li>Organizational processes for establishing screening criteria.</li></ul>","otherId":"ps-2_obj.b","defaultText":null,"uuid":"7de8e2b2-db1a-4a4a-9705-9ae7cd329c11"},{"testId":"PS-02c.","test":"Assessment Objective: Determine if position risk designations are reviewed and updated {{ insert: param, ps-02_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing position categorization.</li><li>Appropriate codes of federal regulations.</li><li>List of risk designations for organizational positions.</li><li>Records of position risk designation reviews and updates.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assigning, reviewing, and updating position risk designations.</li><li>Organizational processes for establishing screening criteria.</li></ul>","otherId":"ps-2_obj.c","defaultText":null,"uuid":"662a46de-99f9-4354-8e2b-6596f7c1795f"}],"weight":1,"title":"PS-02 - Position Risk Designation","enhancements":"","otherId":"ps-2","sortId":"ps-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-2"},{"objectives":[{"objectiveType":"","otherId":"ps-3.3_smt.a","name":"(a)","description":"<ul><li>(a) Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection: Have valid access authorizations that are demonstrated by assigned official government duties; and</li></ul>","uuid":"b7b7a56d-e5f1-4ec2-96c8-85b6523fa09a"},{"objectiveType":"","otherId":"ps-3.3_smt.b","name":"(b)","description":"<ul><li>(b) Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection: Satisfy {{ insert: param, PS-3(3)(b) }}.</li></ul>","uuid":"3d2de063-aac6-4fd3-a8a5-6108dbf726de"}],"description":"<p>Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:</p><ul><li>(a) Have valid access authorizations that are demonstrated by assigned official government duties; and</li><li>(b) Satisfy {{ insert: param, PS-3(3)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Organizational information that requires special protection includes controlled unclassified information. Personnel security criteria include position sensitivity background screening requirements.</p>","uuid":"0af0d8dc-e147-41ef-96d6-d028367829b4","family":"Personnel Security","parameters":[{"constraints":"personnel screening criteria - as required by specific information","displayName":"","dataType":"","guidance":"additional personnel screening criteria to be satisfied for individuals accessing a system processing, storing, or transmitting information requiring special protection are defined;","uuid":"0fd2463a-f157-4a1a-bca0-a193a9076438","otherId":"ps-03.03_odp","parameterId":"PS-3(3)(b)","text":"additional personnel screening criteria","default":"[FedRAMP Assignment: personnel screening criteria - as required by specific information]"}],"subControls":null,"tests":[{"testId":"PS-03(03)(a)","test":"Assessment Objective: Determine if individuals accessing a system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Access control policy, procedures addressing personnel screening.</li><li>Records of screened personnel.</li><li>Screening criteria.</li><li>Records of access authorizations.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for ensuring valid access authorizations for information requiring special protection.</li><li>Organizational process for additional personnel screening for information requiring special protection.</li></ul>","otherId":"ps-3.3_obj.a","defaultText":null,"uuid":"75d78cb6-dee4-4a91-b938-e5465b292d8b"},{"testId":"PS-03(03)(b)","test":"Assessment Objective: Determine if individuals accessing a system processing, storing, or transmitting information requiring special protection satisfy {{ insert: param, ps-03.03_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Access control policy, procedures addressing personnel screening.</li><li>Records of screened personnel.</li><li>Screening criteria.</li><li>Records of access authorizations.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for ensuring valid access authorizations for information requiring special protection.</li><li>Organizational process for additional personnel screening for information requiring special protection.</li></ul>","otherId":"ps-3.3_obj.b","defaultText":null,"uuid":"e9d33866-728d-4a1b-b749-d7d09399b525"}],"weight":1,"title":"PS-03(03) - Information Requiring Special Protective Measures","enhancements":null,"otherId":"ps-3.3","sortId":"ps-03.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-3(3)"},{"objectives":[{"objectiveType":"","otherId":"ps-3_smt.a","name":"a.","description":"<ul><li>a. Screen individuals prior to authorizing access to the system; and</li></ul>","uuid":"841cbe8f-7eb4-4e51-a8b5-34b9ce0fb62e"},{"objectiveType":"","otherId":"ps-3_smt.b","name":"b.","description":"<ul><li>b. Rescreen individuals in accordance with {{ insert: param, PS-3(b) }}.</li></ul>","uuid":"8ed95450-ba70-429b-a749-670ceef97239"}],"description":"<ul><li>a. Screen individuals prior to authorizing access to the system; and</li><li>b. Rescreen individuals in accordance with {{ insert: param, PS-3(b) }}.</li></ul><br/><strong>Guidance</strong><p>Personnel screening and rescreening activities reflect applicable laws, executive orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Examples of personnel screening include background investigations and agency checks. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems.</p>","uuid":"d7c73a68-9161-48af-8221-0c6b518b3cab","family":"Personnel Security","parameters":[{"constraints":"for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance.\nFor moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions","displayName":"","dataType":"","guidance":"","uuid":"4dc738bf-cdde-4c4a-9cf5-a2bdcae43eb0","otherId":"ps-3_prm_1","parameterId":"PS-3(b)","text":"organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening","default":"[FedRAMP Assignment: for national security clearances; a reinvestigation is required during the fifth (5th) year for top secret security clearance, the tenth (10th) year for secret security clearance, and fifteenth (15th) year for confidential security clearance.\nFor moderate risk law enforcement and high impact public trust level, a reinvestigation is required during the fifth (5th) year. There is no reinvestigation for other moderate risk positions or any low risk positions]"}],"subControls":null,"tests":[{"testId":"PS-03a.","test":"Assessment Objective: Determine if individuals are screened prior to authorizing access to the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel screening.</li><li>Records of screened personnel.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel screening.</li></ul>","otherId":"ps-3_obj.a","defaultText":null,"uuid":"b884e7cd-0b1e-46d7-84ec-36040c938e49"},{"testId":"PS-03b.[01]","test":"Assessment Objective: Determine if individuals are rescreened in accordance with {{ insert: param, ps-03_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel screening.</li><li>Records of screened personnel.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel screening.</li></ul>","otherId":"ps-3_obj.b-1","defaultText":null,"uuid":"590714f7-87db-4718-8dbf-2ae048581360"},{"testId":"PS-03b.[02]","test":"Assessment Objective: Determine if where rescreening is so indicated, individuals are rescreened {{ insert: param, ps-03_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel screening.</li><li>Records of screened personnel.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel screening.</li></ul>","otherId":"ps-3_obj.b-2","defaultText":null,"uuid":"0f43fedd-fefa-443c-be8f-1aa75b96aee6"}],"weight":1,"title":"PS-03 - Personnel Screening","enhancements":"<strong>Enhancements</strong><ul><li>PS-3(3) - Information Requiring Special Protective Measures</li></ul>","otherId":"ps-3","sortId":"ps-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-3"},{"objectives":[{"objectiveType":"","otherId":"ps-4_smt.a","name":"a.","description":"<ul><li>a. Upon termination of individual employment: Disable system access within {{ insert: param, PS-4(a) }};</li></ul>","uuid":"5988647e-baa7-42c3-967a-2410eba1e621"},{"objectiveType":"","otherId":"ps-4_smt.b","name":"b.","description":"<ul><li>b. Upon termination of individual employment: Terminate or revoke any authenticators and credentials associated with the individual;</li></ul>","uuid":"9571c5c4-9bc5-4fc8-9ab1-f5d5d739610c"},{"objectiveType":"","otherId":"ps-4_smt.c","name":"c.","description":"<ul><li>c. Upon termination of individual employment: Conduct exit interviews that include a discussion of {{ insert: param, PS-4(c) }};</li></ul>","uuid":"88bfa87e-683b-4d68-87f0-81da08661db7"},{"objectiveType":"","otherId":"ps-4_smt.d","name":"d.","description":"<ul><li>d. Upon termination of individual employment: Retrieve all security-related organizational system-related property; and</li></ul>","uuid":"9f5fcc77-9f86-45eb-8465-d4b38b07dee2"},{"objectiveType":"","otherId":"ps-4_smt.e","name":"e.","description":"<ul><li>e. Upon termination of individual employment: Retain access to organizational information and systems formerly controlled by terminated individual.</li></ul>","uuid":"938c00ea-98c6-4795-943c-316c8bdd5d75"}],"description":"<p>Upon termination of individual employment:</p><ul><li>a. Disable system access within {{ insert: param, PS-4(a) }};</li><li>b. Terminate or revoke any authenticators and credentials associated with the individual;</li><li>c. Conduct exit interviews that include a discussion of {{ insert: param, PS-4(c) }};</li><li>d. Retrieve all security-related organizational system-related property; and</li><li>e. Retain access to organizational information and systems formerly controlled by terminated individual.</li></ul><br/><strong>Guidance</strong><p>System property includes hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for system-related property. Security topics at exit interviews include reminding individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not always be possible for some individuals, including in cases related to the unavailability of supervisors, illnesses, or job abandonment. Exit interviews are important for individuals with security clearances. The timely execution of termination actions is essential for individuals who have been terminated for cause. In certain situations, organizations consider disabling the system accounts of individuals who are being terminated prior to the individuals being notified.</p>","uuid":"e916750a-c728-4b8c-97ad-db6ea9abf760","family":"Personnel Security","parameters":[{"constraints":"four (4) hours","displayName":"","dataType":"","guidance":"a time period within which to disable system access is defined;","uuid":"e556cc9c-461e-4d09-9fda-08c1ddb6a942","otherId":"ps-04_odp.01","parameterId":"PS-4(a)","text":"time period","default":"[FedRAMP Assignment: four (4) hours]"},{"constraints":"","displayName":"","dataType":"","guidance":"information security topics to be discussed when conducting exit interviews are defined;","uuid":"de126eb8-bb90-413c-9af1-41da7ddf7ae8","otherId":"ps-04_odp.02","parameterId":"PS-4(c)","text":"information security topics","default":" [Assignment: organization-defined information security topics] "}],"subControls":null,"tests":[{"testId":"PS-04a.","test":"Assessment Objective: Determine if upon termination of individual employment, system access is disabled within {{ insert: param, ps-04_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel termination.</li><li>Records of personnel termination actions.</li><li>List of system accounts.</li><li>Records of terminated or revoked authenticators/credentials.</li><li>Records of exit interviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel termination.</li><li>Mechanisms supporting and/or implementing personnel termination notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-4_obj.a","defaultText":null,"uuid":"cbf87a05-346f-4205-8190-3de1fee81cc9"},{"testId":"PS-04b.","test":"Assessment Objective: Determine if upon termination of individual employment, any authenticators and credentials are terminated or revoked;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel termination.</li><li>Records of personnel termination actions.</li><li>List of system accounts.</li><li>Records of terminated or revoked authenticators/credentials.</li><li>Records of exit interviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel termination.</li><li>Mechanisms supporting and/or implementing personnel termination notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-4_obj.b","defaultText":null,"uuid":"bc33eeb3-4a8e-4790-a219-a0ffef9a5db1"},{"testId":"PS-04c.","test":"Assessment Objective: Determine if upon termination of individual employment, exit interviews that include a discussion of {{ insert: param, ps-04_odp.02 }} are conducted;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel termination.</li><li>Records of personnel termination actions.</li><li>List of system accounts.</li><li>Records of terminated or revoked authenticators/credentials.</li><li>Records of exit interviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel termination.</li><li>Mechanisms supporting and/or implementing personnel termination notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-4_obj.c","defaultText":null,"uuid":"4a02e5bc-20d1-47ed-890d-9e1d30dd387c"},{"testId":"PS-04d.","test":"Assessment Objective: Determine if upon termination of individual employment, all security-related organizational system-related property is retrieved;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel termination.</li><li>Records of personnel termination actions.</li><li>List of system accounts.</li><li>Records of terminated or revoked authenticators/credentials.</li><li>Records of exit interviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel termination.</li><li>Mechanisms supporting and/or implementing personnel termination notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-4_obj.d","defaultText":null,"uuid":"9f8c7880-2af9-425e-bc66-92b2fdbbfdbc"},{"testId":"PS-04e.","test":"Assessment Objective: Determine if upon termination of individual employment, access to organizational information and systems formerly controlled by the terminated individual are retained.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel termination.</li><li>Records of personnel termination actions.</li><li>List of system accounts.</li><li>Records of terminated or revoked authenticators/credentials.</li><li>Records of exit interviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel termination.</li><li>Mechanisms supporting and/or implementing personnel termination notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-4_obj.e","defaultText":null,"uuid":"1a0f74a7-1942-403d-a08e-ce8d7510a270"}],"weight":1,"title":"PS-04 - Personnel Termination","enhancements":"","otherId":"ps-4","sortId":"ps-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-4"},{"objectives":[{"objectiveType":"","otherId":"ps-5_smt.a","name":"a.","description":"<ul><li>a. Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;</li></ul>","uuid":"047996b3-16cc-426a-8223-febc2bde8128"},{"objectiveType":"","otherId":"ps-5_smt.b","name":"b.","description":"<ul><li>b. Initiate {{ insert: param, PS-5(b)-1 }} within {{ insert: param, PS-5(b)-2 }};</li></ul>","uuid":"e3800df1-14b5-44d6-9300-702116801cef"},{"objectiveType":"","otherId":"ps-5_smt.c","name":"c.","description":"<ul><li>c. Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and</li></ul>","uuid":"d6da5a42-a92b-4375-a293-b7afe3dda2ff"},{"objectiveType":"","otherId":"ps-5_smt.d","name":"d.","description":"<ul><li>d. Notify {{ insert: param, PS-5(d)-1 }} within {{ insert: param, PS-5(d)-2 }}.</li></ul>","uuid":"3bfc5514-1c8c-4d67-b095-3d20f16c9bee"}],"description":"<ul><li>a. Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;</li><li>b. Initiate {{ insert: param, PS-5(b)-1 }} within {{ insert: param, PS-5(b)-2 }};</li><li>c. Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and</li><li>d. Notify {{ insert: param, PS-5(d)-1 }} within {{ insert: param, PS-5(d)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Personnel transfer applies when reassignments or transfers of individuals are permanent or of such extended duration as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts.</p>","uuid":"98a5160f-f4ef-4ae6-a282-6114bd2b37b7","family":"Personnel Security","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"transfer or reassignment actions to be initiated following transfer or reassignment are defined;","uuid":"cd26d637-8490-43e7-afcb-3a2e676584a5","otherId":"ps-05_odp.01","parameterId":"PS-5(b)-1","text":"transfer or reassignment actions","default":" [Assignment: organization-defined transfer or reassignment actions] "},{"constraints":"twenty-four (24) hours","displayName":"","dataType":"","guidance":"the time period within which transfer or reassignment actions must occur following transfer or reassignment is defined;","uuid":"aac5b295-4bf6-4eac-b13c-deb8549aac9f","otherId":"ps-05_odp.02","parameterId":"PS-5(b)-2","text":"time period following the formal transfer action","default":"[FedRAMP Assignment: twenty-four (24) hours]"},{"constraints":"including access control personnel responsible for the system","displayName":"","dataType":"","guidance":"personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization is/are defined;","uuid":"12138519-e24d-4159-bdae-3a7cce6b9a8e","otherId":"ps-05_odp.03","parameterId":"PS-5(d)-1","text":"personnel or roles","default":"[FedRAMP Assignment: including access control personnel responsible for the system]"},{"constraints":"twenty-four (24) hours","displayName":"","dataType":"","guidance":"time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization is defined;","uuid":"9b1aab5e-10d1-4260-acb9-c3b9f7c7647d","otherId":"ps-05_odp.04","parameterId":"PS-5(d)-2","text":"time period","default":"[FedRAMP Assignment: twenty-four (24) hours]"}],"subControls":null,"tests":[{"testId":"PS-05a.","test":"Assessment Objective: Determine if the ongoing operational need for current logical and physical access authorizations to systems and facilities are reviewed and confirmed when individuals are reassigned or transferred to other positions within the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel transfer.</li><li>Records of personnel transfer actions.</li><li>List of system and facility access authorizations.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel transfer.</li><li>Mechanisms supporting and/or implementing personnel transfer notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-5_obj.a","defaultText":null,"uuid":"7db53427-b335-4441-a9ea-bf17a070b804"},{"testId":"PS-05b.","test":"Assessment Objective: Determine if \n{{ insert: param, ps-05_odp.01 }} are initiated within {{ insert: param, ps-05_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel transfer.</li><li>Records of personnel transfer actions.</li><li>List of system and facility access authorizations.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel transfer.</li><li>Mechanisms supporting and/or implementing personnel transfer notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-5_obj.b","defaultText":null,"uuid":"24a970af-e93c-4538-b8d2-a25ef9cca0a3"},{"testId":"PS-05c.","test":"Assessment Objective: Determine if access authorization is modified as needed to correspond with any changes in operational need due to reassignment or transfer;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel transfer.</li><li>Records of personnel transfer actions.</li><li>List of system and facility access authorizations.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel transfer.</li><li>Mechanisms supporting and/or implementing personnel transfer notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-5_obj.c","defaultText":null,"uuid":"969905f2-64a3-4d44-b1f1-18b6bbeace6e"},{"testId":"PS-05d.","test":"Assessment Objective: Determine if \n{{ insert: param, ps-05_odp.03 }} are notified within {{ insert: param, ps-05_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing personnel transfer.</li><li>Records of personnel transfer actions.</li><li>List of system and facility access authorizations.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with account management responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for personnel transfer.</li><li>Mechanisms supporting and/or implementing personnel transfer notifications.</li><li>Mechanisms for disabling system access/revoking authenticators.</li></ul>","otherId":"ps-5_obj.d","defaultText":null,"uuid":"7c4a934d-5fd9-44ca-acd8-3222efda2b69"}],"weight":1,"title":"PS-05 - Personnel Transfer","enhancements":"","otherId":"ps-5","sortId":"ps-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-5"},{"objectives":[{"objectiveType":"","otherId":"ps-6_smt.a","name":"a.","description":"<ul><li>a. Develop and document access agreements for organizational systems;</li></ul>","uuid":"20fd47bf-7464-4114-aa47-b8cac3d20574"},{"objectiveType":"","otherId":"ps-6_smt.b","name":"b.","description":"<ul><li>b. Review and update the access agreements {{ insert: param, PS-6(b) }} ; and</li></ul>","uuid":"1b0922d3-f6b7-401f-85b6-8071a6771c96"},{"objectiveType":"","otherId":"ps-6_smt.c","name":"c.","description":"<ul><li>c. Verify that individuals requiring access to organizational information and systems:</li><ul><li>1. Sign appropriate access agreements prior to being granted access; and</li><li>2. Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, PS-6(c)(2) }}.</li></ul>","uuid":"fe46cefe-5f04-43ae-a990-5a1f9172e186"}],"description":"<ul><li>a. Develop and document access agreements for organizational systems;</li><li>b. Review and update the access agreements {{ insert: param, PS-6(b) }} ; and</li><li>c. Verify that individuals requiring access to organizational information and systems:</li><ul><li>1. Sign appropriate access agreements prior to being granted access; and</li><li>2. Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, PS-6(c)(2) }}.</li></ul><br/><strong>Guidance</strong><p>Access agreements include nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.</p>","uuid":"b1e7333d-a99e-4ca0-9d6f-61d37c8547e7","family":"Personnel Security","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to review and update access agreements is defined;","uuid":"7c4983a9-b49f-441e-8539-2c295f33399f","otherId":"ps-06_odp.01","parameterId":"PS-6(b)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"at least annually and any time there is a change to the user's level of access","displayName":"","dataType":"","guidance":"the frequency at which to re-sign access agreements to maintain access to organizational information is defined;","uuid":"a00783b9-00f2-4e05-97a0-a23072168041","otherId":"ps-06_odp.02","parameterId":"PS-6(c)(2)","text":"frequency","default":"[FedRAMP Assignment: at least annually and any time there is a change to the user's level of access]"}],"subControls":null,"tests":[{"testId":"PS-06a.","test":"Assessment Objective: Determine if access agreements are developed and documented for organizational systems;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing access agreements for organizational information and systems.</li><li>Access control policy.</li><li>Access control procedures.</li><li>Access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements).</li><li>Documentation of access agreement reviews, updates, and re-signing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel who have signed/resigned access agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing, updating, and re-signing access agreements.</li><li>Mechanisms supporting the reviewing, updating, and re-signing of access agreements.</li></ul>","otherId":"ps-6_obj.a","defaultText":null,"uuid":"963582e2-c1ee-4df9-b25d-1691679ecf9f"},{"testId":"PS-06b.","test":"Assessment Objective: Determine if the access agreements are reviewed and updated {{ insert: param, ps-06_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing access agreements for organizational information and systems.</li><li>Access control policy.</li><li>Access control procedures.</li><li>Access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements).</li><li>Documentation of access agreement reviews, updates, and re-signing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel who have signed/resigned access agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing, updating, and re-signing access agreements.</li><li>Mechanisms supporting the reviewing, updating, and re-signing of access agreements.</li></ul>","otherId":"ps-6_obj.b","defaultText":null,"uuid":"6817e2c7-dceb-4abe-af36-e81b917257f7"},{"testId":"PS-06c.01","test":"Assessment Objective: Determine if individuals requiring access to organizational information and systems sign appropriate access agreements prior to being granted access;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing access agreements for organizational information and systems.</li><li>Access control policy.</li><li>Access control procedures.</li><li>Access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements).</li><li>Documentation of access agreement reviews, updates, and re-signing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel who have signed/resigned access agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing, updating, and re-signing access agreements.</li><li>Mechanisms supporting the reviewing, updating, and re-signing of access agreements.</li></ul>","otherId":"ps-6_obj.c.1","defaultText":null,"uuid":"68e76154-3a79-4110-85f9-a6a058a87904"},{"testId":"PS-06c.02","test":"Assessment Objective: Determine if individuals requiring access to organizational information and systems re-sign access agreements to maintain access to organizational systems when access agreements have been updated or {{ insert: param, ps-06_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing access agreements for organizational information and systems.</li><li>Access control policy.</li><li>Access control procedures.</li><li>Access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements).</li><li>Documentation of access agreement reviews, updates, and re-signing.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel who have signed/resigned access agreements.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for reviewing, updating, and re-signing access agreements.</li><li>Mechanisms supporting the reviewing, updating, and re-signing of access agreements.</li></ul>","otherId":"ps-6_obj.c.2","defaultText":null,"uuid":"07e3f9b5-34ef-429c-b31c-80bd7d281438"}],"weight":1,"title":"PS-06 - Access Agreements","enhancements":"","otherId":"ps-6","sortId":"ps-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-6"},{"objectives":[{"objectiveType":"","otherId":"ps-7_smt.a","name":"a.","description":"<ul><li>a. Establish personnel security requirements, including security roles and responsibilities for external providers;</li></ul>","uuid":"e23ed595-a800-4a96-a95d-490c60794a3f"},{"objectiveType":"","otherId":"ps-7_smt.b","name":"b.","description":"<ul><li>b. Require external providers to comply with personnel security policies and procedures established by the organization;</li></ul>","uuid":"7e7e7e3a-be78-43fd-891c-278257890dd2"},{"objectiveType":"","otherId":"ps-7_smt.c","name":"c.","description":"<ul><li>c. Document personnel security requirements;</li></ul>","uuid":"3a851dc1-df36-4d1c-9760-2c830b8156d7"},{"objectiveType":"","otherId":"ps-7_smt.d","name":"d.","description":"<ul><li>d. Require external providers to notify {{ insert: param, PS-7(d)-1 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within {{ insert: param, PS-7(d)-2 }} ; and</li></ul>","uuid":"6cdfca61-f815-435d-b9e8-e7891eccf307"},{"objectiveType":"","otherId":"ps-7_smt.e","name":"e.","description":"<ul><li>e. Monitor provider compliance with personnel security requirements.</li></ul>","uuid":"92d6e168-d6ff-4620-9847-3cf26b30eeaf"}],"description":"<ul><li>a. Establish personnel security requirements, including security roles and responsibilities for external providers;</li><li>b. Require external providers to comply with personnel security policies and procedures established by the organization;</li><li>c. Document personnel security requirements;</li><li>d. Require external providers to notify {{ insert: param, PS-7(d)-1 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within {{ insert: param, PS-7(d)-2 }} ; and</li><li>e. Monitor provider compliance with personnel security requirements.</li></ul><br/><strong>Guidance</strong><p>External provider refers to organizations other than the organization operating or acquiring the system. External providers include service bureaus, contractors, and other organizations that provide system development, information technology services, testing or assessment services, outsourced applications, and network/security management. Organizations explicitly include personnel security requirements in acquisition-related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external personnel changes ensure the appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include functions, roles, and the nature of credentials or privileges associated with transferred or terminated individuals.</p>","uuid":"4360dddb-c7df-44e5-ad58-515f1ca5219d","family":"Personnel Security","parameters":[{"constraints":"including access control personnel responsible for the system and/or facilities, as appropriate","displayName":"","dataType":"","guidance":"personnel or roles to be notified of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is/are defined;","uuid":"da41e633-0270-49bd-8b87-ca9ded8b4465","otherId":"ps-07_odp.01","parameterId":"PS-7(d)-1","text":"personnel or roles","default":"[FedRAMP Assignment: including access control personnel responsible for the system and/or facilities, as appropriate]"},{"constraints":"within twenty-four (24) hours","displayName":"","dataType":"","guidance":"time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges is defined;","uuid":"a8769434-fa92-4c28-9c79-353c561fc25b","otherId":"ps-07_odp.02","parameterId":"PS-7(d)-2","text":"time period","default":"[FedRAMP Assignment: within twenty-four (24) hours]"}],"subControls":null,"tests":[{"testId":"PS-07a.","test":"Assessment Objective: Determine if personnel security requirements are established, including security roles and responsibilities for external providers;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing external personnel security.</li><li>List of personnel security requirements.</li><li>Acquisition documents.</li><li>Service-level agreements.</li><li>Compliance monitoring process.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>External providers.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing and monitoring external personnel security.</li><li>Mechanisms supporting and/or implementing the monitoring of provider compliance.</li></ul>","otherId":"ps-7_obj.a","defaultText":null,"uuid":"cc849d86-92c8-4230-8be7-1ba81a99059e"},{"testId":"PS-07b.","test":"Assessment Objective: Determine if external providers are required to comply with personnel security policies and procedures established by the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing external personnel security.</li><li>List of personnel security requirements.</li><li>Acquisition documents.</li><li>Service-level agreements.</li><li>Compliance monitoring process.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>External providers.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing and monitoring external personnel security.</li><li>Mechanisms supporting and/or implementing the monitoring of provider compliance.</li></ul>","otherId":"ps-7_obj.b","defaultText":null,"uuid":"f7e61d9b-147f-4acc-a02d-e3681aed3038"},{"testId":"PS-07c.","test":"Assessment Objective: Determine if personnel security requirements are documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing external personnel security.</li><li>List of personnel security requirements.</li><li>Acquisition documents.</li><li>Service-level agreements.</li><li>Compliance monitoring process.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>External providers.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing and monitoring external personnel security.</li><li>Mechanisms supporting and/or implementing the monitoring of provider compliance.</li></ul>","otherId":"ps-7_obj.c","defaultText":null,"uuid":"69654554-3dd6-4104-a673-f048e8ed0ab3"},{"testId":"PS-07d.","test":"Assessment Objective: Determine if external providers are required to notify {{ insert: param, ps-07_odp.01 }} of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges or who have system privileges within {{ insert: param, ps-07_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing external personnel security.</li><li>List of personnel security requirements.</li><li>Acquisition documents.</li><li>Service-level agreements.</li><li>Compliance monitoring process.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>External providers.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing and monitoring external personnel security.</li><li>Mechanisms supporting and/or implementing the monitoring of provider compliance.</li></ul>","otherId":"ps-7_obj.d","defaultText":null,"uuid":"72a4f98a-5e9f-48f1-9b09-347e70001b72"},{"testId":"PS-07e.","test":"Assessment Objective: Determine if provider compliance with personnel security requirements is monitored.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Procedures addressing external personnel security.</li><li>List of personnel security requirements.</li><li>Acquisition documents.</li><li>Service-level agreements.</li><li>Compliance monitoring process.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>External providers.</li><li>System/network administrators.</li><li>Organizational personnel with account management responsibilities.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing and monitoring external personnel security.</li><li>Mechanisms supporting and/or implementing the monitoring of provider compliance.</li></ul>","otherId":"ps-7_obj.e","defaultText":null,"uuid":"fe2b7ec8-a236-463c-a849-1f183a1f9fd3"}],"weight":1,"title":"PS-07 - External Personnel Security","enhancements":"","otherId":"ps-7","sortId":"ps-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-7"},{"objectives":[{"objectiveType":"","otherId":"ps-8_smt.a","name":"a.","description":"<ul><li>a. Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and</li></ul>","uuid":"0e4dd77c-7223-4576-ba9f-33e7f16e8542"},{"objectiveType":"","otherId":"ps-8_smt.b","name":"b.","description":"<ul><li>b. Notify {{ insert: param, PS-8(b)-1 }} within {{ insert: param, PS-8(b)-2 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.</li></ul>","uuid":"f3695c22-7f29-47e8-a609-157893fb0770"}],"description":"<ul><li>a. Employ a formal sanctions process for individuals failing to comply with established information security and privacy policies and procedures; and</li><li>b. Notify {{ insert: param, PS-8(b)-1 }} within {{ insert: param, PS-8(b)-2 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.</li></ul><br/><strong>Guidance</strong><p>Organizational sanctions reflect applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Sanctions processes are described in access agreements and can be included as part of general personnel policies for organizations and/or specified in security and privacy policies. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.</p>","uuid":"3f50f924-8aef-437a-879f-81aaa3792f2b","family":"Personnel Security","parameters":[{"constraints":"to include the ISSO and/or similar role within the organization","displayName":"","dataType":"","guidance":"personnel or roles to be notified when a formal employee sanctions process is initiated is/are defined;","uuid":"b2567711-4e99-4d58-b8e1-c58a5eb0d0e4","otherId":"ps-08_odp.01","parameterId":"PS-8(b)-1","text":"personnel or roles","default":"[FedRAMP Assignment: to include the ISSO and/or similar role within the organization]"},{"constraints":"24 hours","displayName":"","dataType":"","guidance":"the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated is defined;","uuid":"c11c6de3-7fcc-4603-9f3d-40e3bacb510e","otherId":"ps-08_odp.02","parameterId":"PS-8(b)-2","text":"time period","default":"[FedRAMP Assignment: 24 hours]"}],"subControls":null,"tests":[{"testId":"PS-08a.","test":"Assessment Objective: Determine if a formal sanctions process is employed for individuals failing to comply with established information security and privacy policies and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing personnel sanctions.</li><li>Access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements).</li><li>List of personnel or roles to be notified of formal employee sanctions.</li><li>Records or notifications of formal employee sanctions.</li><li>System security plan.</li><li>Privacy plan.</li><li>Personally identifiable information processing policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Legal counsel.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing formal employee sanctions.</li><li>Mechanisms supporting and/or implementing formal employee sanctions notifications.</li></ul>","otherId":"ps-8_obj.a","defaultText":null,"uuid":"e761c946-a967-4c34-bee0-fb80bf80eeda"},{"testId":"PS-08b.","test":"Assessment Objective: Determine if \n{{ insert: param, ps-08_odp.01 }} is/are notified within {{ insert: param, ps-08_odp.02 }} when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing personnel sanctions.</li><li>Access agreements (including non-disclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements).</li><li>List of personnel or roles to be notified of formal employee sanctions.</li><li>Records or notifications of formal employee sanctions.</li><li>System security plan.</li><li>Privacy plan.</li><li>Personally identifiable information processing policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Legal counsel.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing formal employee sanctions.</li><li>Mechanisms supporting and/or implementing formal employee sanctions notifications.</li></ul>","otherId":"ps-8_obj.b","defaultText":null,"uuid":"d0d08946-020d-4277-8ca1-84a86d9a3011"}],"weight":1,"title":"PS-08 - Personnel Sanctions","enhancements":"","otherId":"ps-8","sortId":"ps-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-8"},{"objectives":[{"objectiveType":"","otherId":"ps-9_smt","name":"PS-9","description":"Incorporate security and privacy roles and responsibilities into organizational position descriptions.","uuid":"f10db59c-981d-4308-8b94-f2087136b007"}],"description":"<p>Incorporate security and privacy roles and responsibilities into organizational position descriptions.</p><br/><strong>Guidance</strong><p>Specification of security and privacy roles in individual organizational position descriptions facilitates clarity in understanding the security or privacy responsibilities associated with the roles and the role-based security and privacy training requirements for the roles.</p>","uuid":"0acf121d-dce5-4b62-be02-5c4006e23586","family":"Personnel Security","parameters":[],"subControls":null,"tests":[{"testId":"PS-09[01]","test":"Assessment Objective: Determine if security roles and responsibilities are incorporated into organizational position descriptions;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing position descriptions.</li><li>Security and privacy position descriptions.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with human capital management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing position descriptions.</li></ul>","otherId":"ps-9_obj-1","defaultText":null,"uuid":"91324c4b-41d0-49be-904e-a4490dd99a72"},{"testId":"PS-09[02]","test":"Assessment Objective: Determine if privacy roles and responsibilities are incorporated into organizational position descriptions.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Personnel security policy.</li><li>Personnel security procedures.</li><li>Procedures addressing position descriptions.</li><li>Security and privacy position descriptions.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with personnel security responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with human capital management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for managing position descriptions.</li></ul>","otherId":"ps-9_obj-2","defaultText":null,"uuid":"bc625b7c-5a8b-422f-b529-a52677574670"}],"weight":1,"title":"PS-09 - Position Descriptions","enhancements":"","otherId":"ps-9","sortId":"ps-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"PS-9"},{"objectives":[{"objectiveType":"","otherId":"ra-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, RA-1(a) }}:</li><ul><li>1. {{ insert: param, RA-1(a)(1) }} risk assessment policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;</li></ul>","uuid":"51b74424-ad20-4290-9257-0151f97e1b68"},{"objectiveType":"","otherId":"ra-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, RA-1(b) }} to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and</li></ul>","uuid":"78a8995f-72a2-45f9-b9d3-ee3b846cd2e6"},{"objectiveType":"","otherId":"ra-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current risk assessment:</li><ul><li>1. Policy {{ insert: param, RA-1(c)(1)-1 }} and following {{ insert: param, RA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, RA-1(c)(2)-1 }} and following {{ insert: param, RA-1(c)(2)-2 }}.</li></ul>","uuid":"63c18069-0fe7-40fa-b88a-12a9d4e9a383"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, RA-1(a) }}:</li><ul><li>1. {{ insert: param, RA-1(a)(1) }} risk assessment policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;</li></ul><li>b. Designate an {{ insert: param, RA-1(b) }} to manage the development, documentation, and dissemination of the risk assessment policy and procedures; and</li><li>c. Review and update the current risk assessment:</li><ul><li>1. Policy {{ insert: param, RA-1(c)(1)-1 }} and following {{ insert: param, RA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, RA-1(c)(2)-1 }} and following {{ insert: param, RA-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Risk assessment policy and procedures address the controls in the RA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of risk assessment policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies reflecting the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to risk assessment policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"dbd57618-d803-4209-b299-bc68e3d48716","family":"Risk Assessment","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"2cab04de-a317-457f-b698-a6b019b46d96","otherId":"ra-1_prm_1","parameterId":"RA-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"86581117-df7b-40c3-adc1-e26b998fd068","otherId":"ra-01_odp.03","parameterId":"RA-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the risk assessment policy and procedures is defined;","uuid":"995135d5-776c-4c34-8375-d7dd89fc0a9d","otherId":"ra-01_odp.04","parameterId":"RA-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current risk assessment policy is reviewed and updated is defined;","uuid":"a19fab73-fc60-4b7b-9adb-5b6d974fb3a8","otherId":"ra-01_odp.05","parameterId":"RA-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current risk assessment policy to be reviewed and updated are defined;","uuid":"88877b1b-e0f4-4e92-a1d2-a2563687fb06","otherId":"ra-01_odp.06","parameterId":"RA-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current risk assessment procedures are reviewed and updated is defined;","uuid":"e72b2548-e162-41e2-a019-f44a879d6a58","otherId":"ra-01_odp.07","parameterId":"RA-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require risk assessment procedures to be reviewed and updated are defined;","uuid":"f633aed8-b8d4-423f-9e7f-03c5985752e4","otherId":"ra-01_odp.08","parameterId":"RA-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"RA-01a.[01]","test":"Assessment Objective: Determine if a risk assessment policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a-1","defaultText":null,"uuid":"90d2ec29-2248-4b7f-b2af-c01d40841889"},{"testId":"RA-01a.[02]","test":"Assessment Objective: Determine if the risk assessment policy is disseminated to {{ insert: param, ra-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a-2","defaultText":null,"uuid":"9b5ae648-19c6-46d9-a092-f64c88edc115"},{"testId":"RA-01a.[03]","test":"Assessment Objective: Determine if risk assessment procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a-3","defaultText":null,"uuid":"e9ddfc9b-f9c2-4bf6-891d-83e14a81ebfe"},{"testId":"RA-01a.[04]","test":"Assessment Objective: Determine if the risk assessment procedures are disseminated to {{ insert: param, ra-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a-4","defaultText":null,"uuid":"64b6d585-580f-4a54-a25b-d9a7c55c3be0"},{"testId":"RA-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.a-1","defaultText":null,"uuid":"3207b515-62df-4be0-ab6b-8127af35eb39"},{"testId":"RA-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.a-2","defaultText":null,"uuid":"2b229f0f-43c6-461f-8513-e2cd35ef0e33"},{"testId":"RA-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.a-3","defaultText":null,"uuid":"8e990d72-c559-4fee-bbd8-a5a36278e2e2"},{"testId":"RA-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.a-4","defaultText":null,"uuid":"dfd53e59-0d85-47c1-9a47-68664e8ad37d"},{"testId":"RA-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.a-5","defaultText":null,"uuid":"eb339318-4c84-4e5a-b861-89f427688ae0"},{"testId":"RA-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.a-6","defaultText":null,"uuid":"4535ede4-304e-434b-9962-d3f38dc35e46"},{"testId":"RA-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.a-7","defaultText":null,"uuid":"477c5694-b0a2-4546-8148-3d2e6b61d90d"},{"testId":"RA-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.03 }} risk assessment policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.a.1.b","defaultText":null,"uuid":"a8f0f79c-7db6-4d1e-8204-6a7c21085a32"},{"testId":"RA-01b.","test":"Assessment Objective: Determine if the {{ insert: param, ra-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the risk assessment policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.b","defaultText":null,"uuid":"32a4bd89-3c32-4018-bb75-379abcad0006"},{"testId":"RA-01c.01[01]","test":"Assessment Objective: Determine if the current risk assessment policy is reviewed and updated {{ insert: param, ra-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.c.1-1","defaultText":null,"uuid":"93b0c561-c160-4728-9e49-13b8aa02a405"},{"testId":"RA-01c.01[02]","test":"Assessment Objective: Determine if the current risk assessment policy is reviewed and updated following {{ insert: param, ra-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.c.1-2","defaultText":null,"uuid":"3d838185-ff30-4ac2-9b9f-5a86b44b05d4"},{"testId":"RA-01c.02[01]","test":"Assessment Objective: Determine if the current risk assessment procedures are reviewed and updated {{ insert: param, ra-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.c.2-1","defaultText":null,"uuid":"28d5b561-a60b-4a03-b183-16c23b56ea4a"},{"testId":"RA-01c.02[02]","test":"Assessment Objective: Determine if the current risk assessment procedures are reviewed and updated following {{ insert: param, ra-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul>","otherId":"ra-1_obj.c.2-2","defaultText":null,"uuid":"23a5670b-b97f-44a8-9885-f27d640b5381"}],"weight":1,"title":"RA-01 - Policy and Procedures","enhancements":"","otherId":"ra-1","sortId":"ra-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-1"},{"objectives":[{"objectiveType":"","otherId":"ra-2_smt.a","name":"a.","description":"<ul><li>a. Categorize the system and information it processes, stores, and transmits;</li></ul>","uuid":"97eed5ac-7ef3-429c-b109-91378d3ff71e"},{"objectiveType":"","otherId":"ra-2_smt.b","name":"b.","description":"<ul><li>b. Document the security categorization results, including supporting rationale, in the security plan for the system; and</li></ul>","uuid":"902eecb7-2dc9-4242-899c-5abfe14d8734"},{"objectiveType":"","otherId":"ra-2_smt.c","name":"c.","description":"<ul><li>c. Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.</li></ul>","uuid":"04f86ccd-fcba-4396-8d62-a348781f54a5"}],"description":"<ul><li>a. Categorize the system and information it processes, stores, and transmits;</li><li>b. Document the security categorization results, including supporting rationale, in the security plan for the system; and</li><li>c. Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.</li></ul><br/><strong>Guidance</strong><p>Security categories describe the potential adverse impacts or negative consequences to organizational operations, organizational assets, and individuals if organizational information and systems are compromised through a loss of confidentiality, integrity, or availability. Security categorization is also a type of asset loss characterization in systems security engineering processes that is carried out throughout the system development life cycle. Organizations can use privacy risk assessments or privacy impact assessments to better understand the potential adverse effects on individuals. <a href=\"#4e4fbc93-333d-45e6-a875-de36b878b6b9\">CNSSI 1253</a> provides additional guidance on categorization for national security systems.</p><p>Organizations conduct the security categorization process as an organization-wide activity with the direct involvement of chief information officers, senior agency information security officers, senior agency officials for privacy, system owners, mission and business owners, and information owners or stewards. Organizations consider the potential adverse impacts to other organizations and, in accordance with <a href=\"#13f0c39d-eaf7-417a-baef-69a041878bb5\">USA PATRIOT</a> and Homeland Security Presidential Directives, potential national-level adverse impacts.</p><p>Security categorization processes facilitate the development of inventories of information assets and, along with <a href=\"#cm-8\">CM-8</a> , mappings to specific system components where information is processed, stored, or transmitted. The security categorization process is revisited throughout the system development life cycle to ensure that the security categories remain accurate and relevant.</p>","uuid":"97e58113-90c5-4b24-9f44-2cf58c0ac3a0","family":"Risk Assessment","parameters":[],"subControls":null,"tests":[{"testId":"RA-02a.","test":"Assessment Objective: Determine if the system and the information it processes, stores, and transmits are categorized;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Security planning policy and procedures.</li><li>Procedures addressing security categorization of organizational information and systems.</li><li>Security categorization documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security categorization and risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security categorization.</li></ul>","otherId":"ra-2_obj.a","defaultText":null,"uuid":"e8abbda9-c612-4cb6-b55f-34fd9576c578"},{"testId":"RA-02b.","test":"Assessment Objective: Determine if the security categorization results, including supporting rationale, are documented in the security plan for the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Security planning policy and procedures.</li><li>Procedures addressing security categorization of organizational information and systems.</li><li>Security categorization documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security categorization and risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security categorization.</li></ul>","otherId":"ra-2_obj.b","defaultText":null,"uuid":"62dee163-5035-4886-9ed9-980029c94d53"},{"testId":"RA-02c.","test":"Assessment Objective: Determine if the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Security planning policy and procedures.</li><li>Procedures addressing security categorization of organizational information and systems.</li><li>Security categorization documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security categorization and risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security categorization.</li></ul>","otherId":"ra-2_obj.c","defaultText":null,"uuid":"66a1145f-39b9-48ff-aeb7-2dac626a5477"}],"weight":1,"title":"RA-02 - Security Categorization","enhancements":"","otherId":"ra-2","sortId":"ra-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-2"},{"objectives":[{"objectiveType":"","otherId":"ra-3.1_smt.a","name":"(a)","description":"<ul><li>(a) Assess supply chain risks associated with {{ insert: param, RA-3(1)(a) }} ; and</li></ul>","uuid":"90a87305-a5e0-45a7-a990-7ab192eef7b9"},{"objectiveType":"","otherId":"ra-3.1_smt.b","name":"(b)","description":"<ul><li>(b) Update the supply chain risk assessment {{ insert: param, RA-3(1)(b) }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.</li></ul>","uuid":"936efbb4-b0db-4bb8-a75a-37d5d24fceac"}],"description":"<ul><li>(a) Assess supply chain risks associated with {{ insert: param, RA-3(1)(a) }} ; and</li><li>(b) Update the supply chain risk assessment {{ insert: param, RA-3(1)(b) }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.</li></ul><br/><strong>Guidance</strong><p>Supply chain-related events include disruption, use of defective components, insertion of counterfeits, theft, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and, therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.</p>","uuid":"19eac07b-79dd-42c7-b505-62854a60f7e5","family":"Risk Assessment","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"systems, system components, and system services to assess supply chain risks are defined;","uuid":"8680b271-0e13-48f8-9aaa-73015012653c","otherId":"ra-03.01_odp.01","parameterId":"RA-3(1)(a)","text":"systems, system components, and system services","default":" [Assignment: organization-defined systems, system components, and system services] "},{"constraints":"","displayName":"","dataType":"","guidance":"the frequency at which to update the supply chain risk assessment is defined;","uuid":"7a769c1c-cfc9-4af6-8844-8096b6973d5e","otherId":"ra-03.01_odp.02","parameterId":"RA-3(1)(b)","text":"frequency","default":" [Assignment: organization-defined frequency] "}],"subControls":null,"tests":[{"testId":"RA-03(01)(a)","test":"Assessment Objective: Determine if supply chain risks associated with {{ insert: param, ra-03.01_odp.01 }} are assessed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Inventory of critical systems, system components, and system services.</li><li>Risk assessment policy.</li><li>Security planning policy and procedures.</li><li>Procedures addressing organizational assessments of supply chain risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>Acquisition policy.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the supply chain risk assessment.</li></ul>","otherId":"ra-3.1_obj.a","defaultText":null,"uuid":"7c179d9d-7f96-45e4-9b3c-9e9fdb957d5e"},{"testId":"RA-03(01)(b)","test":"Assessment Objective: Determine if the supply chain risk assessment is updated {{ insert: param, ra-03.01_odp.02 }} , when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply chain.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Inventory of critical systems, system components, and system services.</li><li>Risk assessment policy.</li><li>Security planning policy and procedures.</li><li>Procedures addressing organizational assessments of supply chain risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>Acquisition policy.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the supply chain risk assessment.</li></ul>","otherId":"ra-3.1_obj.b","defaultText":null,"uuid":"efb6e4c8-c8e6-46fd-a154-23be2409e7e1"}],"weight":1,"title":"RA-03(01) - Supply Chain Risk Assessment","enhancements":null,"otherId":"ra-3.1","sortId":"ra-03.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-3(1)"},{"objectives":[{"objectiveType":"","otherId":"ra-3_smt.a","name":"a.","description":"<ul><li>a. Conduct a risk assessment, including:</li><ul><li>1. Identifying threats to and vulnerabilities in the system;</li><li>2. Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and</li><li>3. Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;</li></ul>","uuid":"3a42a340-1243-4de8-beb4-936a4f5bd051"},{"objectiveType":"","otherId":"ra-3_smt.b","name":"b.","description":"<ul><li>b. Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;</li></ul>","uuid":"31492075-b040-403c-b78d-174591d637ce"},{"objectiveType":"","otherId":"ra-3_smt.c","name":"c.","description":"<ul><li>c. Document risk assessment results in {{ insert: param, RA-3(c) }};</li></ul>","uuid":"ae52082e-f35c-4a78-8358-4a2fb06d444b"},{"objectiveType":"","otherId":"ra-3_smt.d","name":"d.","description":"<ul><li>d. Review risk assessment results {{ insert: param, RA-3(d) }};</li></ul>","uuid":"fd67866f-8b01-432c-b5fb-7f3a4f5d57e9"},{"objectiveType":"","otherId":"ra-3_smt.e","name":"e.","description":"<ul><li>e. Disseminate risk assessment results to {{ insert: param, RA-3(e) }} ; and</li></ul>","uuid":"73347f2e-1cfc-4624-84da-ae52c64f1454"},{"objectiveType":"","otherId":"ra-3_smt.f","name":"f.","description":"<ul><li>f. Update the risk assessment {{ insert: param, RA-3(f) }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.</li></ul>","uuid":"93bb5415-8e32-4fb2-9f3c-0c42f4893ce2"}],"description":"<ul><li>a. Conduct a risk assessment, including:</li><ul><li>1. Identifying threats to and vulnerabilities in the system;</li><li>2. Determining the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and</li><li>3. Determining the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;</li></ul><li>b. Integrate risk assessment results and risk management decisions from the organization and mission or business process perspectives with system-level risk assessments;</li><li>c. Document risk assessment results in {{ insert: param, RA-3(c) }};</li><li>d. Review risk assessment results {{ insert: param, RA-3(d) }};</li><li>e. Disseminate risk assessment results to {{ insert: param, RA-3(e) }} ; and</li><li>f. Update the risk assessment {{ insert: param, RA-3(f) }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.</li></ul><br/><strong>Guidance</strong><p>Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation. Risk assessments also consider risk from external parties, including contractors who operate systems on behalf of the organization, individuals who access organizational systems, service providers, and outsourcing entities.</p><p>Organizations can conduct risk assessments at all three levels in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any stage in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including preparation, categorization, control selection, control implementation, control assessment, authorization, and control monitoring. Risk assessment is an ongoing activity carried out throughout the system development life cycle.</p><p>Risk assessments can also address information related to the system, including system design, the intended use of the system, testing results, and supply chain-related information or artifacts. Risk assessments can play an important role in control selection processes, particularly during the application of tailoring guidance and in the earliest phases of capability determination.</p><br/><strong>RA-3 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Significant change is defined in NIST Special Publication 800-37 Revision 2, Appendix F.</li><li><b>(e) Requirement:</b> Include all Authorizing Officials; for JAB authorizations to include FedRAMP.</li></ul>","uuid":"0d9aa1dd-808f-4853-a6ee-3ad774cde1b4","family":"Risk Assessment","parameters":[{"constraints":"security assessment report","displayName":"","dataType":"","guidance":"","uuid":"3a66cab4-551c-4547-826b-51f6e0cd37d5","otherId":"ra-03_odp.01","parameterId":"RA-3(c)","text":"[Selection: security and privacy plans; risk assessment report; [(NESTED PARAMETER) Assignment for ra-03_odp.02: document]]","default":"[FedRAMP Assignment: security assessment report]"},{"constraints":"at least every three (3) years and when a significant change occurs","displayName":"","dataType":"","guidance":"the frequency to review risk assessment results is defined;","uuid":"fd405bfb-c1cb-4160-a521-7f237d951dc7","otherId":"ra-03_odp.03","parameterId":"RA-3(d)","text":"frequency","default":"[FedRAMP Assignment: at least every three (3) years and when a significant change occurs]"},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to whom risk assessment results are to be disseminated is/are defined;","uuid":"8c2e6eea-255b-4719-a7cc-5587641eb3dd","otherId":"ra-03_odp.04","parameterId":"RA-3(e)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"at least every three (3) years","displayName":"","dataType":"","guidance":"the frequency to update the risk assessment is defined;","uuid":"98306c32-2157-4b3a-a3b4-4b944ec17e9d","otherId":"ra-03_odp.05","parameterId":"RA-3(f)","text":"frequency","default":"[FedRAMP Assignment: at least every three (3) years]"}],"subControls":null,"tests":[{"testId":"RA-03a.01","test":"Assessment Objective: Determine if a risk assessment is conducted to identify threats to and vulnerabilities in the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.a.1","defaultText":null,"uuid":"786e4545-7e3e-4aa9-a2bd-8dd6034a7e83"},{"testId":"RA-03a.02","test":"Assessment Objective: Determine if a risk assessment is conducted to determine the likelihood and magnitude of harm from unauthorized access, use, disclosure, disruption, modification, or destruction of the system; the information it processes, stores, or transmits; and any related information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.a.2","defaultText":null,"uuid":"aa81f316-09f1-4c1b-9f0a-3dfc05ba1ffa"},{"testId":"RA-03a.03","test":"Assessment Objective: Determine if a risk assessment is conducted to determine the likelihood and impact of adverse effects on individuals arising from the processing of personally identifiable information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.a.3","defaultText":null,"uuid":"4e77ff25-61dd-428d-96d2-56be7e9726f7"},{"testId":"RA-03b.","test":"Assessment Objective: Determine if risk assessment results and risk management decisions from the organization and mission or business process perspectives are integrated with system-level risk assessments;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.b","defaultText":null,"uuid":"05abc77e-687f-4c72-8e91-753c63305f24"},{"testId":"RA-03c.","test":"Assessment Objective: Determine if risk assessment results are documented in {{ insert: param, ra-03_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.c","defaultText":null,"uuid":"c12239ee-ab93-4cf6-a120-2c7c9abe2489"},{"testId":"RA-03d.","test":"Assessment Objective: Determine if risk assessment results are reviewed {{ insert: param, ra-03_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.d","defaultText":null,"uuid":"c6614f06-ac5f-4a0f-8573-1e6711543a23"},{"testId":"RA-03e.","test":"Assessment Objective: Determine if risk assessment results are disseminated to {{ insert: param, ra-03_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.e","defaultText":null,"uuid":"1eca6a36-daac-4ecd-99ac-deeabf3561cb"},{"testId":"RA-03f.","test":"Assessment Objective: Determine if the risk assessment is updated {{ insert: param, ra-03_odp.05 }} or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the system.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Risk assessment procedures.</li><li>Security and privacy planning policy and procedures.</li><li>Procedures addressing organizational assessments of risk.</li><li>Risk assessment.</li><li>Risk assessment results.</li><li>Risk assessment reviews.</li><li>Risk assessment updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment responsibilities.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for risk assessment.</li><li>Mechanisms supporting and/or conducting, documenting, reviewing, disseminating, and updating the risk assessment.</li></ul>","otherId":"ra-3_obj.f","defaultText":null,"uuid":"f3df75a4-9a5c-4bce-8cd6-9f7c574ef4c6"}],"weight":1,"title":"RA-03 - Risk Assessment","enhancements":"<strong>Enhancements</strong><ul><li>RA-3(1) - Supply Chain Risk Assessment</li></ul>","otherId":"ra-3","sortId":"ra-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-3"},{"objectives":[{"objectiveType":"","otherId":"ra-5.2_smt","name":"RA-5(2)","description":"Update the system vulnerabilities to be scanned {{ insert: param, RA-5(2) }}.","uuid":"4bebae97-9777-4a3d-9ecb-1decb7316e2d"}],"description":"<p>Update the system vulnerabilities to be scanned {{ insert: param, RA-5(2) }}.</p><br/><strong>Guidance</strong><p>Due to the complexity of modern software, systems, and other factors, new vulnerabilities are discovered on a regular basis. It is important that newly discovered vulnerabilities are added to the list of vulnerabilities to be scanned to ensure that the organization can take steps to mitigate those vulnerabilities in a timely manner.</p>","uuid":"f93853a3-fd44-4b04-ab29-695abe4f71f4","family":"Risk Assessment","parameters":[{"constraints":"within 24 hours prior to running scans","displayName":"","dataType":"","guidance":"","uuid":"7d73197f-e4ed-4f80-a930-ef84c8fa71f8","otherId":"ra-05.02_odp.01","parameterId":"RA-5(2)","text":"[Selection (one or more): [(NESTED PARAMETER) Assignment for ra-05.02_odp.02: frequency]; prior to a new scan; when new vulnerabilities are identified and reported]","default":"[FedRAMP Assignment: within 24 hours prior to running scans]"}],"subControls":null,"tests":[{"testId":"RA-05(02)","test":"Assessment Objective: Determine if the system vulnerabilities to be scanned are updated {{ insert: param, ra-05.02_odp.01 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Procedures addressing vulnerability scanning.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning.</li><li>Mechanisms/tools supporting and/or implementing vulnerability scanning.</li></ul>","otherId":"ra-5.2_obj","defaultText":null,"uuid":"66d33ae3-51c2-4e06-b33c-2c8ebf57262f"}],"weight":1,"title":"RA-05(02) - Update Vulnerabilities to Be Scanned","enhancements":null,"otherId":"ra-5.2","sortId":"ra-05.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-5(2)"},{"objectives":[{"objectiveType":"","otherId":"ra-5.3_smt","name":"RA-5(3)","description":"Define the breadth and depth of vulnerability scanning coverage.","uuid":"57857075-6762-4c76-b840-4a6d785d0c89"}],"description":"<p>Define the breadth and depth of vulnerability scanning coverage.</p><br/><strong>Guidance</strong><p>The breadth of vulnerability scanning coverage can be expressed as a percentage of components within the system, by the particular types of systems, by the criticality of systems, or by the number of vulnerabilities to be checked. Conversely, the depth of vulnerability scanning coverage can be expressed as the level of the system design that the organization intends to monitor (e.g., component, module, subsystem, element). Organizations can determine the sufficiency of vulnerability scanning coverage with regard to its risk tolerance and other factors. Scanning tools and how the tools are configured may affect the depth and coverage. Multiple scanning tools may be needed to achieve the desired depth and coverage. <a href=\"#a21aef46-7330-48a0-b2e1-c5bb8b2dd11d\">SP 800-53A</a> provides additional information on the breadth and depth of coverage.</p>","uuid":"c666619e-0968-46a7-a953-e8020daef53f","family":"Risk Assessment","parameters":[],"subControls":null,"tests":[{"testId":"RA-05(03)","test":"Assessment Objective: Determine if the breadth and depth of vulnerability scanning coverage are defined.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Procedures addressing vulnerability scanning.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning.</li><li>Mechanisms/tools supporting and/or implementing vulnerability scanning.</li></ul>","otherId":"ra-5.3_obj","defaultText":null,"uuid":"ea72ebaa-072f-49d8-b957-950a8ef7f529"}],"weight":1,"title":"RA-05(03) - Breadth and Depth of Coverage","enhancements":null,"otherId":"ra-5.3","sortId":"ra-05.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-5(3)"},{"objectives":[{"objectiveType":"","otherId":"ra-5.5_smt","name":"RA-5(5)","description":"Implement privileged access authorization to {{ insert: param, RA-5(5)-1 }} for {{ insert: param, RA-5(5)-2 }}.","uuid":"90d4991f-4b6f-448c-a78d-f9cf0aa60150"}],"description":"<p>Implement privileged access authorization to {{ insert: param, RA-5(5)-1 }} for {{ insert: param, RA-5(5)-2 }}.</p><br/><strong>Guidance</strong><p>In certain situations, the nature of the vulnerability scanning may be more intrusive, or the system component that is the subject of the scanning may contain classified or controlled unclassified information, such as personally identifiable information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.</p>","uuid":"62b03a74-5173-47c7-bc78-051c394f0a6f","family":"Risk Assessment","parameters":[{"constraints":"all components that support authentication","displayName":"","dataType":"","guidance":"system components to which privileged access is authorized for selected vulnerability scanning activities are defined;","uuid":"78606343-a668-480c-a10f-dcba2ba3bfd3","otherId":"ra-05.05_odp.01","parameterId":"RA-5(5)-1","text":"system components","default":"[FedRAMP Assignment: all components that support authentication]"},{"constraints":"all scans","displayName":"","dataType":"","guidance":"vulnerability scanning activities selected for privileged access authorization to system components are defined;","uuid":"9941e2ea-f404-4d05-bf55-a22fe8f905bb","otherId":"ra-05.05_odp.02","parameterId":"RA-5(5)-2","text":"vulnerability scanning activities","default":"[FedRAMP Assignment: all scans]"}],"subControls":null,"tests":[{"testId":"RA-05(05)","test":"Assessment Objective: Determine if privileged access authorization is implemented to {{ insert: param, ra-05.05_odp.01 }} for {{ insert: param, ra-05.05_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system components for vulnerability scanning.</li><li>Personnel access authorization list.</li><li>Authorization credentials.</li><li>Access authorization records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with vulnerability scanning responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel responsible for access control to the system.</li><li>Organizational personnel responsible for configuration management of the system.</li><li>System developers.</li><li>Organizational personnel with security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning.</li><li>Organizational processes for access control.</li><li>Mechanisms supporting and/or implementing access control.</li><li>Mechanisms/tools supporting and/or implementing vulnerability scanning.</li></ul>","otherId":"ra-5.5_obj","defaultText":null,"uuid":"36508f37-8f1f-48aa-9cb9-14b1965f184e"}],"weight":1,"title":"RA-05(05) - Privileged Access","enhancements":null,"otherId":"ra-5.5","sortId":"ra-05.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-5(5)"},{"objectives":[{"objectiveType":"","otherId":"ra-5.11_smt","name":"RA-5(11)","description":"Establish a public reporting channel for receiving reports of vulnerabilities in organizational systems and system components.","uuid":"6c58cafb-7a17-415a-a846-412568ba7d7e"}],"description":"<p>Establish a public reporting channel for receiving reports of vulnerabilities in organizational systems and system components.</p><br/><strong>Guidance</strong><p>The reporting channel is publicly discoverable and contains clear language authorizing good-faith research and the disclosure of vulnerabilities to the organization. The organization does not condition its authorization on an expectation of indefinite non-disclosure to the public by the reporting entity but may request a specific time period to properly remediate the vulnerability.</p>","uuid":"4804d190-0223-4475-8fb6-a1535e5bff30","family":"Risk Assessment","parameters":[],"subControls":null,"tests":[{"testId":"RA-05(11)","test":"Assessment Objective: Determine if a public reporting channel is established for receiving reports of vulnerabilities in organizational systems and system components.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Vulnerability scanning tools and techniques documentation.</li><li>Vulnerability scanning results.</li><li>Vulnerability management records.</li><li>Audit records.</li><li>Public reporting channel.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning.</li><li>Mechanisms/tools supporting and/or implementing vulnerability scanning.</li><li>Mechanisms implementing the public reporting of vulnerabilities.</li></ul>","otherId":"ra-5.11_obj","defaultText":null,"uuid":"50cba5ad-7eb8-4075-8b4b-eea6e6f6342e"}],"weight":1,"title":"RA-05(11) - Public Disclosure Program","enhancements":null,"otherId":"ra-5.11","sortId":"ra-05.11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-5(11)"},{"objectives":[{"objectiveType":"","otherId":"ra-5_smt.a","name":"a.","description":"<ul><li>a. Monitor and scan for vulnerabilities in the system and hosted applications {{ insert: param, RA-5(a) }} and when new vulnerabilities potentially affecting the system are identified and reported;</li></ul>","uuid":"ddf7afe3-cae4-4f92-b973-b4ee69edcaa4"},{"objectiveType":"","otherId":"ra-5_smt.b","name":"b.","description":"<ul><li>b. Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:</li><ul><li>1. Enumerating platforms, software flaws, and improper configurations;</li><li>2. Formatting checklists and test procedures; and</li><li>3. Measuring vulnerability impact;</li></ul>","uuid":"c510445a-a040-4bab-9b74-9521396fb31f"},{"objectiveType":"","otherId":"ra-5_smt.c","name":"c.","description":"<ul><li>c. Analyze vulnerability scan reports and results from vulnerability monitoring;</li></ul>","uuid":"2b61dcb0-c8ed-40eb-951b-109949e12244"},{"objectiveType":"","otherId":"ra-5_smt.d","name":"d.","description":"<ul><li>d. Remediate legitimate vulnerabilities {{ insert: param, RA-5(d) }} in accordance with an organizational assessment of risk;</li></ul>","uuid":"61ce80ec-430d-4539-a5d4-9bbf044aff83"},{"objectiveType":"","otherId":"ra-5_smt.e","name":"e.","description":"<ul><li>e. Share information obtained from the vulnerability monitoring process and control assessments with {{ insert: param, RA-5(e) }} to help eliminate similar vulnerabilities in other systems; and</li></ul>","uuid":"23089dac-3ef4-41ee-9bef-e2059454e853"},{"objectiveType":"","otherId":"ra-5_smt.f","name":"f.","description":"<ul><li>f. Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned.</li></ul>","uuid":"941f4522-118c-4b29-a3f0-9eea66a2963b"}],"description":"<ul><li>a. Monitor and scan for vulnerabilities in the system and hosted applications {{ insert: param, RA-5(a) }} and when new vulnerabilities potentially affecting the system are identified and reported;</li><li>b. Employ vulnerability monitoring tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:</li><ul><li>1. Enumerating platforms, software flaws, and improper configurations;</li><li>2. Formatting checklists and test procedures; and</li><li>3. Measuring vulnerability impact;</li></ul><li>c. Analyze vulnerability scan reports and results from vulnerability monitoring;</li><li>d. Remediate legitimate vulnerabilities {{ insert: param, RA-5(d) }} in accordance with an organizational assessment of risk;</li><li>e. Share information obtained from the vulnerability monitoring process and control assessments with {{ insert: param, RA-5(e) }} to help eliminate similar vulnerabilities in other systems; and</li><li>f. Employ vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned.</li></ul><br/><strong>Guidance</strong><p>Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability monitoring (including scans). Organizations determine the required vulnerability monitoring for system components, ensuring that the potential sources of vulnerabilities—such as infrastructure components (e.g., switches, routers, guards, sensors), networked printers, scanners, and copiers—are not overlooked. The capability to readily update vulnerability monitoring tools as new vulnerabilities are discovered and announced and as new scanning methods are developed helps to ensure that new vulnerabilities are not missed by employed vulnerability monitoring tools. The vulnerability monitoring tool update process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability monitoring and analyses for custom software may require additional approaches, such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools, including web-based application scanners, static analysis tools, and binary analyzers.</p><p>Vulnerability monitoring includes scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for flow control mechanisms that are improperly configured or operating incorrectly. Vulnerability monitoring may also include continuous vulnerability monitoring tools that use instrumentation to continuously analyze components. Instrumentation-based tools may improve accuracy and may be run throughout an organization without scanning. Vulnerability monitoring tools that facilitate interoperability include tools that are Security Content Automated Protocol (SCAP)-validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that employ the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments, such as red team exercises, provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).</p><p>Vulnerability monitoring includes a channel and process for receiving reports of security vulnerabilities from the public at-large. Vulnerability disclosure programs can be as simple as publishing a monitored email address or web form that can receive reports, including notification authorizing good-faith research and disclosure of security vulnerabilities. Organizations generally expect that such research is happening with or without their authorization and can use public vulnerability disclosure channels to increase the likelihood that discovered vulnerabilities are reported directly to the organization for remediation.</p><p>Organizations may also employ the use of financial incentives (also known as <q>bug bounties</q> ) to further encourage external security researchers to report discovered vulnerabilities. Bug bounty programs can be tailored to the organization’s needs. Bounties can be operated indefinitely or over a defined period of time and can be offered to the general public or to a curated group. Organizations may run public and private bounties simultaneously and could choose to offer partially credentialed access to certain participants in order to evaluate security vulnerabilities from privileged vantage points.</p><br/><strong>RA-5 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> See the FedRAMP Documents page> Vulnerability Scanning Requirements https://www.FedRAMP.gov/documents/</li><li><b>Guidance:</b> Informational findings from a scanner are detailed as a returned result that holds no vulnerability risk or severity and for FedRAMP does not require an entry onto the POA&M or entry onto the RET during any assessment phase.Warning findings, on the other hand, are given a risk rating (low, moderate, high or critical) by the scanning solution and should be treated like any other finding with a risk or severity rating for tracking purposes onto either the POA&M or RET depending on when the findings originated (during assessments or during monthly continuous monitoring). If a warning is received during scanning, but further validation turns up no actual issue then this item should be categorized as a false positive. If this situation presents itself during an assessment phase (initial assessment, annual assessment or any SCR), follow guidance on how to report false positives in the Security Assessment Report (SAR). If this situation happens during monthly continuous monitoring, a deviation request will need to be submitted per the FedRAMP Vulnerability Deviation Request Form.Warnings are commonly associated with scanning solutions that also perform compliance scans, and if the scanner reports a \"warning\" as part of the compliance scanning of a CSO, follow guidance surrounding the tracking of compliance findings during either the assessment phases (initial assessment, annual assessment or any SCR) or monthly continuous monitoring as it applies. Guidance on compliance scan findings can be found by searching on \"Tracking of Compliance Scans\" in FAQs.</li><li><b>(a) Requirement:</b> an accredited independent assessor scans operating systems/infrastructure, web applications, and databases once annually.</li><li><b>(d) Requirement:</b> If a vulnerability is listed among the CISA Known Exploited Vulnerability (KEV) Catalog (https://www.cisa.gov/known-exploited-vulnerabilities-catalog) the KEV remediation date supersedes the FedRAMP parameter requirement.</li><li><b>(e) Requirement:</b> to include all Authorizing Officials; for JAB authorizations to include FedRAMP</li></ul>","uuid":"2804cac1-a61c-4009-aefe-a553156bd225","family":"Risk Assessment","parameters":[{"constraints":"monthly operating system/infrastructure; monthly web applications (including APIs) and databases","displayName":"","dataType":"","guidance":"","uuid":"3bb66848-1716-4b0e-9566-7c382fde0e34","otherId":"ra-5_prm_1","parameterId":"RA-5(a)","text":"organization-defined frequency and/or randomly in accordance with organization-defined process","default":"[FedRAMP Assignment: monthly operating system/infrastructure; monthly web applications (including APIs) and databases]"},{"constraints":"high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery","displayName":"","dataType":"","guidance":"response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk are defined;","uuid":"c918bd6f-daf2-49bb-95a3-eceac8c860e8","otherId":"ra-05_odp.03","parameterId":"RA-5(d)","text":"response times","default":"[FedRAMP Assignment: high-risk vulnerabilities mitigated within thirty (30) days from date of discovery; moderate-risk vulnerabilities mitigated within ninety (90) days from date of discovery; low risk vulnerabilities mitigated within one hundred and eighty (180) days from date of discovery]"},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles with whom information obtained from the vulnerability scanning process and control assessments is to be shared;","uuid":"ed3d5525-6c09-40c1-a6d1-bca3644c143a","otherId":"ra-05_odp.04","parameterId":"RA-5(e)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"RA-05a.[01]","test":"Assessment Objective: Determine if systems and hosted applications are monitored for vulnerabilities {{ insert: param, ra-05_odp.01 }} and when new vulnerabilities potentially affecting the system are identified and reported;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.a-1","defaultText":null,"uuid":"09d3e24e-ff05-463c-a8b9-8b04275fa898"},{"testId":"RA-05a.[02]","test":"Assessment Objective: Determine if systems and hosted applications are scanned for vulnerabilities {{ insert: param, ra-05_odp.02 }} and when new vulnerabilities potentially affecting the system are identified and reported;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.a-2","defaultText":null,"uuid":"02e6869e-ccf3-42f9-bd82-eea419190d31"},{"testId":"RA-05b.01","test":"Assessment Objective: Determine if vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools; vulnerability monitoring tools and techniques are employed to automate parts of the vulnerability management process by using standards for enumerating platforms, software flaws, and improper configurations;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.b.1","defaultText":null,"uuid":"d71adbc8-3d9b-43a9-a8c8-3e56240d57be"},{"testId":"RA-05b.02","test":"Assessment Objective: Determine if vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools; vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for formatting checklists and test procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.b.2","defaultText":null,"uuid":"08609ec7-7a6f-490c-a892-5dbde7e2a9db"},{"testId":"RA-05b.03","test":"Assessment Objective: Determine if vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools; vulnerability monitoring tools and techniques are employed to facilitate interoperability among tools and to automate parts of the vulnerability management process by using standards for measuring vulnerability impact;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.b.3","defaultText":null,"uuid":"f84fb7ad-7ee8-4c28-b41d-9acfaa9fa11d"},{"testId":"RA-05c.","test":"Assessment Objective: Determine if vulnerability scan reports and results from vulnerability monitoring are analyzed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.c","defaultText":null,"uuid":"e33cc1ca-4ec6-4ed0-a4bc-944f6ca0847f"},{"testId":"RA-05d.","test":"Assessment Objective: Determine if legitimate vulnerabilities are remediated {{ insert: param, ra-05_odp.03 }} in accordance with an organizational assessment of risk;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.d","defaultText":null,"uuid":"7f199ba1-8cb5-4b12-9838-aa76837f93c0"},{"testId":"RA-05e.","test":"Assessment Objective: Determine if information obtained from the vulnerability monitoring process and control assessments is shared with {{ insert: param, ra-05_odp.04 }} to help eliminate similar vulnerabilities in other systems;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.e","defaultText":null,"uuid":"57a81b2d-dabe-42c4-b19c-57fd7d56e810"},{"testId":"RA-05f.","test":"Assessment Objective: Determine if vulnerability monitoring tools that include the capability to readily update the vulnerabilities to be scanned are employed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Procedures addressing vulnerability scanning.</li><li>Risk assessment.</li><li>Assessment report.</li><li>Vulnerability scanning tools and associated configuration documentation.</li><li>Vulnerability scanning results.</li><li>Patch and vulnerability management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with risk assessment, control assessment, and vulnerability scanning responsibilities.</li><li>Organizational personnel with vulnerability scan analysis responsibilities.</li><li>Organizational personnel with vulnerability remediation responsibilities.</li><li>Organizational personnel with security responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for vulnerability scanning, analysis, remediation, and information sharing.</li><li>Mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing.</li></ul>","otherId":"ra-5_obj.f","defaultText":null,"uuid":"ea612205-7054-448b-8bc4-9b0130340efd"}],"weight":1,"title":"RA-05 - Vulnerability Monitoring and Scanning","enhancements":"<strong>Enhancements</strong><ul><li>RA-5(2) - Update Vulnerabilities to Be Scanned</li><li>RA-5(3) - Breadth and Depth of Coverage</li><li>RA-5(5) - Privileged Access</li><li>RA-5(11) - Public Disclosure Program</li></ul>","otherId":"ra-5","sortId":"ra-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-5"},{"objectives":[{"objectiveType":"","otherId":"ra-7_smt","name":"RA-7","description":"Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance.","uuid":"a3c2f882-3ca9-4ca9-ba94-0fece9f77e49"}],"description":"<p>Respond to findings from security and privacy assessments, monitoring, and audits in accordance with organizational risk tolerance.</p><br/><strong>Guidance</strong><p>Organizations have many options for responding to risk including mitigating risk by implementing new controls or strengthening existing controls, accepting risk with appropriate justification or rationale, sharing or transferring risk, or avoiding risk. The risk tolerance of the organization influences risk response decisions and actions. Risk response addresses the need to determine an appropriate response to risk before generating a plan of action and milestones entry. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so that a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk, and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.</p>","uuid":"d4c7e086-5094-4681-8a73-592457e8cfb9","family":"Risk Assessment","parameters":[],"subControls":null,"tests":[{"testId":"RA-07[01]","test":"Assessment Objective: Determine if findings from security assessments are responded to in accordance with organizational risk tolerance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Assessment reports.</li><li>Audit records/event logs.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment and auditing responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assessments and audits.</li><li>Mechanisms/tools supporting and/or implementing assessments and auditing.</li></ul>","otherId":"ra-7_obj-1","defaultText":null,"uuid":"fecc039a-a989-480b-a08e-60d4ccec60a8"},{"testId":"RA-07[02]","test":"Assessment Objective: Determine if findings from privacy assessments are responded to in accordance with organizational risk tolerance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Assessment reports.</li><li>Audit records/event logs.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment and auditing responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assessments and audits.</li><li>Mechanisms/tools supporting and/or implementing assessments and auditing.</li></ul>","otherId":"ra-7_obj-2","defaultText":null,"uuid":"81c47347-0220-4ce6-ac3d-5f4727c7e06e"},{"testId":"RA-07[03]","test":"Assessment Objective: Determine if findings from monitoring are responded to in accordance with organizational risk tolerance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Assessment reports.</li><li>Audit records/event logs.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment and auditing responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assessments and audits.</li><li>Mechanisms/tools supporting and/or implementing assessments and auditing.</li></ul>","otherId":"ra-7_obj-3","defaultText":null,"uuid":"7e36579f-c983-4ec9-8267-09b3966a2708"},{"testId":"RA-07[04]","test":"Assessment Objective: Determine if findings from audits are responded to in accordance with organizational risk tolerance.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Assessment reports.</li><li>Audit records/event logs.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment and auditing responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with security and privacy responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assessments and audits.</li><li>Mechanisms/tools supporting and/or implementing assessments and auditing.</li></ul>","otherId":"ra-7_obj-4","defaultText":null,"uuid":"ae1571a0-1b95-4d6d-b679-725d028b3fce"}],"weight":1,"title":"RA-07 - Risk Response","enhancements":"","otherId":"ra-7","sortId":"ra-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-7"},{"objectives":[{"objectiveType":"","otherId":"ra-9_smt","name":"RA-9","description":"Identify critical system components and functions by performing a criticality analysis for {{ insert: param, RA-9-1 }} at {{ insert: param, RA-9-2 }}.","uuid":"09c9c35f-472b-4106-8f72-f7f89d13e9d9"}],"description":"<p>Identify critical system components and functions by performing a criticality analysis for {{ insert: param, RA-9-1 }} at {{ insert: param, RA-9-2 }}.</p><br/><strong>Guidance</strong><p>Not all system components, functions, or services necessarily require significant protections. For example, criticality analysis is a key tenet of supply chain risk management and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable laws, executive orders, regulations, directives, policies, standards, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct a functional decomposition of a system to identify mission-critical functions and components. The functional decomposition includes the identification of organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and external to the system.</p><p>The operational environment of a system or a system component may impact the criticality, including the connections to and dependencies on cyber-physical systems, devices, system-of-systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities that such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions that are supported by the system that contains the components and functions.</p><p>Criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If such analysis is performed early in the system development life cycle, organizations may be able to modify the system design to reduce the critical nature of these components and functions, such as by adding redundancy or alternate paths into the system design. Criticality analysis can also influence the protection measures required by development contractors. In addition to criticality analysis for systems, system components, and system services, criticality analysis of information is an important consideration. Such analysis is conducted as part of security categorization in <a href=\"#ra-2\">RA-2</a>.</p>","uuid":"d47312dc-b196-4ed9-8f0f-62129f51e335","family":"Risk Assessment","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"systems, system components, or system services to be analyzed for criticality are defined;","uuid":"67ac2d74-baab-466a-b6de-f857294be83a","otherId":"ra-09_odp.01","parameterId":"RA-9-1","text":"systems, system components, or system services","default":" [Assignment: organization-defined systems, system components, or system services] "},{"constraints":"","displayName":"","dataType":"","guidance":"decision points in the system development life cycle when a criticality analysis is to be performed are defined;","uuid":"1e8df18b-f9af-4ff7-a114-dc3b937ecd45","otherId":"ra-09_odp.02","parameterId":"RA-9-2","text":"decision points in the system development life cycle","default":" [Assignment: organization-defined decision points in the system development life cycle] "}],"subControls":null,"tests":[{"testId":"RA-09","test":"Assessment Objective: Determine if critical system components and functions are identified by performing a criticality analysis for {{ insert: param, ra-09_odp.01 }} at {{ insert: param, ra-09_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Risk assessment policy.</li><li>Assessment reports.</li><li>Criticality analysis/finalized criticality for each component/subcomponent.</li><li>Audit records/event logs.</li><li>Analysis reports.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with assessment and auditing responsibilities.</li><li>Organizational personnel with criticality analysis responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for assessments and audits.</li><li>Mechanisms/tools supporting and/or implementing assessments and auditing.</li></ul>","otherId":"ra-9_obj","defaultText":null,"uuid":"23930cef-240b-4c28-84d2-e3b03d18aad7"}],"weight":1,"title":"RA-09 - Criticality Analysis","enhancements":"","otherId":"ra-9","sortId":"ra-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"RA-9"},{"objectives":[{"objectiveType":"","otherId":"sa-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SA-1(a) }}:</li><ul><li>1. {{ insert: param, SA-1(a)(1) }} system and services acquisition policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;</li></ul>","uuid":"33a8b8b9-b506-4c82-b7a5-27bbd73c3eb5"},{"objectiveType":"","otherId":"sa-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, SA-1(b) }} to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and</li></ul>","uuid":"c83e410b-0f1f-4999-af70-c8eb8809a312"},{"objectiveType":"","otherId":"sa-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current system and services acquisition:</li><ul><li>1. Policy {{ insert: param, SA-1(c)(1)-1 }} and following {{ insert: param, SA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SA-1(c)(2)-1 }} and following {{ insert: param, SA-1(c)(2)-2 }}.</li></ul>","uuid":"ff69f1a9-9220-412a-bc84-180b6a89b7ae"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SA-1(a) }}:</li><ul><li>1. {{ insert: param, SA-1(a)(1) }} system and services acquisition policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;</li></ul><li>b. Designate an {{ insert: param, SA-1(b) }} to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures; and</li><li>c. Review and update the current system and services acquisition:</li><ul><li>1. Policy {{ insert: param, SA-1(c)(1)-1 }} and following {{ insert: param, SA-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SA-1(c)(2)-1 }} and following {{ insert: param, SA-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>System and services acquisition policy and procedures address the controls in the SA family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and services acquisition policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and services acquisition policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"4d2a0e79-23c6-42c2-adf5-9d5fcdd20d8e","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"9f625610-decc-4e85-b7b3-04f97c2d3fd0","otherId":"sa-1_prm_1","parameterId":"SA-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"3677257d-14e3-4660-a116-beeb44f76bfe","otherId":"sa-01_odp.03","parameterId":"SA-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the system and services acquisition policy and procedures is defined;","uuid":"91c5d81e-21c2-4736-8af3-37e6cb4f7213","otherId":"sa-01_odp.04","parameterId":"SA-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current system and services acquisition policy is reviewed and updated is defined;","uuid":"a0addc52-a0b1-490c-b3b4-55f9e2d66451","otherId":"sa-01_odp.05","parameterId":"SA-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current system and services acquisition policy to be reviewed and updated are defined;","uuid":"123473b6-839b-445b-98c1-5d6f846310e2","otherId":"sa-01_odp.06","parameterId":"SA-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current system and services acquisition procedures are reviewed and updated is defined;","uuid":"8e5a97a0-8dea-4b0b-af31-e63cc13c2f61","otherId":"sa-01_odp.07","parameterId":"SA-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require the system and services acquisition procedures to be reviewed and updated are defined;","uuid":"b790f469-0134-4540-b625-434b6ffc26bc","otherId":"sa-01_odp.08","parameterId":"SA-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"SA-01a.[01]","test":"Assessment Objective: Determine if a system and services acquisition policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a-1","defaultText":null,"uuid":"26a0ce9a-f37b-40c7-bb6e-9e09aa96c33b"},{"testId":"SA-01a.[02]","test":"Assessment Objective: Determine if the system and services acquisition policy is disseminated to {{ insert: param, sa-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a-2","defaultText":null,"uuid":"10c1f2e4-ba0f-49aa-8307-934c4d6c3f4b"},{"testId":"SA-01a.[03]","test":"Assessment Objective: Determine if system and services acquisition procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a-3","defaultText":null,"uuid":"412942bd-2b97-48a1-b455-14f33cb829c7"},{"testId":"SA-01a.[04]","test":"Assessment Objective: Determine if the system and services acquisition procedures are disseminated to {{ insert: param, sa-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a-4","defaultText":null,"uuid":"f162609e-ee62-4b4a-a77d-e5de0c3e42dc"},{"testId":"SA-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.a-1","defaultText":null,"uuid":"36fd97a0-986d-4110-8c41-a495a1211caa"},{"testId":"SA-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.a-2","defaultText":null,"uuid":"8fcef945-1c48-49b6-87f9-b796990bec77"},{"testId":"SA-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.a-3","defaultText":null,"uuid":"2ceba50d-cb82-45f6-8ea2-cff82fea892a"},{"testId":"SA-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.a-4","defaultText":null,"uuid":"6be13a30-1d25-4bd9-adab-0ea715bec451"},{"testId":"SA-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.a-5","defaultText":null,"uuid":"a20b0d85-0034-4b1d-9eed-067cefdb94e4"},{"testId":"SA-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.a-6","defaultText":null,"uuid":"d25525de-ffd5-4fcf-8570-58fa7a101d63"},{"testId":"SA-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.a-7","defaultText":null,"uuid":"0256058e-9519-495d-85b0-9c6c7aa8e18b"},{"testId":"SA-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.03 }} system and services acquisition policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.a.1.b","defaultText":null,"uuid":"b69bf20f-f908-4832-8481-7658418aa979"},{"testId":"SA-01b.","test":"Assessment Objective: Determine if the {{ insert: param, sa-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and services acquisition policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.b","defaultText":null,"uuid":"aca027a3-5280-4d68-b59d-904b9214fb57"},{"testId":"SA-01c.01[01]","test":"Assessment Objective: Determine if the system and services acquisition policy is reviewed and updated {{ insert: param, sa-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.c.1-1","defaultText":null,"uuid":"7183afac-87f9-403f-b617-24c53427f1b3"},{"testId":"SA-01c.01[02]","test":"Assessment Objective: Determine if the current system and services acquisition policy is reviewed and updated following {{ insert: param, sa-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.c.1-2","defaultText":null,"uuid":"2b5e2765-61dd-407b-84c4-210b61af92fc"},{"testId":"SA-01c.02[01]","test":"Assessment Objective: Determine if the current system and services acquisition procedures are reviewed and updated {{ insert: param, sa-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.c.2-1","defaultText":null,"uuid":"0f648e46-8f28-4c57-8438-3a3006b6f3ec"},{"testId":"SA-01c.02[02]","test":"Assessment Objective: Determine if the current system and services acquisition procedures are reviewed and updated following {{ insert: param, sa-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul>","otherId":"sa-1_obj.c.2-2","defaultText":null,"uuid":"f3da028b-a39e-43f2-9278-b911eef0ce16"}],"weight":1,"title":"SA-01 - Policy and Procedures","enhancements":"","otherId":"sa-1","sortId":"sa-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-1"},{"objectives":[{"objectiveType":"","otherId":"sa-2_smt.a","name":"a.","description":"<ul><li>a. Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;</li></ul>","uuid":"54cef77e-8f4f-4f5e-8152-6418f71ef791"},{"objectiveType":"","otherId":"sa-2_smt.b","name":"b.","description":"<ul><li>b. Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and</li></ul>","uuid":"9059fb73-f996-4416-a3c3-9a105d4f1c8f"},{"objectiveType":"","otherId":"sa-2_smt.c","name":"c.","description":"<ul><li>c. Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation.</li></ul>","uuid":"08632205-d6ac-467c-abd0-d301396cc85b"}],"description":"<ul><li>a. Determine the high-level information security and privacy requirements for the system or system service in mission and business process planning;</li><li>b. Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and</li><li>c. Establish a discrete line item for information security and privacy in organizational programming and budgeting documentation.</li></ul><br/><strong>Guidance</strong><p>Resource allocation for information security and privacy includes funding for system and services acquisition, sustainment, and supply chain-related risks throughout the system development life cycle.</p>","uuid":"ca6ff45d-00f8-4d5b-9060-5d18169e9235","family":"System and Services Acquisition","parameters":[],"subControls":null,"tests":[{"testId":"SA-02a.[01]","test":"Assessment Objective: Determine if the high-level information security requirements for the system or system service are determined in mission and business process planning;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>System and services acquisition strategy and plans.</li><li>Procedures addressing the allocation of resources to information security and privacy requirements.</li><li>Procedures addressing capital planning and investment control.</li><li>Organizational programming and budgeting documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining information security and privacy requirements.</li><li>Organizational processes for capital planning, programming, and budgeting.</li><li>Mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting.</li></ul>","otherId":"sa-2_obj.a-1","defaultText":null,"uuid":"fefca502-66da-452a-95e7-4990e8b58f30"},{"testId":"SA-02a.[02]","test":"Assessment Objective: Determine if the high-level privacy requirements for the system or system service are determined in mission and business process planning;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>System and services acquisition strategy and plans.</li><li>Procedures addressing the allocation of resources to information security and privacy requirements.</li><li>Procedures addressing capital planning and investment control.</li><li>Organizational programming and budgeting documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining information security and privacy requirements.</li><li>Organizational processes for capital planning, programming, and budgeting.</li><li>Mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting.</li></ul>","otherId":"sa-2_obj.a-2","defaultText":null,"uuid":"9a0c7b65-cb82-4e96-8f5d-d8eec035f20c"},{"testId":"SA-02b.[01]","test":"Assessment Objective: Determine if the resources required to protect the system or system service are determined and documented as part of the organizational capital planning and investment control process;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>System and services acquisition strategy and plans.</li><li>Procedures addressing the allocation of resources to information security and privacy requirements.</li><li>Procedures addressing capital planning and investment control.</li><li>Organizational programming and budgeting documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining information security and privacy requirements.</li><li>Organizational processes for capital planning, programming, and budgeting.</li><li>Mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting.</li></ul>","otherId":"sa-2_obj.b-1","defaultText":null,"uuid":"23e55ecd-85e2-460b-99ef-623c284eebf6"},{"testId":"SA-02b.[02]","test":"Assessment Objective: Determine if the resources required to protect the system or system service are allocated as part of the organizational capital planning and investment control process;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>System and services acquisition strategy and plans.</li><li>Procedures addressing the allocation of resources to information security and privacy requirements.</li><li>Procedures addressing capital planning and investment control.</li><li>Organizational programming and budgeting documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining information security and privacy requirements.</li><li>Organizational processes for capital planning, programming, and budgeting.</li><li>Mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting.</li></ul>","otherId":"sa-2_obj.b-2","defaultText":null,"uuid":"dbd29748-5cb4-460c-ace2-014e4c9cd61f"},{"testId":"SA-02c.[01]","test":"Assessment Objective: Determine if a discrete line item for information security is established in organizational programming and budgeting documentation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>System and services acquisition strategy and plans.</li><li>Procedures addressing the allocation of resources to information security and privacy requirements.</li><li>Procedures addressing capital planning and investment control.</li><li>Organizational programming and budgeting documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining information security and privacy requirements.</li><li>Organizational processes for capital planning, programming, and budgeting.</li><li>Mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting.</li></ul>","otherId":"sa-2_obj.c-1","defaultText":null,"uuid":"c76870ec-0017-43b4-825f-b311d34f2a43"},{"testId":"SA-02c.[02]","test":"Assessment Objective: Determine if a discrete line item for privacy is established in organizational programming and budgeting documentation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>System and services acquisition strategy and plans.</li><li>Procedures addressing the allocation of resources to information security and privacy requirements.</li><li>Procedures addressing capital planning and investment control.</li><li>Organizational programming and budgeting documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management policy.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with capital planning, investment control, organizational programming, and budgeting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining information security and privacy requirements.</li><li>Organizational processes for capital planning, programming, and budgeting.</li><li>Mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting.</li></ul>","otherId":"sa-2_obj.c-2","defaultText":null,"uuid":"3cc6503a-4f77-480f-aa2e-db8773f3152a"}],"weight":1,"title":"SA-02 - Allocation of Resources","enhancements":"","otherId":"sa-2","sortId":"sa-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-2"},{"objectives":[{"objectiveType":"","otherId":"sa-3_smt.a","name":"a.","description":"<ul><li>a. Acquire, develop, and manage the system using {{ insert: param, SA-3(a) }} that incorporates information security and privacy considerations;</li></ul>","uuid":"c43572c8-c2ea-4b6f-9378-c16cb0987527"},{"objectiveType":"","otherId":"sa-3_smt.b","name":"b.","description":"<ul><li>b. Define and document information security and privacy roles and responsibilities throughout the system development life cycle;</li></ul>","uuid":"72eaad67-453f-4a13-8fc8-18fc7596453e"},{"objectiveType":"","otherId":"sa-3_smt.c","name":"c.","description":"<ul><li>c. Identify individuals having information security and privacy roles and responsibilities; and</li></ul>","uuid":"755ddbc7-95d2-4c37-9685-476299bd21b0"},{"objectiveType":"","otherId":"sa-3_smt.d","name":"d.","description":"<ul><li>d. Integrate the organizational information security and privacy risk management process into system development life cycle activities.</li></ul>","uuid":"49bf139c-eef8-426d-acf0-ac790f943871"}],"description":"<ul><li>a. Acquire, develop, and manage the system using {{ insert: param, SA-3(a) }} that incorporates information security and privacy considerations;</li><li>b. Define and document information security and privacy roles and responsibilities throughout the system development life cycle;</li><li>c. Identify individuals having information security and privacy roles and responsibilities; and</li><li>d. Integrate the organizational information security and privacy risk management process into system development life cycle activities.</li></ul><br/><strong>Guidance</strong><p>A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. The integration of security and privacy considerations early in the system development life cycle is a foundational principle of systems security engineering and privacy engineering. To apply the required controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical mission and business functions. The security engineering principles in <a href=\"#sa-8\">SA-8</a> help individuals properly design, code, and test systems and system components. Organizations include qualified personnel (e.g., senior agency information security officers, senior agency officials for privacy, security and privacy architects, and security and privacy engineers) in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. Role-based security and privacy training programs can ensure that individuals with key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities.</p><p>The effective integration of security and privacy requirements into enterprise architecture also helps to ensure that important security and privacy considerations are addressed throughout the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with the risk management strategy of the organization. Because the system development life cycle involves multiple organizations, (e.g., external suppliers, developers, integrators, service providers), acquisition and supply chain risk management functions and controls play significant roles in the effective management of the system during the life cycle.</p>","uuid":"d2f0044a-39a1-488c-94aa-1b26e1123849","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"system development life cycle is defined;","uuid":"f484d8e8-8665-4392-aeb9-47a59f6141bf","otherId":"sa-03_odp","parameterId":"SA-3(a)","text":"system-development life cycle","default":" [Assignment: organization-defined system-development life cycle] "}],"subControls":null,"tests":[{"testId":"SA-03a.[01]","test":"Assessment Objective: Determine if the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates information security considerations;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.a-1","defaultText":null,"uuid":"8d487cad-b2fd-4972-8f62-48aa76ad416f"},{"testId":"SA-03a.[02]","test":"Assessment Objective: Determine if the system is acquired, developed, and managed using {{ insert: param, sa-03_odp }} that incorporates privacy considerations;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.a-2","defaultText":null,"uuid":"b4edb818-4763-4116-b10a-414b7b8178b7"},{"testId":"SA-03b.[01]","test":"Assessment Objective: Determine if information security roles and responsibilities are defined and documented throughout the system development life cycle;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.b-1","defaultText":null,"uuid":"60242ab8-3637-438b-a93d-22b116ad704f"},{"testId":"SA-03b.[02]","test":"Assessment Objective: Determine if privacy roles and responsibilities are defined and documented throughout the system development life cycle;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.b-2","defaultText":null,"uuid":"a9f06873-4ad3-4184-9420-7f888aa33af8"},{"testId":"SA-03c.[01]","test":"Assessment Objective: Determine if individuals with information security roles and responsibilities are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.c-1","defaultText":null,"uuid":"345690e0-38c0-4fe5-a4fc-c63f30fc3bfe"},{"testId":"SA-03c.[02]","test":"Assessment Objective: Determine if individuals with privacy roles and responsibilities are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.c-2","defaultText":null,"uuid":"e2691add-5016-420a-8cff-1707654d3b20"},{"testId":"SA-03d.[01]","test":"Assessment Objective: Determine if organizational information security risk management processes are integrated into system development life cycle activities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.d-1","defaultText":null,"uuid":"c60f29ed-fb5b-42a3-93ef-cd25cf47827d"},{"testId":"SA-03d.[02]","test":"Assessment Objective: Determine if organizational privacy risk management processes are integrated into system development life cycle activities.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the system development life cycle process.</li><li>System development life cycle documentation.</li><li>Organizational risk management strategy.</li><li>Information security and privacy risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Enterprise architecture documentation.</li><li>Role-based security and privacy training program documentation.</li><li>Data mapping documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system life cycle development responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle.</li><li>Organizational processes for identifying system development life cycle roles and responsibilities.</li><li>Organizational processes for integrating information security and privacy and supply chain risk management into the system development life cycle.</li><li>Mechanisms supporting and/or implementing the system development life cycle.</li></ul>","otherId":"sa-3_obj.d-2","defaultText":null,"uuid":"fc81887f-70af-4a22-b0a1-545b011426db"}],"weight":1,"title":"SA-03 - System Development Life Cycle","enhancements":"","otherId":"sa-3","sortId":"sa-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-3"},{"objectives":[{"objectiveType":"","otherId":"sa-4.1_smt","name":"SA-4(1)","description":"Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.","uuid":"3339f379-bca4-4cb1-9234-ad431b74fadc"}],"description":"<p>Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.</p><br/><strong>Guidance</strong><p>Functional properties of security and privacy controls describe the functionality (i.e., security or privacy capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.</p>","uuid":"21a801f7-8b70-4992-be46-dfcb703ef26b","family":"System and Services Acquisition","parameters":[],"subControls":null,"tests":[{"testId":"SA-04(01)","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to provide a description of the functional properties of the controls to be implemented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of security and privacy requirements, descriptions, and criteria into the acquisition process.</li><li>Solicitation documents.</li><li>Acquisition documentation.</li><li>Acquisition contracts for the system, system component, or system services.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security functional requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4.1_obj","defaultText":null,"uuid":"aac90c09-e754-4b8b-95bf-22199698d3d7"}],"weight":1,"title":"SA-04(01) - Functional Properties of Controls","enhancements":null,"otherId":"sa-4.1","sortId":"sa-04.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-4(1)"},{"objectives":[{"objectiveType":"","otherId":"sa-4.2_smt","name":"SA-4(2)","description":"Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, SA-4(2)-1 }} at {{ insert: param, SA-4(2)-2 }}.","uuid":"24a4c9f4-1469-4921-b2f6-d1bf53cdcf75"}],"description":"<p>Require the developer of the system, system component, or system service to provide design and implementation information for the controls that includes: {{ insert: param, SA-4(2)-1 }} at {{ insert: param, SA-4(2)-2 }}.</p><br/><strong>Guidance</strong><p>Organizations may require different levels of detail in the documentation for the design and implementation of controls in organizational systems, system components, or system services based on mission and business requirements, requirements for resiliency and trustworthiness, and requirements for analysis and testing. Systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation can include manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source. Source code and hardware schematics are referred to as the implementation representation of the system.</p>","uuid":"0c37cb92-ff5c-4920-ad47-473fe6209b24","family":"System and Services Acquisition","parameters":[{"constraints":"at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram;","displayName":"","dataType":"","guidance":"","uuid":"22ee5d46-ddd3-4895-9189-ee07cd671c61","otherId":"sa-04.02_odp.01","parameterId":"SA-4(2)-1","text":"[Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; [(NESTED PARAMETER) Assignment for sa-04.02_odp.02: design and implementation information]]","default":"[FedRAMP Assignment: at a minimum to include security-relevant external system interfaces; high-level design; low-level design; source code or network and data flow diagram;]"},{"constraints":"","displayName":"","dataType":"","guidance":"level of detail is defined;","uuid":"66332ee0-5f7e-4de6-9ca5-0d27682a712b","otherId":"sa-04.02_odp.03","parameterId":"SA-4(2)-2","text":"level of detail","default":" [Assignment: organization-defined level of detail] "}],"subControls":null,"tests":[{"testId":"SA-04(02)","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to provide design and implementation information for the controls that includes using {{ insert: param, sa-04.02_odp.01 }} at {{ insert: param, sa-04.02_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process.</li><li>Solicitation documents.</li><li>Acquisition documentation.</li><li>Acquisition contracts for the system, system components, or system services.</li><li>Design and implementation information for controls employed in the system, system component, or system service.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with the responsibility to determine system security requirements.</li><li>System developers or service provider.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining the level of detail for system design and controls.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing the development of system design details.</li></ul>","otherId":"sa-4.2_obj","defaultText":null,"uuid":"0b12ae84-5acf-4499-98d5-277114b181e5"}],"weight":1,"title":"SA-04(02) - Design and Implementation Information for Controls","enhancements":null,"otherId":"sa-4.2","sortId":"sa-04.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-4(2)"},{"objectives":[{"objectiveType":"","otherId":"sa-4.9_smt","name":"SA-4(9)","description":"Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.","uuid":"5a7e0867-e3af-4cd9-8a30-2e50208ef779"}],"description":"<p>Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.</p><br/><strong>Guidance</strong><p>The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design stages) allows organizations to influence the design of the system, system component, or system service. This early involvement in the system development life cycle helps organizations avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services or requiring system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. <a href=\"#sa-9\">SA-9</a> describes the requirements for external system services. Organizations identify which functions, ports, protocols, and services are provided from external sources.</p>","uuid":"78624bd4-0769-4fc0-a697-c4fb62011ec3","family":"System and Services Acquisition","parameters":[],"subControls":null,"tests":[{"testId":"SA-04(09)[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to identify the functions intended for organizational use;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process.</li><li>System design documentation.</li><li>System documentation, including functions, ports, protocols, and services intended for organizational use.</li><li>Acquisition contracts for systems or services.</li><li>Acquisition documentation.</li><li>Solicitation documentation.</li><li>Service level agreements.</li><li>Organizational security requirements, descriptions, and criteria for developers of systems, system components, and system services.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with the responsibility for determining system security requirements.</li><li>System/network administrators.</li><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>System developers.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"sa-4.9_obj-1","defaultText":null,"uuid":"fd15f7a8-2898-4c13-9d42-f698e39640be"},{"testId":"SA-04(09)[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to identify the ports intended for organizational use;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process.</li><li>System design documentation.</li><li>System documentation, including functions, ports, protocols, and services intended for organizational use.</li><li>Acquisition contracts for systems or services.</li><li>Acquisition documentation.</li><li>Solicitation documentation.</li><li>Service level agreements.</li><li>Organizational security requirements, descriptions, and criteria for developers of systems, system components, and system services.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with the responsibility for determining system security requirements.</li><li>System/network administrators.</li><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>System developers.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"sa-4.9_obj-2","defaultText":null,"uuid":"eb38ce84-85e4-4289-9402-ff33663d2466"},{"testId":"SA-04(09)[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to identify the protocols intended for organizational use;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process.</li><li>System design documentation.</li><li>System documentation, including functions, ports, protocols, and services intended for organizational use.</li><li>Acquisition contracts for systems or services.</li><li>Acquisition documentation.</li><li>Solicitation documentation.</li><li>Service level agreements.</li><li>Organizational security requirements, descriptions, and criteria for developers of systems, system components, and system services.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with the responsibility for determining system security requirements.</li><li>System/network administrators.</li><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>System developers.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"sa-4.9_obj-3","defaultText":null,"uuid":"3d64e8ff-a38c-49ec-85e5-71c13ff3e9a9"},{"testId":"SA-04(09)[04]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to identify the services intended for organizational use.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process.</li><li>System design documentation.</li><li>System documentation, including functions, ports, protocols, and services intended for organizational use.</li><li>Acquisition contracts for systems or services.</li><li>Acquisition documentation.</li><li>Solicitation documentation.</li><li>Service level agreements.</li><li>Organizational security requirements, descriptions, and criteria for developers of systems, system components, and system services.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with the responsibility for determining system security requirements.</li><li>System/network administrators.</li><li>Organizational personnel operating, using, and/or maintaining the system.</li><li>System developers.</li><li>Organizational personnel with information security responsibilities.</li></ul>","otherId":"sa-4.9_obj-4","defaultText":null,"uuid":"b7cef193-6555-48f9-ba23-790323d439d0"}],"weight":1,"title":"SA-04(09) - Functions, Ports, Protocols, and Services in Use","enhancements":null,"otherId":"sa-4.9","sortId":"sa-04.09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-4(9)"},{"objectives":[{"objectiveType":"","otherId":"sa-4.10_smt","name":"SA-4(10)","description":"Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.","uuid":"ecff04b4-b1ef-4030-b359-de0b9bb4e45f"}],"description":"<p>Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.</p><br/><strong>Guidance</strong><p>Products on the FIPS 201-approved products list meet NIST requirements for Personal Identity Verification (PIV) of Federal Employees and Contractors. PIV cards are used for multi-factor authentication in systems and organizations.</p>","uuid":"af4cb2be-72ce-4309-829f-6cb71cc3220c","family":"System and Services Acquisition","parameters":[],"subControls":null,"tests":[{"testId":"SA-04(10)","test":"Assessment Objective: Determine if only information technology products on the FIPS 201-approved products list for the Personal Identity Verification (PIV) capability implemented within organizational systems are employed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Procedures addressing the integration of security requirements, descriptions, and criteria into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Service level agreements.</li><li>Fips 201 approved products list.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with the responsibility for determining system security requirements.</li><li>Organizational personnel with the responsibility for ensuring that only fips 201- approved products are implemented.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for selecting and employing fips 201-approved products.</li></ul>","otherId":"sa-4.10_obj","defaultText":null,"uuid":"2c443680-cfb9-4ad6-8389-f047e8c6cee1"}],"weight":1,"title":"SA-04(10) - Use of Approved PIV Products","enhancements":null,"otherId":"sa-4.10","sortId":"sa-04.10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-4(10)"},{"objectives":[{"objectiveType":"","otherId":"sa-4_smt.a","name":"a.","description":"<ul><li>a. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Security and privacy functional requirements;</li></ul>","uuid":"3a63ff0d-bb9d-49f4-aa0b-bc566d59d850"},{"objectiveType":"","otherId":"sa-4_smt.b","name":"b.","description":"<ul><li>b. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Strength of mechanism requirements;</li></ul>","uuid":"89d19c3c-91e6-48b9-afcd-a5355b1ddb04"},{"objectiveType":"","otherId":"sa-4_smt.c","name":"c.","description":"<ul><li>c. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Security and privacy assurance requirements;</li></ul>","uuid":"2d7dc261-38e1-4e88-9258-8dcce189a6ae"},{"objectiveType":"","otherId":"sa-4_smt.d","name":"d.","description":"<ul><li>d. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Controls needed to satisfy the security and privacy requirements.</li></ul>","uuid":"7f0ebf3e-1404-4a17-9491-9d7056b40f4e"},{"objectiveType":"","otherId":"sa-4_smt.e","name":"e.","description":"<ul><li>e. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Security and privacy documentation requirements;</li></ul>","uuid":"398e57db-0205-4edf-ba8e-3afb492a013b"},{"objectiveType":"","otherId":"sa-4_smt.f","name":"f.","description":"<ul><li>f. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Requirements for protecting security and privacy documentation;</li></ul>","uuid":"e26a71af-0fd8-4a3a-9d0b-b0af0c0f9925"},{"objectiveType":"","otherId":"sa-4_smt.g","name":"g.","description":"<ul><li>g. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Description of the system development environment and environment in which the system is intended to operate;</li></ul>","uuid":"eda8981c-60b0-4b19-89dd-815bce777940"},{"objectiveType":"","otherId":"sa-4_smt.h","name":"h.","description":"<ul><li>h. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and</li></ul>","uuid":"7e7bcbc8-be1d-44c4-bf84-a3e855534896"},{"objectiveType":"","otherId":"sa-4_smt.i","name":"i.","description":"<ul><li>i. Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service: Acceptance criteria.</li></ul>","uuid":"2b76278a-3eff-4ed0-876c-8a2b4b2af0ee"}],"description":"<p>Include the following requirements, descriptions, and criteria, explicitly or by reference, using {{ insert: param, SA-4 }} in the acquisition contract for the system, system component, or system service:</p><ul><li>a. Security and privacy functional requirements;</li><li>b. Strength of mechanism requirements;</li><li>c. Security and privacy assurance requirements;</li><li>d. Controls needed to satisfy the security and privacy requirements.</li><li>e. Security and privacy documentation requirements;</li><li>f. Requirements for protecting security and privacy documentation;</li><li>g. Description of the system development environment and environment in which the system is intended to operate;</li><li>h. Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and</li><li>i. Acceptance criteria.</li></ul><br/><strong>Guidance</strong><p>Security and privacy functional requirements are typically derived from the high-level security and privacy requirements described in <a href=\"#sa-2\">SA-2</a> . The derived requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Assurance requirements include development processes, procedures, and methodologies as well as the evidence from development and assessment activities that provide grounds for confidence that the required functionality is implemented and possesses the required strength of mechanism. <a href=\"#e3cc0520-a366-4fc9-abc2-5272db7e3564\">SP 800-160-1</a> describes the process of requirements engineering as part of the system development life cycle.</p><p>Controls can be viewed as descriptions of the safeguards and protection capabilities appropriate for achieving the particular security and privacy objectives of the organization and for reflecting the security and privacy requirements of stakeholders. Controls are selected and implemented in order to satisfy system requirements and include developer and organizational responsibilities. Controls can include technical, administrative, and physical aspects. In some cases, the selection and implementation of a control may necessitate additional specification by the organization in the form of derived requirements or instantiated control parameter values. The derived requirements and control parameter values may be necessary to provide the appropriate level of implementation detail for controls within the system development life cycle.</p><p>Security and privacy documentation requirements address all stages of the system development life cycle. Documentation provides user and administrator guidance for the implementation and operation of controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the capabilities, functions, or mechanisms to meet risk response expectations. Requirements can include mandated configuration settings that specify allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as the criteria for any organizational acquisition or procurement.</p><br/><strong>SA-4 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> The use of Common Criteria (ISO/IEC 15408) evaluated products is strongly preferred.See https://www.niap-ccevs.org/Product/index.cfm or https://www.commoncriteriaportal.org/products/.</li><li><b>Requirement:</b> The service provider must comply with Federal Acquisition Regulation (FAR) Subpart 7.103, and Section 889 of the John S. McCain National Defense Authorization Act (NDAA) for Fiscal Year 2019 (Pub. L. 115-232), and FAR Subpart 4.21, which implements Section 889 (as well as any added updates related to FISMA to address security concerns in the system acquisitions process).</li></ul>","uuid":"7b04b33e-f8f8-4831-99d6-b5ef3123cfa9","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"f62fb2bf-1059-4304-b8e3-93702d08b2db","otherId":"sa-04_odp.01","parameterId":"SA-4","text":"[Selection (one or more): standardized contract language; [(NESTED PARAMETER) Assignment for sa-04_odp.02: contract language]]","default":"[Selection (one or more): standardized contract language; [(NESTED PARAMETER) Assignment for sa-04_odp.02: contract language]]"}],"subControls":null,"tests":[{"testId":"SA-04a.[01]","test":"Assessment Objective: Determine if security functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.a-1","defaultText":null,"uuid":"eb07bd83-6e49-44d0-9940-605656696f7f"},{"testId":"SA-04a.[02]","test":"Assessment Objective: Determine if privacy functional requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.a-2","defaultText":null,"uuid":"693ee6ed-a0c1-4f25-9794-b45efd5afe7c"},{"testId":"SA-04b.","test":"Assessment Objective: Determine if strength of mechanism requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.b","defaultText":null,"uuid":"aa388b7e-78d5-49dc-a354-5d7ad0dfc34f"},{"testId":"SA-04c.[01]","test":"Assessment Objective: Determine if security assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.c-1","defaultText":null,"uuid":"6855cb5e-70c5-428c-a517-e782ab2c825e"},{"testId":"SA-04c.[02]","test":"Assessment Objective: Determine if privacy assurance requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.c-2","defaultText":null,"uuid":"695c1680-905d-4b5f-b043-637001c0de35"},{"testId":"SA-04d.[01]","test":"Assessment Objective: Determine if controls needed to satisfy the security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.d-1","defaultText":null,"uuid":"0c1de8d5-808e-4bce-ab18-34fec0279be1"},{"testId":"SA-04d.[02]","test":"Assessment Objective: Determine if controls needed to satisfy the privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.d-2","defaultText":null,"uuid":"ff59333a-85c2-4ff0-8257-7139d1ccb648"},{"testId":"SA-04e.[01]","test":"Assessment Objective: Determine if security documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.e-1","defaultText":null,"uuid":"e712e132-4662-4e9c-971a-4c2a9ffa71a7"},{"testId":"SA-04e.[02]","test":"Assessment Objective: Determine if privacy documentation requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.e-2","defaultText":null,"uuid":"9d7e8641-dbc3-473f-b55d-0559bc47f337"},{"testId":"SA-04f.[01]","test":"Assessment Objective: Determine if requirements for protecting security documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.f-1","defaultText":null,"uuid":"4c012037-db7d-493c-8f8e-4146eebdd1b9"},{"testId":"SA-04f.[02]","test":"Assessment Objective: Determine if requirements for protecting privacy documentation, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.f-2","defaultText":null,"uuid":"67c8ebd0-397b-4598-955c-9b18dcaba082"},{"testId":"SA-04g.","test":"Assessment Objective: Determine if the description of the system development environment and environment in which the system is intended to operate, requirements, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.g","defaultText":null,"uuid":"9ceff2c2-8c1f-4fa7-83e1-530ced3c34d4"},{"testId":"SA-04h.[01]","test":"Assessment Objective: Determine if the allocation of responsibility or identification of parties responsible for information security requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.h-1","defaultText":null,"uuid":"cef9cee2-e9b0-40e1-b65e-43bdcd4e5581"},{"testId":"SA-04h.[02]","test":"Assessment Objective: Determine if the allocation of responsibility or identification of parties responsible for privacy requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.h-2","defaultText":null,"uuid":"3e12cc45-0ebc-4d96-b3a6-3201a7cfb195"},{"testId":"SA-04h.[03]","test":"Assessment Objective: Determine if the allocation of responsibility or identification of parties responsible for supply chain risk management requirements, descriptions, and criteria are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.h-3","defaultText":null,"uuid":"32402193-9e7f-412d-a0b7-5b1d94be571f"},{"testId":"SA-04i.","test":"Assessment Objective: Determine if acceptance criteria requirements and descriptions are included explicitly or by reference using {{ insert: param, sa-04_odp.01 }} in the acquisition contract for the system, system component, or system service.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy and supply chain risk management into the acquisition process.</li><li>Configuration management plan.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System design documentation.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for determining system security and privacy functional, strength, and assurance requirements.</li><li>Organizational processes for developing acquisition contracts.</li><li>Mechanisms supporting and/or implementing acquisitions and the inclusion of security and privacy requirements in contracts.</li></ul>","otherId":"sa-4_obj.i","defaultText":null,"uuid":"9fe7d3da-abe0-4718-a994-f6458ec1b59a"}],"weight":1,"title":"SA-04 - Acquisition Process","enhancements":"<strong>Enhancements</strong><ul><li>SA-4(1) - Functional Properties of Controls</li><li>SA-4(2) - Design and Implementation Information for Controls</li><li>SA-4(9) - Functions, Ports, Protocols, and Services in Use</li><li>SA-4(10) - Use of Approved PIV Products</li></ul>","otherId":"sa-4","sortId":"sa-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-4"},{"objectives":[{"objectiveType":"","otherId":"sa-5_smt.a","name":"a.","description":"<ul><li>a. Obtain or develop administrator documentation for the system, system component, or system service that describes:</li><ul><li>1. Secure configuration, installation, and operation of the system, component, or service;</li><li>2. Effective use and maintenance of security and privacy functions and mechanisms; and</li><li>3. Known vulnerabilities regarding configuration and use of administrative or privileged functions;</li></ul>","uuid":"10c8e67c-047f-43bf-8a56-f4ced0831220"},{"objectiveType":"","otherId":"sa-5_smt.b","name":"b.","description":"<ul><li>b. Obtain or develop user documentation for the system, system component, or system service that describes:</li><ul><li>1. User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;</li><li>2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and</li><li>3. User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;</li></ul>","uuid":"17a5b5b2-f145-4bb8-8003-d2f37f19f84e"},{"objectiveType":"","otherId":"sa-5_smt.c","name":"c.","description":"<ul><li>c. Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take {{ insert: param, SA-5(c) }} in response; and</li></ul>","uuid":"ebfd353c-91a9-49f9-bf63-9fcbe82adcc7"},{"objectiveType":"","otherId":"sa-5_smt.d","name":"d.","description":"<ul><li>d. Distribute documentation to {{ insert: param, SA-5(d) }}.</li></ul>","uuid":"c102a187-f346-46dd-bda3-ab5f01f86a98"}],"description":"<ul><li>a. Obtain or develop administrator documentation for the system, system component, or system service that describes:</li><ul><li>1. Secure configuration, installation, and operation of the system, component, or service;</li><li>2. Effective use and maintenance of security and privacy functions and mechanisms; and</li><li>3. Known vulnerabilities regarding configuration and use of administrative or privileged functions;</li></ul><li>b. Obtain or develop user documentation for the system, system component, or system service that describes:</li><ul><li>1. User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;</li><li>2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and</li><li>3. User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;</li></ul><li>c. Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and take {{ insert: param, SA-5(c) }} in response; and</li><li>d. Distribute documentation to {{ insert: param, SA-5(d) }}.</li></ul><br/><strong>Guidance</strong><p>System documentation helps personnel understand the implementation and operation of controls. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used to support the management of supply chain risk, incident response, and other functions. Personnel or roles that require documentation include system owners, system security officers, and system administrators. Attempts to obtain documentation include contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain documentation may occur due to the age of the system or component or the lack of support from developers and contractors. When documentation cannot be obtained, organizations may need to recreate the documentation if it is essential to the implementation or operation of the controls. The protection provided for the documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system includes initially starting the system and resuming secure system operation after a lapse in system operation.</p>","uuid":"9c4ecc00-3d12-4441-9ad1-b52a90d64955","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"actions to take when system, system component, or system service documentation is either unavailable or nonexistent are defined;","uuid":"b32b24d1-c3aa-4e8e-b589-a3df13f56201","otherId":"sa-05_odp.01","parameterId":"SA-5(c)","text":"actions","default":" [Assignment: organization-defined actions] "},{"constraints":"at a minimum, the ISSO (or similar role within the organization)","displayName":"","dataType":"","guidance":"personnel or roles to distribute system documentation to is/are defined;","uuid":"5e000bd6-45d0-4b58-8132-450f8e9184f2","otherId":"sa-05_odp.02","parameterId":"SA-5(d)","text":"personnel or roles","default":"[FedRAMP Assignment: at a minimum, the ISSO (or similar role within the organization)]"}],"subControls":null,"tests":[{"testId":"SA-05a.01[01]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes the secure configuration of the system, component, or service is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.1-1","defaultText":null,"uuid":"99936fda-3271-43c2-ac22-0cb8fb6f712c"},{"testId":"SA-05a.01[02]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes the secure installation of the system, component, or service is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.1-2","defaultText":null,"uuid":"f3fd27b7-8d8b-4281-ad67-7ea924feb37f"},{"testId":"SA-05a.01[03]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes the secure operation of the system, component, or service is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.1-3","defaultText":null,"uuid":"5eddb189-8850-4a4a-bdec-e5a98c07dd5a"},{"testId":"SA-05a.02[01]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes the effective use of security functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.2-1","defaultText":null,"uuid":"3ffff1a2-7035-471a-8406-e791c5c8f778"},{"testId":"SA-05a.02[02]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes the effective maintenance of security functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.2-2","defaultText":null,"uuid":"2f5d03fb-2cad-4dff-b554-8cbef64b33f4"},{"testId":"SA-05a.02[03]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes the effective use of privacy functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.2-3","defaultText":null,"uuid":"0ab7ccf7-f247-40f8-a60e-7dd38c69b335"},{"testId":"SA-05a.02[04]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes the effective maintenance of privacy functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.2-4","defaultText":null,"uuid":"0e9bd8a6-4613-46c5-b6cb-3c6ff4f541e5"},{"testId":"SA-05a.03[01]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the configuration of administrative or privileged functions is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.3-1","defaultText":null,"uuid":"d922ba50-904b-449f-92f7-4e60d408560b"},{"testId":"SA-05a.03[02]","test":"Assessment Objective: Determine if administrator documentation for the system, system component, or system service that describes known vulnerabilities regarding the use of administrative or privileged functions is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.a.3-2","defaultText":null,"uuid":"2a26102b-cb7d-4a24-b6dc-b2831b64279d"},{"testId":"SA-05b.01[01]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes user-accessible security functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.1-1","defaultText":null,"uuid":"19282f34-7218-4dd0-aff0-a501fa27f51f"},{"testId":"SA-05b.01[02]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible security) functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.1-2","defaultText":null,"uuid":"b4c9c4be-5c19-4502-9fe9-0a39cab8e37f"},{"testId":"SA-05b.01[03]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes user-accessible privacy functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.1-3","defaultText":null,"uuid":"3f8d157a-72d6-4044-80dc-0ecd06bb5f3f"},{"testId":"SA-05b.01[04]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes how to effectively use those (user-accessible privacy) functions and mechanisms is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.1-4","defaultText":null,"uuid":"cb33a0dc-c9a3-4696-ad7e-5f00927beecb"},{"testId":"SA-05b.02[01]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service in a more secure manner is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.2-1","defaultText":null,"uuid":"104fdf56-5054-4752-ab77-8d17e749343d"},{"testId":"SA-05b.02[02]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes methods for user interaction, which enable individuals to use the system, component, or service to protect individual privacy is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.2-2","defaultText":null,"uuid":"7346e6bc-d775-4d62-ba3c-9aef1fb110e9"},{"testId":"SA-05b.03[01]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes user responsibilities for maintaining the security of the system, component, or service is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.3-1","defaultText":null,"uuid":"9580a494-c27e-463f-ab89-046bcfbbcf8f"},{"testId":"SA-05b.03[02]","test":"Assessment Objective: Determine if user documentation for the system, system component, or system service that describes user responsibilities for maintaining the privacy of individuals is obtained or developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.b.3-2","defaultText":null,"uuid":"bc8d7fae-1176-4a4f-9219-e7cb840e3c83"},{"testId":"SA-05c.[01]","test":"Assessment Objective: Determine if attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent is documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.c-1","defaultText":null,"uuid":"0ca112fe-3e99-4a88-9e4b-02ea14d7abb5"},{"testId":"SA-05c.[02]","test":"Assessment Objective: Determine if after attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent, {{ insert: param, sa-05_odp.01 }} are taken in response;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.c-2","defaultText":null,"uuid":"5294255c-8089-4efb-8f3c-0469e88fd932"},{"testId":"SA-05d.","test":"Assessment Objective: Determine if documentation is distributed to {{ insert: param, sa-05_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system documentation.</li><li>System documentation, including administrator and user guides.</li><li>System design documentation.</li><li>Records documenting attempts to obtain unavailable or nonexistent system documentation.</li><li>List of actions to be taken in response to documented attempts to obtain system, system component, or system service documentation.</li><li>Risk management strategy documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System administrators.</li><li>Organizational personnel responsible for operating, using, and/or maintaining the system.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for obtaining, protecting, and distributing system administrator and user documentation.</li></ul>","otherId":"sa-5_obj.d","defaultText":null,"uuid":"de2023d2-2829-4d49-8986-7a95ae55236b"}],"weight":1,"title":"SA-05 - System Documentation","enhancements":"","otherId":"sa-5","sortId":"sa-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-5"},{"objectives":[{"objectiveType":"","otherId":"sa-8_smt","name":"SA-8","description":"Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: {{ insert: param, SA-8 }}.","uuid":"18a98b10-2822-4a69-ac7d-811810ce72e0"}],"description":"<p>Apply the following systems security and privacy engineering principles in the specification, design, development, implementation, and modification of the system and system components: {{ insert: param, SA-8 }}.</p><br/><strong>Guidance</strong><p>Systems security and privacy engineering principles are closely related to and implemented throughout the system development life cycle (see <a href=\"#sa-3\">SA-3</a> ). Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For existing systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems.</p><p>The application of systems security and privacy engineering principles helps organizations develop trustworthy, secure, and resilient systems and reduces the susceptibility to disruptions, hazards, threats, and the creation of privacy problems for individuals. Examples of system security engineering principles include: developing layered protections; establishing security and privacy policies, architecture, and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring controls to meet organizational needs; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk.</p><p>Organizations that apply systems security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. System security engineering principles can also be used to protect against certain supply chain risks, including incorporating tamper-resistant hardware into a design.</p>","uuid":"41c868bf-1a11-4c7e-911b-7d1e973d348c","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"26a9bfac-60ae-4154-9e10-9a5f2716ab2e","otherId":"sa-8_prm_1","parameterId":"SA-8","text":"organization-defined systems security and privacy engineering principles","default":" [Assignment: organization-defined systems security and privacy engineering principles] "}],"subControls":null,"tests":[{"testId":"SA-08[01]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.01 }} are applied in the specification of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-1","defaultText":null,"uuid":"2bf10377-b897-4cf3-9b13-7f27718e5d5f"},{"testId":"SA-08[02]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.01 }} are applied in the design of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-2","defaultText":null,"uuid":"7481d457-ae1e-463d-bf5f-95fe0f51dd1c"},{"testId":"SA-08[03]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.01 }} are applied in the development of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-3","defaultText":null,"uuid":"fa5ba9d6-fa26-4a5b-be9d-831760629e36"},{"testId":"SA-08[04]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.01 }} are applied in the implementation of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-4","defaultText":null,"uuid":"e176ab88-aa57-4b89-810c-02e9fe77a28b"},{"testId":"SA-08[05]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.01 }} are applied in the modification of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-5","defaultText":null,"uuid":"4ce36fcd-62f4-4373-97a1-ca715f3c5eab"},{"testId":"SA-08[06]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.02 }} are applied in the specification of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-6","defaultText":null,"uuid":"d2ef4578-6087-4fb6-ada4-2d123d003541"},{"testId":"SA-08[07]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.02 }} are applied in the design of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-7","defaultText":null,"uuid":"6b60821c-39c2-417b-85e4-7d85e1e2a6b5"},{"testId":"SA-08[08]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.02 }} are applied in the development of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-8","defaultText":null,"uuid":"6c414041-694e-4a37-a4dc-c960e7d5fec2"},{"testId":"SA-08[09]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.02 }} are applied in the implementation of the system and system components;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-9","defaultText":null,"uuid":"586fed54-95c4-4f22-8503-2b42e67e44bd"},{"testId":"SA-08[10]","test":"Assessment Objective: Determine if \n{{ insert: param, sa-08_odp.02 }} are applied in the modification of the system and system components.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Assessment and authorization procedures.</li><li>Procedures addressing security and privacy engineering principles used in the specification, design, development, implementation, and modification of the system.</li><li>System design documentation.</li><li>Security and privacy requirements and specifications for the system.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition/contracting responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with system specification, design, development, implementation, and modification responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for applying security and privacy engineering principles in system specification, design, development, implementation, and modification.</li><li>Mechanisms supporting the application of security and privacy engineering principles in system specification, design, development, implementation, and modification.</li></ul>","otherId":"sa-8_obj-10","defaultText":null,"uuid":"82412ee8-49f3-4e2a-a3f3-e201e69746cc"}],"weight":1,"title":"SA-08 - Security and Privacy Engineering Principles","enhancements":"","otherId":"sa-8","sortId":"sa-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-8"},{"objectives":[{"objectiveType":"","otherId":"sa-9.1_smt.a","name":"(a)","description":"<ul><li>(a) Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and</li></ul>","uuid":"02c03ea8-211d-4425-8997-8ca57b38ea62"},{"objectiveType":"","otherId":"sa-9.1_smt.b","name":"(b)","description":"<ul><li>(b) Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, SA-9(1)(b) }}.</li></ul>","uuid":"16b18eb1-5c6e-4217-99c5-791539437f58"}],"description":"<ul><li>(a) Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and</li><li>(b) Verify that the acquisition or outsourcing of dedicated information security services is approved by {{ insert: param, SA-9(1)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Information security services include the operation of security devices, such as firewalls or key management services as well as incident monitoring, analysis, and response. Risks assessed can include system, mission or business, security, privacy, or supply chain risks.</p>","uuid":"785c90ac-90e7-4295-8a8f-5c4aa3d5be38","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles that approve the acquisition or outsourcing of dedicated information security services is/are defined;","uuid":"636f74ae-c7ba-4bec-a794-d823e20e4f01","otherId":"sa-09.01_odp","parameterId":"SA-9(1)(b)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"SA-09(01)(a)","test":"Assessment Objective: Determine if an organizational assessment of risk is conducted prior to the acquisition or outsourcing of information security services;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Supply chain risk management policy and procedures.</li><li>Procedures addressing external system services.</li><li>Acquisition documentation.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Risk assessment reports.</li><li>Approval records for the acquisition or outsourcing of dedicated security services.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with system security responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated security services.</li><li>Organizational processes for approving the outsourcing of dedicated security services.</li><li>Mechanisms supporting and/or implementing risk assessment.</li><li>Mechanisms supporting and/or implementing approval processes.</li></ul>","otherId":"sa-9.1_obj.a","defaultText":null,"uuid":"0a53f852-cec6-41fc-b73b-10e0682df5d6"},{"testId":"SA-09(01)(b)","test":"Assessment Objective: Determine if \n{{ insert: param, sa-09.01_odp }} approve the acquisition or outsourcing of dedicated information security services.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Supply chain risk management policy and procedures.</li><li>Procedures addressing external system services.</li><li>Acquisition documentation.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Risk assessment reports.</li><li>Approval records for the acquisition or outsourcing of dedicated security services.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with system security responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated security services.</li><li>Organizational processes for approving the outsourcing of dedicated security services.</li><li>Mechanisms supporting and/or implementing risk assessment.</li><li>Mechanisms supporting and/or implementing approval processes.</li></ul>","otherId":"sa-9.1_obj.b","defaultText":null,"uuid":"dd4c1928-344e-426e-8dc1-fdb1ea778915"}],"weight":1,"title":"SA-09(01) - Risk Assessments and Organizational Approvals","enhancements":null,"otherId":"sa-9.1","sortId":"sa-09.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-9(1)"},{"objectives":[{"objectiveType":"","otherId":"sa-9.2_smt","name":"SA-9(2)","description":"Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, SA-9(2) }}.","uuid":"dc96b3fd-770e-43c2-b95b-90102312259c"}],"description":"<p>Require providers of the following external system services to identify the functions, ports, protocols, and other services required for the use of such services: {{ insert: param, SA-9(2) }}.</p><br/><strong>Guidance</strong><p>Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols.</p>","uuid":"db62cff4-a2e8-480f-b5aa-a38c0785ba2b","family":"System and Services Acquisition","parameters":[{"constraints":"all external systems where Federal information is processed or stored","displayName":"","dataType":"","guidance":"external system services that require the identification of functions, ports, protocols, and other services are defined;","uuid":"62186c62-522e-46d5-8c73-6befbe15a908","otherId":"sa-09.02_odp","parameterId":"SA-9(2)","text":"external system services","default":"[FedRAMP Assignment: all external systems where Federal information is processed or stored]"}],"subControls":null,"tests":[{"testId":"SA-09(02)","test":"Assessment Objective: Determine if providers of {{ insert: param, sa-09.02_odp }} are required to identify the functions, ports, protocols, and other services required for the use of such services.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Supply chain risk management policy and procedures.</li><li>Procedures addressing external system services.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Acquisition documentation.</li><li>Solicitation documentation.</li><li>Service level agreements.</li><li>Organizational security requirements and security specifications for external service providers.</li><li>List of required functions, ports, protocols, and other services.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>External providers of system services.</li></ul>","otherId":"sa-9.2_obj","defaultText":null,"uuid":"e0370958-b477-4dd2-bf31-1bd92ca266b4"}],"weight":1,"title":"SA-09(02) - Identification of Functions, Ports, Protocols, and Services","enhancements":null,"otherId":"sa-9.2","sortId":"sa-09.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-9(2)"},{"objectives":[{"objectiveType":"","otherId":"sa-9.5_smt","name":"SA-9(5)","description":"Restrict the location of {{ insert: param, SA-9(5)-1 }} to {{ insert: param, SA-9(5)-2 }} based on {{ insert: param, SA-9(5)-3 }}.","uuid":"e2422c89-9d33-4923-8a7c-07f04cc30d95"}],"description":"<p>Restrict the location of {{ insert: param, SA-9(5)-1 }} to {{ insert: param, SA-9(5)-2 }} based on {{ insert: param, SA-9(5)-3 }}.</p><br/><strong>Guidance</strong><p>The location of information processing, information and data storage, or system services can have a direct impact on the ability of organizations to successfully execute their mission and business functions. The impact occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria that organizations use. For example, organizations may desire that data or information storage locations be restricted to certain locations to help facilitate incident response activities in case of information security incidents or breaches. Incident response activities, including forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws, policies, or protocols in the locations where processing and storage occur and/or the locations from which system services emanate.</p>","uuid":"08915146-58c4-4258-b804-3e8218b57fe9","family":"System and Services Acquisition","parameters":[{"constraints":"information processing, information or data, AND system services","displayName":"","dataType":"","guidance":"","uuid":"2ff6b8db-4c3c-4db9-9952-a2a19e6e495d","otherId":"sa-09.05_odp.01","parameterId":"SA-9(5)-1","text":"[Selection (one or more): information processing; information or data; system services]","default":"[FedRAMP Assignment: information processing, information or data, AND system services]"},{"constraints":"","displayName":"","dataType":"","guidance":"locations where  is/are to be restricted are defined;","uuid":"208711cf-d6b6-4624-a617-607080a30713","otherId":"sa-09.05_odp.02","parameterId":"SA-9(5)-2","text":"locations","default":" [Assignment: organization-defined locations] "},{"constraints":"","displayName":"","dataType":"","guidance":"requirements or conditions for restricting the location of  are defined;","uuid":"2c894d36-8cf1-444f-8d96-627554dc5480","otherId":"sa-09.05_odp.03","parameterId":"SA-9(5)-3","text":"requirements","default":" [Assignment: organization-defined requirements] "}],"subControls":null,"tests":[{"testId":"SA-09(05)","test":"Assessment Objective: Determine if based on {{ insert: param, sa-09.05_odp.03 }}, {{ insert: param, sa-09.05_odp.01 }} is/are restricted to {{ insert: param, sa-09.05_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing external system services.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Restricted locations for information processing.</li><li>Information/data and/or system services.</li><li>Information processing, information/data, and/or system services to be maintained in restricted locations.</li><li>Organizational security requirements or conditions for external providers.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining the requirements to restrict locations of information processing, information/data, or information services.</li><li>Organizational processes for ensuring the location is restricted in accordance with requirements or conditions.</li></ul>","otherId":"sa-9.5_obj","defaultText":null,"uuid":"e801f545-a34f-4740-ba43-378f5599ca41"}],"weight":1,"title":"SA-09(05) - Processing, Storage, and Service Location","enhancements":null,"otherId":"sa-9.5","sortId":"sa-09.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-9(5)"},{"objectives":[{"objectiveType":"","otherId":"sa-9_smt.a","name":"a.","description":"<ul><li>a. Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: {{ insert: param, SA-9(a) }};</li></ul>","uuid":"ece23a88-c7ea-4fcc-9be0-85cf9d28b1c2"},{"objectiveType":"","otherId":"sa-9_smt.b","name":"b.","description":"<ul><li>b. Define and document organizational oversight and user roles and responsibilities with regard to external system services; and</li></ul>","uuid":"dc2f6e4a-7034-42ab-8eff-c14176a77679"},{"objectiveType":"","otherId":"sa-9_smt.c","name":"c.","description":"<ul><li>c. Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: {{ insert: param, SA-9(c) }}.</li></ul>","uuid":"f2c54e75-9b6b-4987-86d4-bf25f0ae7870"}],"description":"<ul><li>a. Require that providers of external system services comply with organizational security and privacy requirements and employ the following controls: {{ insert: param, SA-9(a) }};</li><li>b. Define and document organizational oversight and user roles and responsibilities with regard to external system services; and</li><li>c. Employ the following processes, methods, and techniques to monitor control compliance by external service providers on an ongoing basis: {{ insert: param, SA-9(c) }}.</li></ul><br/><strong>Guidance</strong><p>External system services are provided by an external provider, and the organization has no direct control over the implementation of the required controls or the assessment of control effectiveness. Organizations establish relationships with external service providers in a variety of ways, including through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a certain level of confidence that each provider in the consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust vary based on relationships between organizations and the external providers. Organizations document the basis for the trust relationships so that the relationships can be monitored. External system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define the expectations of performance for implemented controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.</p>","uuid":"d6472c47-dcca-4ecd-bdde-7c2855815e5d","family":"System and Services Acquisition","parameters":[{"constraints":"Appropriate FedRAMP Security Controls Baseline (s) if Federal information is processed or stored within the external system","displayName":"","dataType":"","guidance":"controls to be employed by external system service providers are defined;","uuid":"69885347-4e9b-4246-b83b-e57b77c8ac28","otherId":"sa-09_odp.01","parameterId":"SA-9(a)","text":"controls","default":"[FedRAMP Assignment: Appropriate FedRAMP Security Controls Baseline (s) if Federal information is processed or stored within the external system]"},{"constraints":"Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored","displayName":"","dataType":"","guidance":"processes, methods, and techniques employed to monitor control compliance by external service providers are defined;","uuid":"8b04d1a3-7bcf-4be0-aeb3-a87357cc26f7","otherId":"sa-09_odp.02","parameterId":"SA-9(c)","text":"processes, methods, and techniques","default":"[FedRAMP Assignment: Federal/FedRAMP Continuous Monitoring requirements must be met for external systems where Federal information is processed or stored]"}],"subControls":null,"tests":[{"testId":"SA-09a.[01]","test":"Assessment Objective: Determine if providers of external system services comply with organizational security requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing methods and techniques for monitoring control compliance by external service providers of system services.</li><li>Acquisition documentation.</li><li>Contracts.</li><li>Service level agreements.</li><li>Interagency agreements.</li><li>Licensing agreements.</li><li>List of organizational security and privacy requirements for external provider services.</li><li>Control assessment results or reports from external providers of system services.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li><li>Mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li></ul>","otherId":"sa-9_obj.a-1","defaultText":null,"uuid":"9750fbef-c41d-4596-860e-d2f3e2a074da"},{"testId":"SA-09a.[02]","test":"Assessment Objective: Determine if providers of external system services comply with organizational privacy requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing methods and techniques for monitoring control compliance by external service providers of system services.</li><li>Acquisition documentation.</li><li>Contracts.</li><li>Service level agreements.</li><li>Interagency agreements.</li><li>Licensing agreements.</li><li>List of organizational security and privacy requirements for external provider services.</li><li>Control assessment results or reports from external providers of system services.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li><li>Mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li></ul>","otherId":"sa-9_obj.a-2","defaultText":null,"uuid":"4950b671-36c3-4c8f-bd65-ccfa58bb8229"},{"testId":"SA-09a.[03]","test":"Assessment Objective: Determine if providers of external system services employ {{ insert: param, sa-09_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing methods and techniques for monitoring control compliance by external service providers of system services.</li><li>Acquisition documentation.</li><li>Contracts.</li><li>Service level agreements.</li><li>Interagency agreements.</li><li>Licensing agreements.</li><li>List of organizational security and privacy requirements for external provider services.</li><li>Control assessment results or reports from external providers of system services.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li><li>Mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li></ul>","otherId":"sa-9_obj.a-3","defaultText":null,"uuid":"766f1433-b199-49d8-8d19-7870b18f8914"},{"testId":"SA-09b.[01]","test":"Assessment Objective: Determine if organizational oversight with regard to external system services are defined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing methods and techniques for monitoring control compliance by external service providers of system services.</li><li>Acquisition documentation.</li><li>Contracts.</li><li>Service level agreements.</li><li>Interagency agreements.</li><li>Licensing agreements.</li><li>List of organizational security and privacy requirements for external provider services.</li><li>Control assessment results or reports from external providers of system services.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li><li>Mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li></ul>","otherId":"sa-9_obj.b-1","defaultText":null,"uuid":"564b2ccb-f1b1-473c-9b96-109243d65aa5"},{"testId":"SA-09b.[02]","test":"Assessment Objective: Determine if user roles and responsibilities with regard to external system services are defined and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing methods and techniques for monitoring control compliance by external service providers of system services.</li><li>Acquisition documentation.</li><li>Contracts.</li><li>Service level agreements.</li><li>Interagency agreements.</li><li>Licensing agreements.</li><li>List of organizational security and privacy requirements for external provider services.</li><li>Control assessment results or reports from external providers of system services.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li><li>Mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li></ul>","otherId":"sa-9_obj.b-2","defaultText":null,"uuid":"3eff3cee-cbe5-422e-996b-c04dd29304f7"},{"testId":"SA-09c.","test":"Assessment Objective: Determine if \n{{ insert: param, sa-09_odp.02 }} are employed to monitor control compliance by external service providers on an ongoing basis.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing methods and techniques for monitoring control compliance by external service providers of system services.</li><li>Acquisition documentation.</li><li>Contracts.</li><li>Service level agreements.</li><li>Interagency agreements.</li><li>Licensing agreements.</li><li>List of organizational security and privacy requirements for external provider services.</li><li>Control assessment results or reports from external providers of system services.</li><li>System security plan.</li><li>Privacy plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>External providers of system services.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li><li>Mechanisms for monitoring security and privacy control compliance by external service providers on an ongoing basis.</li></ul>","otherId":"sa-9_obj.c","defaultText":null,"uuid":"6d8bab8c-4941-472c-be1d-536997500c77"}],"weight":1,"title":"SA-09 - External System Services","enhancements":"<strong>Enhancements</strong><ul><li>SA-9(1) - Risk Assessments and Organizational Approvals</li><li>SA-9(2) - Identification of Functions, Ports, Protocols, and Services</li><li>SA-9(5) - Processing, Storage, and Service Location</li></ul>","otherId":"sa-9","sortId":"sa-09","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-9"},{"objectives":[{"objectiveType":"","otherId":"sa-10_smt.a","name":"a.","description":"<ul><li>a. Require the developer of the system, system component, or system service to: Perform configuration management during system, component, or service {{ insert: param, SA-10(a) }};</li></ul>","uuid":"e52d5c65-a914-40d3-a5d7-c1c5a6a5c8ff"},{"objectiveType":"","otherId":"sa-10_smt.b","name":"b.","description":"<ul><li>b. Require the developer of the system, system component, or system service to: Document, manage, and control the integrity of changes to {{ insert: param, SA-10(b) }};</li></ul>","uuid":"22217efb-16d1-4388-8e3f-ad7be05e0457"},{"objectiveType":"","otherId":"sa-10_smt.c","name":"c.","description":"<ul><li>c. Require the developer of the system, system component, or system service to: Implement only organization-approved changes to the system, component, or service;</li></ul>","uuid":"a8529998-5232-434c-acbf-3fff255d0093"},{"objectiveType":"","otherId":"sa-10_smt.d","name":"d.","description":"<ul><li>d. Require the developer of the system, system component, or system service to: Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and</li></ul>","uuid":"d0ed2172-5010-4b1d-bf55-cbfbc87ab008"},{"objectiveType":"","otherId":"sa-10_smt.e","name":"e.","description":"<ul><li>e. Require the developer of the system, system component, or system service to: Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, SA-10(e) }}.</li></ul>","uuid":"fb383fc2-1734-4676-8904-e868b3cc3bc9"}],"description":"<p>Require the developer of the system, system component, or system service to:</p><ul><li>a. Perform configuration management during system, component, or service {{ insert: param, SA-10(a) }};</li><li>b. Document, manage, and control the integrity of changes to {{ insert: param, SA-10(b) }};</li><li>c. Implement only organization-approved changes to the system, component, or service;</li><li>d. Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and</li><li>e. Track security flaws and flaw resolution within the system, component, or service and report findings to {{ insert: param, SA-10(e) }}.</li></ul><br/><strong>Guidance</strong><p>Organizations consider the quality and completeness of configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include protecting the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware from unauthorized modification or destruction. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.</p><p>The configuration items that are placed under configuration management include the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance stage of the system development life cycle.</p><br/><strong>SA-10 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(e) Requirement:</b> track security flaws and flaw resolution within the system, component, or service and report findings to organization-defined personnel, to include FedRAMP.</li></ul>","uuid":"7be3e167-3bba-403a-be99-b73fa420eb88","family":"System and Services Acquisition","parameters":[{"constraints":"development, implementation, AND operation","displayName":"","dataType":"","guidance":"","uuid":"f4572663-e5dc-4d4d-a9ef-4eace9285f4e","otherId":"sa-10_odp.01","parameterId":"SA-10(a)","text":"[Selection (one or more): design; development; implementation; operation; disposal]","default":"[FedRAMP Assignment: development, implementation, AND operation]"},{"constraints":"","displayName":"","dataType":"","guidance":"configuration items under configuration management are defined;","uuid":"74307213-2d7c-4424-a5e4-36aacab4aa22","otherId":"sa-10_odp.02","parameterId":"SA-10(b)","text":"configuration items","default":" [Assignment: organization-defined configuration items] "},{"constraints":"","displayName":"","dataType":"","guidance":"personnel to whom security flaws and flaw resolutions within the system, component, or service are reported is/are defined;","uuid":"8ba7c44c-99ba-4265-8bc9-d1f03135532b","otherId":"sa-10_odp.03","parameterId":"SA-10(e)","text":"personnel","default":" [Assignment: organization-defined personnel] "}],"subControls":null,"tests":[{"testId":"SA-10a.","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform configuration management during system, component, or service {{ insert: param, sa-10_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.a","defaultText":null,"uuid":"f75442cb-72ba-4b77-b346-6c95b98f35fc"},{"testId":"SA-10b.[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to document the integrity of changes to {{ insert: param, sa-10_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.b-1","defaultText":null,"uuid":"200c7d14-23f2-4e57-b7e0-1a698cfe726e"},{"testId":"SA-10b.[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to manage the integrity of changes to {{ insert: param, sa-10_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.b-2","defaultText":null,"uuid":"e7bb14e8-8575-44cb-b38c-0b772d6e43d0"},{"testId":"SA-10b.[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to control the integrity of changes to {{ insert: param, sa-10_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.b-3","defaultText":null,"uuid":"26970ec7-bb15-4fe7-ba9a-c1fb79d21b80"},{"testId":"SA-10c.","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to implement only organization-approved changes to the system, component, or service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.c","defaultText":null,"uuid":"95638542-53a5-4f03-8fe5-21bae8c50f76"},{"testId":"SA-10d.[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to document approved changes to the system, component, or service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.d-1","defaultText":null,"uuid":"29d4a0f4-ca08-4ed8-ae1d-d07fdd13d3e8"},{"testId":"SA-10d.[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to document the potential security impacts of approved changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.d-2","defaultText":null,"uuid":"f8c70019-ccfb-45d9-b5d7-3e015abd91f7"},{"testId":"SA-10d.[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to document the potential privacy impacts of approved changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.d-3","defaultText":null,"uuid":"28c5bc5a-5cee-454f-88ae-3b8be50981dc"},{"testId":"SA-10e.[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to track security flaws within the system, component, or service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.e-1","defaultText":null,"uuid":"5f20317e-17c0-4245-a80e-e2024be5c858"},{"testId":"SA-10e.[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to track security flaw resolutions within the system, component, or service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.e-2","defaultText":null,"uuid":"f1e14c84-756c-4f1a-97cb-c63e6e0cb6af"},{"testId":"SA-10e.[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to report findings to {{ insert: param, sa-10_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer configuration management.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer configuration management plan.</li><li>Security flaw and flaw resolution tracking records.</li><li>System change authorization records.</li><li>Change control records.</li><li>Configuration management records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer configuration management.</li><li>Mechanisms supporting and/or implementing the monitoring of developer configuration management.</li></ul>","otherId":"sa-10_obj.e-3","defaultText":null,"uuid":"5972181f-3659-4daa-913d-dc72b1bd11b9"}],"weight":1,"title":"SA-10 - Developer Configuration Management","enhancements":"","otherId":"sa-10","sortId":"sa-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-10"},{"objectives":[{"objectiveType":"","otherId":"sa-11.1_smt","name":"SA-11(1)","description":"Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.","uuid":"da82f979-ad7a-4c54-b592-de7ac4c8cf70"}],"description":"<p>Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.</p><br/><strong>Guidance</strong><p>Static code analysis provides a technology and methodology for security reviews and includes checking for weaknesses in the code as well as for the incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Static code analysis can be used to identify vulnerabilities and enforce secure coding practices. It is most effective when used early in the development process, when each code change can automatically be scanned for potential weaknesses. Static code analysis can provide clear remediation guidance and identify defects for developers to fix. Evidence of the correct implementation of static analysis can include aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were remediated. A high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.</p><br/><strong>SA-11(1) Additional FedRAMP Requirements</strong><ul><li><b>Requirement:</b> The service provider must document its methodology for reviewing newly developed code for the Service in its Continuous Monitoring Plan.If Static code analysis cannot be performed (for example, when the source code is not available), then dynamic code analysis must be performed (see SA-11 (8))</li></ul>","uuid":"8a1ace73-6f7b-49e2-b1e1-21c0977c5e73","family":"System and Services Acquisition","parameters":[],"subControls":null,"tests":[{"testId":"SA-11(01)[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to employ static code analysis tools to identify common flaws;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of system developer security and privacy assessments.</li><li>Security flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li><li>Static code analysis tools.</li></ul>","otherId":"sa-11.1_obj-1","defaultText":null,"uuid":"5f4a84f4-d84c-4e08-bfb7-03e1706c92ff"},{"testId":"SA-11(01)[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to employ static code analysis tools to document the results of the analysis.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of system developer security and privacy assessments.</li><li>Security flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>Organizational personnel with configuration management responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li><li>Static code analysis tools.</li></ul>","otherId":"sa-11.1_obj-2","defaultText":null,"uuid":"b4b426cd-f7b4-4132-a4f3-4ddcfdefdc3d"}],"weight":1,"title":"SA-11(01) - Static Code Analysis","enhancements":null,"otherId":"sa-11.1","sortId":"sa-11.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-11(1)"},{"objectives":[{"objectiveType":"","otherId":"sa-11.2_smt.a","name":"(a)","description":"<ul><li>(a) Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that: Uses the following contextual information: {{ insert: param, SA-11(2)(a) }};</li></ul>","uuid":"f5b0b277-5776-4e80-84eb-4a090e62f78f"},{"objectiveType":"","otherId":"sa-11.2_smt.b","name":"(b)","description":"<ul><li>(b) Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that: Employs the following tools and methods: {{ insert: param, SA-11(2)(b) }};</li></ul>","uuid":"b9eee2ce-4e85-46c4-8ded-ffdd24544677"},{"objectiveType":"","otherId":"sa-11.2_smt.c","name":"(c)","description":"<ul><li>(c) Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that: Conducts the modeling and analyses at the following level of rigor: {{ insert: param, SA-11(2)(c) }} ; and</li></ul>","uuid":"7e355673-1b4c-443b-9925-b2a3466e6f98"},{"objectiveType":"","otherId":"sa-11.2_smt.d","name":"(d)","description":"<ul><li>(d) Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that: Produces evidence that meets the following acceptance criteria: {{ insert: param, SA-11(2)(d) }}.</li></ul>","uuid":"801daa47-22a3-4743-b0af-c4bdb736e19c"}],"description":"<p>Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses during development and the subsequent testing and evaluation of the system, component, or service that:</p><ul><li>(a) Uses the following contextual information: {{ insert: param, SA-11(2)(a) }};</li><li>(b) Employs the following tools and methods: {{ insert: param, SA-11(2)(b) }};</li><li>(c) Conducts the modeling and analyses at the following level of rigor: {{ insert: param, SA-11(2)(c) }} ; and</li><li>(d) Produces evidence that meets the following acceptance criteria: {{ insert: param, SA-11(2)(d) }}.</li></ul><br/><strong>Guidance</strong><p>Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design stages of the system development life cycle. Therefore, updates to threat modeling and vulnerability analyses of those systems, system components, and system services during development and prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this stage of the system development life cycle ensure that design and implementation changes have been accounted for and that vulnerabilities created because of those changes have been reviewed and mitigated.</p>","uuid":"ae10f7ea-a76d-45cc-8b47-67b530b6dd72","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"72c1a2c5-d4b3-4a81-9eb0-41a89c7bf8f7","otherId":"sa-11.2_prm_3","parameterId":"SA-11(2)(c)","text":"organization-defined breadth and depth of modeling and analyses","default":" [Assignment: organization-defined breadth and depth of modeling and analyses] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"b90d4ccd-d1d0-4c89-81ac-69d0399ba301","otherId":"sa-11.2_prm_4","parameterId":"SA-11(2)(d)","text":"organization-defined acceptance criteria","default":" [Assignment: organization-defined acceptance criteria] "},{"constraints":"","displayName":"","dataType":"","guidance":"information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used as contextual information for threat modeling and vulnerability analyses is defined;","uuid":"f10ebccb-bef3-49d0-bde2-c131fecc5272","otherId":"sa-11.02_odp.01","parameterId":"SA-11(2)(a)","text":"information","default":" [Assignment: organization-defined information] "},{"constraints":"","displayName":"","dataType":"","guidance":"the tools and methods to be employed for threat modeling and vulnerability analyses are defined;","uuid":"d6cea7db-7129-4d8a-ad3d-39b422e6e487","otherId":"sa-11.02_odp.02","parameterId":"SA-11(2)(b)","text":"tools and methods","default":" [Assignment: organization-defined tools and methods] "}],"subControls":null,"tests":[{"testId":"SA-11(02)(a)[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.a-1","defaultText":null,"uuid":"f8422b58-e0d9-454b-8479-b04760c9900c"},{"testId":"SA-11(02)(a)[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.a-2","defaultText":null,"uuid":"62a98fc4-e494-4928-afc6-ef752b698fad"},{"testId":"SA-11(02)(a)[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.a-3","defaultText":null,"uuid":"cae228b4-cfc5-4064-ad48-f7f3f39e5b17"},{"testId":"SA-11(02)(a)[04]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that uses {{ insert: param, sa-11.02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.a-4","defaultText":null,"uuid":"5aa9a44d-c874-42ef-afbc-1f59d4c10828"},{"testId":"SA-11(02)(b)[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.b-1","defaultText":null,"uuid":"cef90f5c-ab2c-464d-a7d2-5eae6c34fcaa"},{"testId":"SA-11(02)(b)[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.b-2","defaultText":null,"uuid":"460964b1-92e0-4288-9e40-6dd48b89baa4"},{"testId":"SA-11(02)(b)[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.b-3","defaultText":null,"uuid":"ebf0eca0-508c-49ac-aa0c-65e345f7daa8"},{"testId":"SA-11(02)(b)[04]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that employs {{ insert: param, sa-11.02_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.b-4","defaultText":null,"uuid":"c49e6d4c-fb2e-409d-bbe7-8ea1c22e9c4a"},{"testId":"SA-11(02)(c)[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform threat modeling at {{ insert: param, sa-11.02_odp.03 }} during development of the system, component, or service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.c-1","defaultText":null,"uuid":"dcdbb4f4-d580-4d56-a025-a54064043d7a"},{"testId":"SA-11(02)(c)[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that conducts modeling and analyses at {{ insert: param, sa-11.02_odp.04 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.c-2","defaultText":null,"uuid":"149a4d81-bde4-4e66-aaa3-ea307fedb003"},{"testId":"SA-11(02)(d)[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform threat modeling during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.d-1","defaultText":null,"uuid":"98fe3708-6695-469d-aa71-abc7cbb8b3b8"},{"testId":"SA-11(02)(d)[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform threat modeling during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.d-2","defaultText":null,"uuid":"a3c6b6dd-c5b4-4fed-b3e3-d2addba08e47"},{"testId":"SA-11(02)(d)[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform vulnerability analyses during development of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.d-3","defaultText":null,"uuid":"4002ce7c-43fd-42a3-9b08-ab9a818807da"},{"testId":"SA-11(02)(d)[04]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform vulnerability analyses during the subsequent testing and evaluation of the system, component, or service that produces evidence that meets {{ insert: param, sa-11.02_odp.06 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing system developer security testing.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer security test plans.</li><li>Records of developer security testing results for the system, system component, or system service.</li><li>Vulnerability scanning results.</li><li>System risk assessment reports.</li><li>Threat and vulnerability analysis reports.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with developer security testing responsibilities.</li><li>System developers.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation.</li></ul>","otherId":"sa-11.2_obj.d-4","defaultText":null,"uuid":"8db79e8e-1c32-4a38-a3cd-7f3c707c4d30"}],"weight":1,"title":"SA-11(02) - Threat Modeling and Vulnerability Analyses","enhancements":null,"otherId":"sa-11.2","sortId":"sa-11.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-11(2)"},{"objectives":[{"objectiveType":"","otherId":"sa-11_smt.a","name":"a.","description":"<ul><li>a. Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to: Develop and implement a plan for ongoing security and privacy control assessments;</li></ul>","uuid":"56609d33-9489-4b03-893c-2701d5f98d65"},{"objectiveType":"","otherId":"sa-11_smt.b","name":"b.","description":"<ul><li>b. Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to: Perform {{ insert: param, SA-11(b)-1 }} testing/evaluation {{ insert: param, SA-11(b)-2 }} at {{ insert: param, SA-11(b)-3 }};</li></ul>","uuid":"3b5214b0-27d2-414f-90bd-1ae671d3b36b"},{"objectiveType":"","otherId":"sa-11_smt.c","name":"c.","description":"<ul><li>c. Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to: Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;</li></ul>","uuid":"c3cc4310-e1b6-4073-b24c-c5d71c645e0a"},{"objectiveType":"","otherId":"sa-11_smt.d","name":"d.","description":"<ul><li>d. Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to: Implement a verifiable flaw remediation process; and</li></ul>","uuid":"3fd1456e-ba7e-45bb-b5e2-1b1dff8f9dd7"},{"objectiveType":"","otherId":"sa-11_smt.e","name":"e.","description":"<ul><li>e. Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to: Correct flaws identified during testing and evaluation.</li></ul>","uuid":"b8f519b1-4c3f-4e4c-a8c7-42381c0a3158"}],"description":"<p>Require the developer of the system, system component, or system service, at all post-design stages of the system development life cycle, to:</p><ul><li>a. Develop and implement a plan for ongoing security and privacy control assessments;</li><li>b. Perform {{ insert: param, SA-11(b)-1 }} testing/evaluation {{ insert: param, SA-11(b)-2 }} at {{ insert: param, SA-11(b)-3 }};</li><li>c. Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;</li><li>d. Implement a verifiable flaw remediation process; and</li><li>e. Correct flaws identified during testing and evaluation.</li></ul><br/><strong>Guidance</strong><p>Developmental testing and evaluation confirms that the required controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. The interconnections or changes—including upgrading or replacing applications, operating systems, and firmware—may adversely affect previously implemented controls. Ongoing assessment during development allows for additional types of testing and evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as manual code review, security architecture review, and penetration testing, as well as and static analysis, dynamic analysis, binary analysis, or a hybrid of the three analysis approaches.</p><p>Developers can use the analysis approaches, along with security instrumentation and fuzzing, in a variety of tools and in source code reviews. The security and privacy assessment plans include the specific activities that developers plan to carry out, including the types of analyses, testing, evaluation, and reviews of software and firmware components; the degree of rigor to be applied; the frequency of the ongoing testing and evaluation; and the types of artifacts produced during those processes. The depth of testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security and privacy assessment plans, flaw remediation processes, and the evidence that the plans and processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the system. Contracts may specify protection requirements for documentation.</p>","uuid":"ecf9a084-04c7-4419-be3a-ac02f0690e73","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"65d809af-eb84-4738-a468-eb366ab4d844","otherId":"sa-11_odp.01","parameterId":"SA-11(b)-1","text":"[Selection (one or more): unit; integration; system; regression]","default":"[Selection (one or more): unit; integration; system; regression]"},{"constraints":"","displayName":"","dataType":"","guidance":"frequency at which to conduct  testing/evaluation is defined;","uuid":"18723ec3-fac0-46b0-af45-1418ccbefc0b","otherId":"sa-11_odp.02","parameterId":"SA-11(b)-2","text":"frequency to conduct","default":" [Assignment: organization-defined frequency to conduct] "},{"constraints":"","displayName":"","dataType":"","guidance":"depth and coverage of  testing/evaluation is defined;","uuid":"221dbf77-44f9-4f19-8460-092bf1d177a7","otherId":"sa-11_odp.03","parameterId":"SA-11(b)-3","text":"depth and coverage","default":" [Assignment: organization-defined depth and coverage] "}],"subControls":null,"tests":[{"testId":"SA-11a.[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for ongoing security assessments;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.a-1","defaultText":null,"uuid":"4e1637a9-3e91-42d2-99e3-2e54b3a750d8"},{"testId":"SA-11a.[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing security assessments;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.a-2","defaultText":null,"uuid":"29859890-d092-4bdb-b893-dc934f0d622e"},{"testId":"SA-11a.[03]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to develop a plan for privacy assessments;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.a-3","defaultText":null,"uuid":"d62f6674-26cf-4db6-9353-e00d1b5118a1"},{"testId":"SA-11a.[04]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a plan for ongoing privacy assessments;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.a-4","defaultText":null,"uuid":"a1996b55-ad8f-4e8e-b458-d5c75a0b1f39"},{"testId":"SA-11b.","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to perform {{ insert: param, sa-11_odp.01 }} testing/evaluation {{ insert: param, sa-11_odp.02 }} at {{ insert: param, sa-11_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.b","defaultText":null,"uuid":"50b6d660-e950-4aac-93ec-26b5ac3a8714"},{"testId":"SA-11c.[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce evidence of the execution of the assessment plan;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.c-1","defaultText":null,"uuid":"fe24a796-8852-49ab-b158-77dd3bd11c37"},{"testId":"SA-11c.[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to produce the results of the testing and evaluation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.c-2","defaultText":null,"uuid":"8ca9f1e7-68e8-47a3-87c6-82337e217c8f"},{"testId":"SA-11d.","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to implement a verifiable flaw remediation process;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.d","defaultText":null,"uuid":"b34926c8-361d-4a0d-a89a-6efb9ada4a22"},{"testId":"SA-11e.","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required at all post-design stages of the system development life cycle to correct flaws identified during testing and evaluation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing system developer security and privacy testing.</li><li>Procedures addressing flaw remediation.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Security and privacy architecture.</li><li>System design documentation.</li><li>System developer security and privacy assessment plans.</li><li>Results of developer security and privacy assessments for the system, system component, or system service.</li><li>Security and privacy flaw and remediation tracking records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with developer security and privacy testing responsibilities.</li><li>System developers.</li></ul><br>Test (Select From):<ul><li>Organizational processes for monitoring developer security testing and evaluation.</li><li>Mechanisms supporting and/or implementing the monitoring of developer security and privacy testing and evaluation.</li></ul>","otherId":"sa-11_obj.e","defaultText":null,"uuid":"94fd773e-22fd-4bdb-abc3-8c1e2088c93c"}],"weight":1,"title":"SA-11 - Developer Testing and Evaluation","enhancements":"<strong>Enhancements</strong><ul><li>SA-11(1) - Static Code Analysis</li><li>SA-11(2) - Threat Modeling and Vulnerability Analyses</li></ul>","otherId":"sa-11","sortId":"sa-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-11"},{"objectives":[{"objectiveType":"","otherId":"sa-15.3_smt.a","name":"(a)","description":"<ul><li>(a) Require the developer of the system, system component, or system service to perform a criticality analysis: At the following decision points in the system development life cycle: {{ insert: param, SA-15(3)(a) }} ; and</li></ul>","uuid":"5b2afe04-f8df-4aac-a1b4-dc7acbc73443"},{"objectiveType":"","otherId":"sa-15.3_smt.b","name":"(b)","description":"<ul><li>(b) Require the developer of the system, system component, or system service to perform a criticality analysis: At the following level of rigor: {{ insert: param, SA-15(3)(b) }}.</li></ul>","uuid":"14d7068e-77f5-44a5-a327-9ae6c9afc393"}],"description":"<p>Require the developer of the system, system component, or system service to perform a criticality analysis:</p><ul><li>(a) At the following decision points in the system development life cycle: {{ insert: param, SA-15(3)(a) }} ; and</li><li>(b) At the following level of rigor: {{ insert: param, SA-15(3)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Criticality analysis performed by the developer provides input to the criticality analysis performed by organizations. Developer input is essential to organizational criticality analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes functional specifications, high-level designs, low-level designs, source code, and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. High value assets can be moderate- or high-impact systems due to heightened adversarial interest or potential adverse effects on the federal enterprise. Developer input is especially important when organizations conduct supply chain criticality analyses.</p>","uuid":"95f1c0dd-ea6f-480f-8266-9488a1997ed2","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"d4153322-06fb-4c71-9865-8db171b830f1","otherId":"sa-15.3_prm_2","parameterId":"SA-15(3)(b)","text":"organization-defined breadth and depth of criticality analysis","default":" [Assignment: organization-defined breadth and depth of criticality analysis] "},{"constraints":"","displayName":"","dataType":"","guidance":"decision points in the system development life cycle are defined;","uuid":"066844fc-b822-429a-a462-62e0226b2f27","otherId":"sa-15.03_odp.01","parameterId":"SA-15(3)(a)","text":"decision points","default":" [Assignment: organization-defined decision points] "}],"subControls":null,"tests":[{"testId":"SA-15(03)(a)","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform a criticality analysis at {{ insert: param, sa-15.03_odp.01 }} in the system development life cycle;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing criticality analysis requirements for the system, system component, or system service.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Criticality analysis documentation.</li><li>Business impact analysis documentation.</li><li>Software development life cycle documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for performing criticality analysis.</li><li>System developer.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for performing criticality analysis.</li><li>Mechanisms supporting and/or implementing criticality analysis.</li></ul>","otherId":"sa-15.3_obj.a","defaultText":null,"uuid":"e8cc9454-406e-4d3a-b0d8-6d502e814c5f"},{"testId":"SA-15(03)(b)[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing criticality analysis requirements for the system, system component, or system service.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Criticality analysis documentation.</li><li>Business impact analysis documentation.</li><li>Software development life cycle documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for performing criticality analysis.</li><li>System developer.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for performing criticality analysis.</li><li>Mechanisms supporting and/or implementing criticality analysis.</li></ul>","otherId":"sa-15.3_obj.b-1","defaultText":null,"uuid":"88f715ee-5858-41a4-9c5b-db245623166d"},{"testId":"SA-15(03)(b)[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to perform a criticality analysis at the following rigor level: {{ insert: param, sa-15.03_odp.03 }} .<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing criticality analysis requirements for the system, system component, or system service.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Criticality analysis documentation.</li><li>Business impact analysis documentation.</li><li>Software development life cycle documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel responsible for performing criticality analysis.</li><li>System developer.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for performing criticality analysis.</li><li>Mechanisms supporting and/or implementing criticality analysis.</li></ul>","otherId":"sa-15.3_obj.b-2","defaultText":null,"uuid":"9ba22c4d-6765-4002-b8a3-efcebe85c9b1"}],"weight":1,"title":"SA-15(03) - Criticality Analysis","enhancements":null,"otherId":"sa-15.3","sortId":"sa-15.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-15(3)"},{"objectives":[{"objectiveType":"","otherId":"sa-15_smt.a","name":"a.","description":"<ul><li>a. Require the developer of the system, system component, or system service to follow a documented development process that:</li><ul><li>1. Explicitly addresses security and privacy requirements;</li><li>2. Identifies the standards and tools used in the development process;</li><li>3. Documents the specific tool options and tool configurations used in the development process; and</li><li>4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and</li></ul>","uuid":"6e32917e-e9ff-4eca-8bbf-242414ceb37d"},{"objectiveType":"","otherId":"sa-15_smt.b","name":"b.","description":"<ul><li>b. Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, SA-15(b)-1 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, SA-15(b)-2 }}.</li></ul>","uuid":"6b0ba3c5-c166-4acf-baf4-d0cea002cb38"}],"description":"<ul><li>a. Require the developer of the system, system component, or system service to follow a documented development process that:</li><ul><li>1. Explicitly addresses security and privacy requirements;</li><li>2. Identifies the standards and tools used in the development process;</li><li>3. Documents the specific tool options and tool configurations used in the development process; and</li><li>4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and</li></ul><li>b. Review the development process, standards, tools, tool options, and tool configurations {{ insert: param, SA-15(b)-1 }} to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy the following security and privacy requirements: {{ insert: param, SA-15(b)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Development tools include programming languages and computer-aided design systems. Reviews of development processes include the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes.</p>","uuid":"d44a24c7-9352-43e6-be1d-11520fbe6bdc","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"d1d704f0-3972-492a-a210-9ffc74848156","otherId":"sa-15_prm_2","parameterId":"SA-15(b)-2","text":"organization-defined security and privacy requirements","default":" [Assignment: organization-defined security and privacy requirements] "},{"constraints":"frequency at least annually","displayName":"","dataType":"","guidance":"frequency at which to review the development process, standards, tools, tool options, and tool configurations is defined;","uuid":"784b783c-c27c-49fa-8318-16c15d7fee08","otherId":"sa-15_odp.01","parameterId":"SA-15(b)-1","text":"frequency","default":"[FedRAMP Assignment: frequency at least annually]"}],"subControls":null,"tests":[{"testId":"SA-15a.01[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses security requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.a.1-1","defaultText":null,"uuid":"2eec99c1-335a-4074-b943-4d91e20d93e9"},{"testId":"SA-15a.01[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process that explicitly addresses privacy requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.a.1-2","defaultText":null,"uuid":"0e0c8a73-cfe6-4be7-90b6-243e986da6cb"},{"testId":"SA-15a.02[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process that identifies the standards used in the development process;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.a.2-1","defaultText":null,"uuid":"795c6939-1e72-4e55-8057-95b984ff6ae8"},{"testId":"SA-15a.02[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process that identifies the tools used in the development process;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.a.2-2","defaultText":null,"uuid":"32799cd9-444e-4f7d-9f51-366f423e4387"},{"testId":"SA-15a.03[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool used in the development process;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.a.3-1","defaultText":null,"uuid":"7c0cf36f-d8d2-4e36-b4d4-0700d3003e98"},{"testId":"SA-15a.03[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process that documents the specific tool configurations used in the development process;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.a.3-2","defaultText":null,"uuid":"8ed33dd8-bf48-4495-97b4-51e61d028065"},{"testId":"SA-15a.04","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process that documents, manages, and ensures the integrity of changes to the process and/or tools used in development;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.a.4","defaultText":null,"uuid":"a6d3f3b1-c348-44db-bbf5-dcedac3a1f41"},{"testId":"SA-15b.[01]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.b-1","defaultText":null,"uuid":"e4cec9b6-b81c-4973-a3bc-1a6d6716b415"},{"testId":"SA-15b.[02]","test":"Assessment Objective: Determine if the developer of the system, system component, or system service is required to follow a documented development process in which the development process, standards, tools, tool options, and tool configurations are reviewed {{ insert: param, sa-15_odp.01 }} to determine that the process, standards, tools, tool options, and tool configurations selected and employed satisfy {{ insert: param, sa-15_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing development process, standards, and tools.</li><li>Procedures addressing the integration of security and privacy requirements during the development process.</li><li>Solicitation documentation.</li><li>Acquisition documentation.</li><li>Critical component inventory documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>System developer documentation listing tool options/configuration guides.</li><li>Configuration management policy.</li><li>Configuration management records.</li><li>Documentation of development process reviews using maturity models.</li><li>Change control records.</li><li>Configuration control records.</li><li>Documented reviews of the development process, standards, tools, and tool options/configurations.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul>","otherId":"sa-15_obj.b-2","defaultText":null,"uuid":"30b32dae-6221-426d-a517-e9b9b683b44a"}],"weight":1,"title":"SA-15 - Development Process, Standards, and Tools","enhancements":"<strong>Enhancements</strong><ul><li>SA-15(3) - Criticality Analysis</li></ul>","otherId":"sa-15","sortId":"sa-15","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-15"},{"objectives":[{"objectiveType":"","otherId":"sa-22_smt.a","name":"a.","description":"<ul><li>a. Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or</li></ul>","uuid":"4086e8f2-924d-4b31-b346-459b2d57c7c1"},{"objectiveType":"","otherId":"sa-22_smt.b","name":"b.","description":"<ul><li>b. Provide the following options for alternative sources for continued support for unsupported components {{ insert: param, SA-22(b) }}.</li></ul>","uuid":"601b58e7-7021-45f8-868f-28dcf9328a5a"}],"description":"<ul><li>a. Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer; or</li><li>b. Provide the following options for alternative sources for continued support for unsupported components {{ insert: param, SA-22(b) }}.</li></ul><br/><strong>Guidance</strong><p>Support for system components includes software patches, firmware updates, replacement parts, and maintenance contracts. An example of unsupported components includes when vendors no longer provide critical software patches or product updates, which can result in an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components include systems that provide critical mission or business capabilities where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.</p><p>Alternative sources for support address the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business functions. If necessary, organizations can establish in-house support by developing customized patches for critical software components or, alternatively, obtain the services of external providers who provide ongoing support for the designated unsupported components through contractual relationships. Such contractual relationships can include open-source software value-added vendors. The increased risk of using unsupported system components can be mitigated, for example, by prohibiting the connection of such components to public or uncontrolled networks, or implementing other forms of isolation.</p>","uuid":"c6823f1e-6eb5-42ff-afdb-4909fe9edc42","family":"System and Services Acquisition","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"49407390-4010-4579-ab51-735a1a66d2c6","otherId":"sa-22_odp.01","parameterId":"SA-22(b)","text":"[Selection (one or more): in-house support; [(NESTED PARAMETER) Assignment for sa-22_odp.02: support from external providers]]","default":"[Selection (one or more): in-house support; [(NESTED PARAMETER) Assignment for sa-22_odp.02: support from external providers]]"}],"subControls":null,"tests":[{"testId":"SA-22a.","test":"Assessment Objective: Determine if system components are replaced when support for the components is no longer available from the developer, vendor, or manufacturer;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing the replacement or continued use of unsupported system components.</li><li>Documented evidence of replacing unsupported system components.</li><li>Documented approvals (including justification) for the continued use of unsupported system components.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with the responsibility for the system development life cycle.</li><li>Organizational personnel responsible for component replacement.</li></ul><br>Test (Select From):<ul><li>Organizational processes for replacing unsupported system components.</li><li>Mechanisms supporting and/or implementing the replacement of unsupported system components.</li></ul>","otherId":"sa-22_obj.a","defaultText":null,"uuid":"d097f377-2df6-4dca-b584-31d81e5cf640"},{"testId":"SA-22b.","test":"Assessment Objective: Determine if \n{{ insert: param, sa-22_odp.01 }} provide options for alternative sources for continued support for unsupported components.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and services acquisition policy.</li><li>Procedures addressing the replacement or continued use of unsupported system components.</li><li>Documented evidence of replacing unsupported system components.</li><li>Documented approvals (including justification) for the continued use of unsupported system components.</li><li>System security plan.</li><li>Supply chain risk management plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with the responsibility for the system development life cycle.</li><li>Organizational personnel responsible for component replacement.</li></ul><br>Test (Select From):<ul><li>Organizational processes for replacing unsupported system components.</li><li>Mechanisms supporting and/or implementing the replacement of unsupported system components.</li></ul>","otherId":"sa-22_obj.b","defaultText":null,"uuid":"201883dc-757d-4c38-9c19-f8edb4e030d5"}],"weight":1,"title":"SA-22 - Unsupported System Components","enhancements":"","otherId":"sa-22","sortId":"sa-22","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SA-22"},{"objectives":[{"objectiveType":"","otherId":"sc-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SC-1(a) }}:</li><ul><li>1. {{ insert: param, SC-1(a)(1) }} system and communications protection policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;</li></ul>","uuid":"08ad4993-efa6-4c68-b564-800a4d0f15c8"},{"objectiveType":"","otherId":"sc-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, SC-1(b) }} to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and</li></ul>","uuid":"a92448e0-b304-44d4-bfe4-d7c89f7e739a"},{"objectiveType":"","otherId":"sc-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current system and communications protection:</li><ul><li>1. Policy {{ insert: param, SC-1(c)(1)-1 }} and following {{ insert: param, SC-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SC-1(c)(2)-1 }} and following {{ insert: param, SC-1(c)(2)-2 }}.</li></ul>","uuid":"50c176bc-c624-48eb-bffd-16f175eb3c67"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SC-1(a) }}:</li><ul><li>1. {{ insert: param, SC-1(a)(1) }} system and communications protection policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the system and communications protection policy and the associated system and communications protection controls;</li></ul><li>b. Designate an {{ insert: param, SC-1(b) }} to manage the development, documentation, and dissemination of the system and communications protection policy and procedures; and</li><li>c. Review and update the current system and communications protection:</li><ul><li>1. Policy {{ insert: param, SC-1(c)(1)-1 }} and following {{ insert: param, SC-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SC-1(c)(2)-1 }} and following {{ insert: param, SC-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>System and communications protection policy and procedures address the controls in the SC family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and communications protection policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and communications protection policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"41d4b703-4e1a-4288-aba2-217afa54c8a2","family":"System and Communications Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"27bdca61-ab0e-49f1-b0df-66b547baa7c5","otherId":"sc-1_prm_1","parameterId":"SC-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"c9e88f86-da1b-423b-ae25-76f2016b4efe","otherId":"sc-01_odp.03","parameterId":"SC-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business-process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business-process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the system and communications protection policy and procedures is defined;","uuid":"5fc7838a-06ac-4b9d-9530-fa700f3ff088","otherId":"sc-01_odp.04","parameterId":"SC-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current system and communications protection policy is reviewed and updated is defined;","uuid":"d0226ef3-e3e7-47df-933a-8501e0ba6356","otherId":"sc-01_odp.05","parameterId":"SC-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current system and communications protection policy to be reviewed and updated are defined;","uuid":"995f1930-bce6-4e94-983e-ae0620ed0986","otherId":"sc-01_odp.06","parameterId":"SC-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current system and communications protection procedures are reviewed and updated is defined;","uuid":"880010e1-0fe3-4ecd-9643-2ff2ce38c41a","otherId":"sc-01_odp.07","parameterId":"SC-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require the system and communications protection procedures to be reviewed and updated are defined;","uuid":"248cc4b4-7c49-4289-8e39-12264138d3f0","otherId":"sc-01_odp.08","parameterId":"SC-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"SC-01a.[01]","test":"Assessment Objective: Determine if a system and communications protection policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a-1","defaultText":null,"uuid":"d8a7ccea-1783-4633-b0e4-095f681babf7"},{"testId":"SC-01a.[02]","test":"Assessment Objective: Determine if the system and communications protection policy is disseminated to {{ insert: param, sc-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a-2","defaultText":null,"uuid":"5a268872-2aa5-4f14-8c22-cecafdcdcf01"},{"testId":"SC-01a.[03]","test":"Assessment Objective: Determine if system and communications protection procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a-3","defaultText":null,"uuid":"1cced20a-559a-4d0f-a55f-2941201ac476"},{"testId":"SC-01a.[04]","test":"Assessment Objective: Determine if the system and communications protection procedures are disseminated to {{ insert: param, sc-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a-4","defaultText":null,"uuid":"e6d55935-fd5f-4065-a28f-9452c6b22eb4"},{"testId":"SC-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.a-1","defaultText":null,"uuid":"44ab09e0-2059-4aca-95ca-25d6c5f13e41"},{"testId":"SC-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.a-2","defaultText":null,"uuid":"bbce3819-539b-4070-878c-6d78482fccac"},{"testId":"SC-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.a-3","defaultText":null,"uuid":"912d9e3b-6763-4307-a2e5-8042bd6ec945"},{"testId":"SC-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.a-4","defaultText":null,"uuid":"4dae7c7a-ad08-4565-bec6-df72d9ec8f24"},{"testId":"SC-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.a-5","defaultText":null,"uuid":"bf59b55c-4506-4eca-9a26-767d8c0e5065"},{"testId":"SC-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.a-6","defaultText":null,"uuid":"edb3006a-3ac2-4816-83b3-73837a3adb50"},{"testId":"SC-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.a-7","defaultText":null,"uuid":"0d2a47fc-a464-4483-b188-3a6ccd6297b6"},{"testId":"SC-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.03 }} system and communications protection policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.a.1.b","defaultText":null,"uuid":"2d47465d-408a-4e45-aeb5-b4221fb58158"},{"testId":"SC-01b.","test":"Assessment Objective: Determine if the {{ insert: param, sc-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and communications protection policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.b","defaultText":null,"uuid":"64e64a73-2e88-444c-a9ea-938a7b2637b5"},{"testId":"SC-01c.01[01]","test":"Assessment Objective: Determine if the current system and communications protection policy is reviewed and updated {{ insert: param, sc-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.c.1-1","defaultText":null,"uuid":"a66f5f51-1c69-450f-b46c-f653c539f865"},{"testId":"SC-01c.01[02]","test":"Assessment Objective: Determine if the current system and communications protection policy is reviewed and updated following {{ insert: param, sc-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.c.1-2","defaultText":null,"uuid":"ee7c6b92-9dc6-4762-b03b-5c5b61f360ea"},{"testId":"SC-01c.02[01]","test":"Assessment Objective: Determine if the current system and communications protection procedures are reviewed and updated {{ insert: param, sc-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.c.2-1","defaultText":null,"uuid":"7afb19ca-05d0-4938-85f9-d7b9dec2db11"},{"testId":"SC-01c.02[02]","test":"Assessment Objective: Determine if the current system and communications protection procedures are reviewed and updated following {{ insert: param, sc-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>System and communications protection procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Risk management strategy documentation.</li><li>Audit findings.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and communications protection responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"sc-1_obj.c.2-2","defaultText":null,"uuid":"01d5b798-29b0-487a-a1cd-adb99934f995"}],"weight":1,"title":"SC-01 - Policy and Procedures","enhancements":"","otherId":"sc-1","sortId":"sc-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-1"},{"objectives":[{"objectiveType":"","otherId":"sc-2_smt","name":"SC-2","description":"Separate user functionality, including user interface services, from system management functionality.","uuid":"3c69ae2c-8573-49cc-bee5-51bad9c5331b"}],"description":"<p>Separate user functionality, including user interface services, from system management functionality.</p><br/><strong>Guidance</strong><p>System management functionality includes functions that are necessary to administer databases, network components, workstations, or servers. These functions typically require privileged user access. The separation of user functions from system management functions is physical or logical. Organizations may separate system management functions from user functions by using different computers, instances of operating systems, central processing units, or network addresses; by employing virtualization techniques; or some combination of these or other methods. Separation of system management functions from user functions includes web administrative interfaces that employ separate authentication methods for users of any other system resources. Separation of system and user functions may include isolating administrative interfaces on different domains and with additional access controls. The separation of system and user functionality can be achieved by applying the systems security engineering design principles in <a href=\"#sa-8\">SA-8</a> , including <a href=\"#sa-8.1\">SA-8(1)</a>, <a href=\"#sa-8.3\">SA-8(3)</a>, <a href=\"#sa-8.4\">SA-8(4)</a>, <a href=\"#sa-8.10\">SA-8(10)</a>, <a href=\"#sa-8.12\">SA-8(12)</a>, <a href=\"#sa-8.13\">SA-8(13)</a>, <a href=\"#sa-8.14\">SA-8(14)</a> , and <a href=\"#sa-8.18\">SA-8(18)</a>.</p>","uuid":"d22e340e-e460-4503-b33f-1f80ddc8e2fc","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-02","test":"Assessment Objective: Determine if user functionality, including user interface services, is separated from system management functionality.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing application partitioning.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Separation of user functionality from system management functionality.</li></ul>","otherId":"sc-2_obj","defaultText":null,"uuid":"beb7eef6-9d31-4346-8ca0-fe22c0c62b20"}],"weight":1,"title":"SC-02 - Separation of System and User Functionality","enhancements":"","otherId":"sc-2","sortId":"sc-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-2"},{"objectives":[{"objectiveType":"","otherId":"sc-4_smt","name":"SC-4","description":"Prevent unauthorized and unintended information transfer via shared system resources.","uuid":"64b237fe-0eb4-4512-ac98-1a0727d8ac2a"}],"description":"<p>Prevent unauthorized and unintended information transfer via shared system resources.</p><br/><strong>Guidance</strong><p>Preventing unauthorized and unintended information transfer via shared system resources stops information produced by the actions of prior users or roles (or the actions of processes acting on behalf of prior users or roles) from being available to current users or roles (or current processes acting on behalf of current users or roles) that obtain access to shared system resources after those resources have been released back to the system. Information in shared system resources also applies to encrypted representations of information. In other contexts, control of information in shared system resources is referred to as object reuse and residual information protection. Information in shared system resources does not address information remanence, which refers to the residual representation of data that has been nominally deleted; covert channels (including storage and timing channels), where shared system resources are manipulated to violate information flow restrictions; or components within systems for which there are only single users or roles.</p>","uuid":"d372e9fc-dea9-4167-bedc-413ae7f42e7f","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-04[01]","test":"Assessment Objective: Determine if unauthorized information transfer via shared system resources is prevented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing information protection in shared system resources.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms preventing the unauthorized and unintended transfer of information via shared system resources.</li></ul>","otherId":"sc-4_obj-1","defaultText":null,"uuid":"0f6d66e8-96a2-4769-acf5-ff9629ba5f62"},{"testId":"SC-04[02]","test":"Assessment Objective: Determine if unintended information transfer via shared system resources is prevented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing information protection in shared system resources.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms preventing the unauthorized and unintended transfer of information via shared system resources.</li></ul>","otherId":"sc-4_obj-2","defaultText":null,"uuid":"ddb428fc-4678-438b-9140-2d533b19dd8b"}],"weight":1,"title":"SC-04 - Information in Shared System Resources","enhancements":"","otherId":"sc-4","sortId":"sc-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-4"},{"objectives":[{"objectiveType":"","otherId":"sc-5_smt.a","name":"a.","description":"<ul><li>a. {{ insert: param, SC-5(a)-1 }} the effects of the following types of denial-of-service events: {{ insert: param, SC-5(a)-2 }} ; and</li></ul>","uuid":"7b8447a2-43ad-4e8e-bb3b-be11d650d2c6"},{"objectiveType":"","otherId":"sc-5_smt.b","name":"b.","description":"<ul><li>b. Employ the following controls to achieve the denial-of-service objective: {{ insert: param, SC-5(b) }}.</li></ul>","uuid":"9c1e5712-f916-41cc-97fb-7b8a4b54d8ea"}],"description":"<ul><li>a. {{ insert: param, SC-5(a)-1 }} the effects of the following types of denial-of-service events: {{ insert: param, SC-5(a)-2 }} ; and</li><li>b. Employ the following controls to achieve the denial-of-service objective: {{ insert: param, SC-5(b) }}.</li></ul><br/><strong>Guidance</strong><p>Denial-of-service events may occur due to a variety of internal and external causes, such as an attack by an adversary or a lack of planning to support organizational needs with respect to capacity and bandwidth. Such attacks can occur across a wide range of network protocols (e.g., IPv4, IPv6). A variety of technologies are available to limit or eliminate the origination and effects of denial-of-service events. For example, boundary protection devices can filter certain types of packets to protect system components on internal networks from being directly affected by or the source of denial-of-service attacks. Employing increased network capacity and bandwidth combined with service redundancy also reduces the susceptibility to denial-of-service events.</p>","uuid":"e5ab1be8-6a6e-4002-b865-cb52644f1f76","family":"System and Communications Protection","parameters":[{"constraints":"at a minimum: ICMP (ping) flood, SYN flood, slowloris, buffer overflow attack, and volume attack","displayName":"","dataType":"","guidance":"types of denial-of-service events to be protected against or limited are defined;","uuid":"79e19d55-5496-4fe1-a196-20e93c3710fb","otherId":"sc-05_odp.01","parameterId":"SC-5(a)-2","text":"types of denial-of-service events","default":"[FedRAMP Assignment: at a minimum: ICMP (ping) flood, SYN flood, slowloris, buffer overflow attack, and volume attack]"},{"constraints":"Protect against","displayName":"","dataType":"","guidance":"","uuid":"9dc3abf6-b083-4183-8237-8db51a1950d0","otherId":"sc-05_odp.02","parameterId":"SC-5(a)-1","text":"[Selection: protect against; limit]","default":"[FedRAMP Assignment: Protect against]"},{"constraints":"","displayName":"","dataType":"","guidance":"controls to achieve the denial-of-service objective by type of denial-of-service event are defined;","uuid":"fd124bca-790d-4853-8f85-1a37c7bf8d72","otherId":"sc-05_odp.03","parameterId":"SC-5(b)","text":"controls by type of denial-of-service event","default":" [Assignment: organization-defined controls by type of denial-of-service event] "}],"subControls":null,"tests":[{"testId":"SC-05a.","test":"Assessment Objective: Determine if the effects of {{ insert: param, sc-05_odp.01 }} are {{ insert: param, sc-05_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing denial-of-service protection.</li><li>System design documentation.</li><li>List of denial-of-service attacks requiring employment of security safeguards to protect against or limit effects of such attacks.</li><li>List of security safeguards protecting against or limiting the effects of denial-of-service attacks.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms protecting against or limiting the effects of denial-of-service attacks.</li></ul>","otherId":"sc-5_obj.a","defaultText":null,"uuid":"84e13e60-d6d5-4c0a-899a-9a3fc11962eb"},{"testId":"SC-05b.","test":"Assessment Objective: Determine if \n{{ insert: param, sc-05_odp.03 }} are employed to achieve the denial-of-service protection objective.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing denial-of-service protection.</li><li>System design documentation.</li><li>List of denial-of-service attacks requiring employment of security safeguards to protect against or limit effects of such attacks.</li><li>List of security safeguards protecting against or limiting the effects of denial-of-service attacks.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms protecting against or limiting the effects of denial-of-service attacks.</li></ul>","otherId":"sc-5_obj.b","defaultText":null,"uuid":"85b2b880-7757-44ed-b8e0-53dbe43585a3"}],"weight":1,"title":"SC-05 - Denial-of-service Protection","enhancements":"","otherId":"sc-5","sortId":"sc-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-5"},{"objectives":[{"objectiveType":"","otherId":"sc-7.3_smt","name":"SC-7(3)","description":"Limit the number of external network connections to the system.","uuid":"7212b33f-fa74-4f47-a44a-191c8390fc5c"}],"description":"<p>Limit the number of external network connections to the system.</p><br/><strong>Guidance</strong><p>Limiting the number of external network connections facilitates monitoring of inbound and outbound communications traffic. The Trusted Internet Connection <a href=\"#4f42ee6e-86cc-403b-a51f-76c2b4f81b54\">DHS TIC</a> initiative is an example of a federal guideline that requires limits on the number of external network connections. Limiting the number of external network connections to the system is important during transition periods from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols). Such transitions may require implementing the older and newer technologies simultaneously during the transition period and thus increase the number of access points to the system.</p>","uuid":"20000830-76ec-45c5-85ff-b6a9bf5c3bb2","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-07(03)","test":"Assessment Objective: Determine if the number of external network connections to the system is limited.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Communications and network traffic monitoring logs.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li><li>Mechanisms limiting the number of external network connections to the system.</li></ul>","otherId":"sc-7.3_obj","defaultText":null,"uuid":"3b54cd8c-cc6f-41dc-a4de-b072b5ab4de9"}],"weight":1,"title":"SC-07(03) - Access Points","enhancements":null,"otherId":"sc-7.3","sortId":"sc-07.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7(3)"},{"objectives":[{"objectiveType":"","otherId":"sc-7.4_smt.a","name":"(a)","description":"<ul><li>(a) Implement a managed interface for each external telecommunication service;</li></ul>","uuid":"c299c826-a3c2-4c35-8489-f3793cb0659d"},{"objectiveType":"","otherId":"sc-7.4_smt.b","name":"(b)","description":"<ul><li>(b) Establish a traffic flow policy for each managed interface;</li></ul>","uuid":"0e0e3898-c065-42f6-86e2-bbc2de148ecc"},{"objectiveType":"","otherId":"sc-7.4_smt.c","name":"(c)","description":"<ul><li>(c) Protect the confidentiality and integrity of the information being transmitted across each interface;</li></ul>","uuid":"e2f8b4b2-5ad8-4161-a4d2-546f4cb89474"},{"objectiveType":"","otherId":"sc-7.4_smt.d","name":"(d)","description":"<ul><li>(d) Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;</li></ul>","uuid":"8cc90732-266a-4876-82ce-14d2ecd7e51b"},{"objectiveType":"","otherId":"sc-7.4_smt.e","name":"(e)","description":"<ul><li>(e) Review exceptions to the traffic flow policy {{ insert: param, SC-7(4)(e) }} and remove exceptions that are no longer supported by an explicit mission or business need;</li></ul>","uuid":"21e571a5-67ce-4b44-99e3-d68db5f0357b"},{"objectiveType":"","otherId":"sc-7.4_smt.f","name":"(f)","description":"<ul><li>(f) Prevent unauthorized exchange of control plane traffic with external networks;</li></ul>","uuid":"d95353ad-5af0-4225-972f-8490699ee172"},{"objectiveType":"","otherId":"sc-7.4_smt.g","name":"(g)","description":"<ul><li>(g) Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and</li></ul>","uuid":"47fd3ee8-f898-41f4-9509-b715a2923da6"},{"objectiveType":"","otherId":"sc-7.4_smt.h","name":"(h)","description":"<ul><li>(h) Filter unauthorized control plane traffic from external networks.</li></ul>","uuid":"328e604e-6cbd-47bd-9d36-bf9b507e5566"}],"description":"<ul><li>(a) Implement a managed interface for each external telecommunication service;</li><li>(b) Establish a traffic flow policy for each managed interface;</li><li>(c) Protect the confidentiality and integrity of the information being transmitted across each interface;</li><li>(d) Document each exception to the traffic flow policy with a supporting mission or business need and duration of that need;</li><li>(e) Review exceptions to the traffic flow policy {{ insert: param, SC-7(4)(e) }} and remove exceptions that are no longer supported by an explicit mission or business need;</li><li>(f) Prevent unauthorized exchange of control plane traffic with external networks;</li><li>(g) Publish information to enable remote networks to detect unauthorized control plane traffic from internal networks; and</li><li>(h) Filter unauthorized control plane traffic from external networks.</li></ul><br/><strong>Guidance</strong><p>External telecommunications services can provide data and/or voice communications services. Examples of control plane traffic include Border Gateway Protocol (BGP) routing, Domain Name System (DNS), and management protocols. See <a href=\"#f5edfe51-d1f2-422e-9b27-5d0e90b49c72\">SP 800-189</a> for additional information on the use of the resource public key infrastructure (RPKI) to protect BGP routes and detect unauthorized BGP announcements.</p>","uuid":"75e02361-ddbc-44a5-af4b-961eb2f889dc","family":"System and Communications Protection","parameters":[{"constraints":"at least every 180 days or whenever there is a change in the threat environment that warrants a review of the exceptions","displayName":"","dataType":"","guidance":"the frequency at which to review exceptions to traffic flow policy is defined;","uuid":"541a26dd-1bc9-4142-80bc-d175d6752db4","otherId":"sc-07.04_odp","parameterId":"SC-7(4)(e)","text":"frequency","default":"[FedRAMP Assignment: at least every 180 days or whenever there is a change in the threat environment that warrants a review of the exceptions]"}],"subControls":null,"tests":[{"testId":"SC-07(04)(a)","test":"Assessment Objective: Determine if a managed interface is implemented for each external telecommunication service;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.a","defaultText":null,"uuid":"c39addcf-a5c0-446f-b766-b9ba6df133fd"},{"testId":"SC-07(04)(b)","test":"Assessment Objective: Determine if a traffic flow policy is established for each managed interface;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.b","defaultText":null,"uuid":"797106df-f491-4186-85b9-fdc473f3072f"},{"testId":"SC-07(04)(c)[01]","test":"Assessment Objective: Determine if the confidentiality of the information being transmitted across each interface is protected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.c-1","defaultText":null,"uuid":"4f153ad2-b21c-48e8-87ed-0ccddc35ca53"},{"testId":"SC-07(04)(c)[02]","test":"Assessment Objective: Determine if the integrity of the information being transmitted across each interface is protected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.c-2","defaultText":null,"uuid":"d8e65b54-d213-4ac9-ac97-c191618f17be"},{"testId":"SC-07(04)(d)","test":"Assessment Objective: Determine if each exception to the traffic flow policy is documented with a supporting mission or business need and duration of that need;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.d","defaultText":null,"uuid":"78fbb6fc-8bac-4620-afeb-9ac195aecac6"},{"testId":"SC-07(04)(e)[01]","test":"Assessment Objective: Determine if exceptions to the traffic flow policy are reviewed {{ insert: param, sc-07.04_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.e-1","defaultText":null,"uuid":"506ccd51-fa32-4035-964e-396c4adc2ca8"},{"testId":"SC-07(04)(e)[02]","test":"Assessment Objective: Determine if exceptions to the traffic flow policy that are no longer supported by an explicit mission or business need are removed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.e-2","defaultText":null,"uuid":"0641de63-83cd-4e02-933f-6a460c0aed6e"},{"testId":"SC-07(04)(f)","test":"Assessment Objective: Determine if unauthorized exchanges of control plan traffic with external networks are prevented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.f","defaultText":null,"uuid":"cdd969df-1a1a-4c86-b06e-7abe4f80c67f"},{"testId":"SC-07(04)(g)","test":"Assessment Objective: Determine if information is published to enable remote networks to detect unauthorized control plane traffic from internal networks;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.g","defaultText":null,"uuid":"2519ef55-e206-45ba-89fb-51f2bcec1ff8"},{"testId":"SC-07(04)(h)","test":"Assessment Objective: Determine if unauthorized control plane traffic is filtered from external networks.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Traffic flow policy.</li><li>Information flow control policy.</li><li>Procedures addressing boundary protection.</li><li>System security architecture.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System architecture and configuration documentation.</li><li>System configuration settings and associated documentation.</li><li>Records of traffic flow policy exceptions.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for documenting and reviewing exceptions to the traffic flow policy.</li><li>Organizational processes for removing exceptions to the traffic flow policy.</li><li>Mechanisms implementing boundary protection capabilities.</li><li>Managed interfaces implementing traffic flow policy.</li></ul>","otherId":"sc-7.4_obj.h","defaultText":null,"uuid":"11449d88-9271-422a-a4a0-066dd464b530"}],"weight":1,"title":"SC-07(04) - External Telecommunications Services","enhancements":null,"otherId":"sc-7.4","sortId":"sc-07.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7(4)"},{"objectives":[{"objectiveType":"","otherId":"sc-7.5_smt","name":"SC-7(5)","description":"Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, SC-7(5) }}.","uuid":"179448a7-1b24-400e-9768-c27d32c2e2fd"}],"description":"<p>Deny network communications traffic by default and allow network communications traffic by exception {{ insert: param, SC-7(5) }}.</p><br/><strong>Guidance</strong><p>Denying by default and allowing by exception applies to inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those system connections that are essential and approved are allowed. Deny by default, allow by exception also applies to a system that is connected to an external system.</p><br/><strong>SC-7 (5) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> For JAB Authorization, CSPs shall include details of this control in their Architecture Briefing</li></ul>","uuid":"1f990446-1353-49c9-a3a6-30009585c9e1","family":"System and Communications Protection","parameters":[{"constraints":"any systems","displayName":"","dataType":"","guidance":"","uuid":"0f72770c-ff5a-44fd-8d4a-f303b593860d","otherId":"sc-07.05_odp.01","parameterId":"SC-7(5)","text":"[Selection (one or more): at managed interfaces; for [(NESTED PARAMETER) Assignment for sc-07.05_odp.02: systems]]","default":"[FedRAMP Assignment: any systems]"}],"subControls":null,"tests":[{"testId":"SC-07(05)[01]","test":"Assessment Objective: Determine if network communications traffic is denied by default {{ insert: param, sc-07.05_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing traffic management at managed interfaces.</li></ul>","otherId":"sc-7.5_obj-1","defaultText":null,"uuid":"24d624b1-be64-479d-83fe-e784d317d4d1"},{"testId":"SC-07(05)[02]","test":"Assessment Objective: Determine if network communications traffic is allowed by exception {{ insert: param, sc-07.05_odp.01 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing traffic management at managed interfaces.</li></ul>","otherId":"sc-7.5_obj-2","defaultText":null,"uuid":"8de89b28-a6fd-4dab-9893-ab169b9500d2"}],"weight":1,"title":"SC-07(05) - Deny by Default — Allow by Exception","enhancements":null,"otherId":"sc-7.5","sortId":"sc-07.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7(5)"},{"objectives":[{"objectiveType":"","otherId":"sc-7.7_smt","name":"SC-7(7)","description":"Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, SC-7(7) }}.","uuid":"ef86ac4f-c7ba-4daf-8d73-f8f9a0428775"}],"description":"<p>Prevent split tunneling for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, SC-7(7) }}.</p><br/><strong>Guidance</strong><p>Split tunneling is the process of allowing a remote user or device to establish a non-remote connection with a system and simultaneously communicate via some other connection to a resource in an external network. This method of network access enables a user to access remote devices and simultaneously, access uncontrolled networks. Split tunneling might be desirable by remote users to communicate with local system resources, such as printers or file servers. However, split tunneling can facilitate unauthorized external connections, making the system vulnerable to attack and to exfiltration of organizational information. Split tunneling can be prevented by disabling configuration settings that allow such capability in remote devices and by preventing those configuration settings from being configurable by users. Prevention can also be achieved by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. A virtual private network (VPN) can be used to securely provision a split tunnel. A securely provisioned VPN includes locking connectivity to exclusive, managed, and named environments, or to a specific set of pre-approved addresses, without user control.</p>","uuid":"9b4dc5d3-e29b-4c2e-9655-18b4aac04f26","family":"System and Communications Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"safeguards to securely provision split tunneling are defined;","uuid":"327772c5-62a8-4aa9-adf1-efee0613715f","otherId":"sc-07.07_odp","parameterId":"SC-7(7)","text":"safeguards","default":" [Assignment: organization-defined safeguards] "}],"subControls":null,"tests":[{"testId":"SC-07(07)","test":"Assessment Objective: Determine if split tunneling is prevented for remote devices connecting to organizational systems unless the split tunnel is securely provisioned using {{ insert: param, sc-07.07_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>System design documentation.</li><li>System hardware and software.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li><li>Mechanisms supporting/restricting non-remote connections.</li></ul>","otherId":"sc-7.7_obj","defaultText":null,"uuid":"a2af91e5-cfef-4b2f-a002-317c05a27c70"}],"weight":1,"title":"SC-07(07) - Split Tunneling for Remote Devices","enhancements":null,"otherId":"sc-7.7","sortId":"sc-07.07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7(7)"},{"objectives":[{"objectiveType":"","otherId":"sc-7.8_smt","name":"SC-7(8)","description":"Route {{ insert: param, SC-7(8)-1 }} to {{ insert: param, SC-7(8)-2 }} through authenticated proxy servers at managed interfaces.","uuid":"7c7960aa-7b11-4ca4-b9d9-948b9d0e987a"}],"description":"<p>Route {{ insert: param, SC-7(8)-1 }} to {{ insert: param, SC-7(8)-2 }} through authenticated proxy servers at managed interfaces.</p><br/><strong>Guidance</strong><p>External networks are networks outside of organizational control. A proxy server is a server (i.e., system or application) that acts as an intermediary for clients requesting system resources from non-organizational or other organizational servers. System resources that may be requested include files, connections, web pages, or services. Client requests established through a connection to a proxy server are assessed to manage complexity and provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers that provide access to the Internet. Proxy servers can support the logging of Transmission Control Protocol sessions and the blocking of specific Uniform Resource Locators, Internet Protocol addresses, and domain names. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites. Note that proxy servers may inhibit the use of virtual private networks (VPNs) and create the potential for <q>man-in-the-middle</q> attacks (depending on the implementation).</p>","uuid":"f5c94e13-3c6b-47da-b60f-9cfc20fee7a8","family":"System and Communications Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"internal communications traffic to be routed to external networks is defined;","uuid":"5cd75a9b-fe44-407f-b15f-fcfbf8c68f96","otherId":"sc-07.08_odp.01","parameterId":"SC-7(8)-1","text":"internal communications traffic","default":" [Assignment: organization-defined internal communications traffic] "},{"constraints":"any network outside of organizational control and any network outside the authorization boundary","displayName":"","dataType":"","guidance":"external networks to which internal communications traffic is to be routed are defined;","uuid":"56183fd6-e13f-42ed-889f-1cddefc49784","otherId":"sc-07.08_odp.02","parameterId":"SC-7(8)-2","text":"external networks","default":"[FedRAMP Assignment: any network outside of organizational control and any network outside the authorization boundary]"}],"subControls":null,"tests":[{"testId":"SC-07(08)","test":"Assessment Objective: Determine if \n{{ insert: param, sc-07.08_odp.01 }} is routed to {{ insert: param, sc-07.08_odp.02 }} through authenticated proxy servers at managed interfaces.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>System design documentation.</li><li>System hardware and software.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing traffic management through authenticated proxy servers at managed interfaces.</li></ul>","otherId":"sc-7.8_obj","defaultText":null,"uuid":"44275ac7-8904-441d-af90-1d1b33b8f9ef"}],"weight":1,"title":"SC-07(08) - Route Traffic to Authenticated Proxy Servers","enhancements":null,"otherId":"sc-7.8","sortId":"sc-07.08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7(8)"},{"objectives":[{"objectiveType":"","otherId":"sc-7.12_smt","name":"SC-7(12)","description":"Implement {{ insert: param, SC-7(12)-1 }} at {{ insert: param, SC-7(12)-2 }}.","uuid":"c90cc603-13eb-4862-8850-a2ab31c910cd"}],"description":"<p>Implement {{ insert: param, SC-7(12)-1 }} at {{ insert: param, SC-7(12)-2 }}.</p><br/><strong>Guidance</strong><p>Host-based boundary protection mechanisms include host-based firewalls. System components that employ host-based boundary protection mechanisms include servers, workstations, notebook computers, and mobile devices.</p>","uuid":"cd97103f-4577-44c5-9c56-b307c31632f0","family":"System and Communications Protection","parameters":[{"constraints":"Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall","displayName":"","dataType":"","guidance":"host-based boundary protection mechanisms to be implemented are defined;","uuid":"ce17cb08-3fb6-4ec7-9f5d-7330dcdb5b08","otherId":"sc-07.12_odp.01","parameterId":"SC-7(12)-1","text":"host-based boundary protection mechanisms","default":"[FedRAMP Assignment: Host Intrusion Prevention System (HIPS), Host Intrusion Detection System (HIDS), or minimally a host-based firewall]"},{"constraints":"","displayName":"","dataType":"","guidance":"system components where host-based boundary protection mechanisms are to be implemented are defined;","uuid":"a8a66c55-aa1d-4987-8bcf-743078be0439","otherId":"sc-07.12_odp.02","parameterId":"SC-7(12)-2","text":"system components","default":" [Assignment: organization-defined system components] "}],"subControls":null,"tests":[{"testId":"SC-07(12)","test":"Assessment Objective: Determine if \n{{ insert: param, sc-07.12_odp.01 }} are implemented at {{ insert: param, sc-07.12_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with boundary protection responsibilities.</li><li>System users.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing host-based boundary protection capabilities.</li></ul>","otherId":"sc-7.12_obj","defaultText":null,"uuid":"124f2098-faf1-42bc-a8f2-363516400f5e"}],"weight":1,"title":"SC-07(12) - Host-based Protection","enhancements":null,"otherId":"sc-7.12","sortId":"sc-07.12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7(12)"},{"objectives":[{"objectiveType":"","otherId":"sc-7.18_smt","name":"SC-7(18)","description":"Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device.","uuid":"2993ffc5-1aa5-4c77-9cbb-20a4f8131887"}],"description":"<p>Prevent systems from entering unsecure states in the event of an operational failure of a boundary protection device.</p><br/><strong>Guidance</strong><p>Fail secure is a condition achieved by employing mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces, systems do not enter into unsecure states where intended security properties no longer hold. Managed interfaces include routers, firewalls, and application gateways that reside on protected subnetworks (commonly referred to as demilitarized zones). Failures of boundary protection devices cannot lead to or cause information external to the devices to enter the devices nor can failures permit unauthorized information releases.</p>","uuid":"82ba0716-8acd-4555-a635-e78e96ef7afb","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-07(18)","test":"Assessment Objective: Determine if systems are prevented from entering unsecure states in the event of an operational failure of a boundary protection device.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>System design documentation.</li><li>System architecture.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing secure failure.</li></ul>","otherId":"sc-7.18_obj","defaultText":null,"uuid":"7502957b-749c-49d8-a7c8-40d09bfbf182"}],"weight":1,"title":"SC-07(18) - Fail Secure","enhancements":null,"otherId":"sc-7.18","sortId":"sc-07.18","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7(18)"},{"objectives":[{"objectiveType":"","otherId":"sc-7_smt.a","name":"a.","description":"<ul><li>a. Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system;</li></ul>","uuid":"1185a0e3-9c23-4be5-b5c8-20a40620f7d2"},{"objectiveType":"","otherId":"sc-7_smt.b","name":"b.","description":"<ul><li>b. Implement subnetworks for publicly accessible system components that are {{ insert: param, SC-7(b) }} separated from internal organizational networks; and</li></ul>","uuid":"e8601840-a7f2-4e17-acaf-d38c797e57b8"},{"objectiveType":"","otherId":"sc-7_smt.c","name":"c.","description":"<ul><li>c. Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.</li></ul>","uuid":"7216d35d-7d2b-4a43-847d-82321c5bd942"}],"description":"<ul><li>a. Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system;</li><li>b. Implement subnetworks for publicly accessible system components that are {{ insert: param, SC-7(b) }} separated from internal organizational networks; and</li><li>c. Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.</li></ul><br/><strong>Guidance</strong><p>Managed interfaces include gateways, routers, firewalls, guards, network-based malicious code analysis, virtualization systems, or encrypted tunnels implemented within a security architecture. Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational systems includes restricting external web traffic to designated web servers within managed interfaces, prohibiting external traffic that appears to be spoofing internal addresses, and prohibiting internal traffic that appears to be spoofing external addresses. <a href=\"#f5edfe51-d1f2-422e-9b27-5d0e90b49c72\">SP 800-189</a> provides additional information on source address validation techniques to prevent ingress and egress of traffic with spoofed addresses. Commercial telecommunications services are provided by network components and consolidated management systems shared by customers. These services may also include third party-provided access lines and other service elements. Such services may represent sources of increased risk despite contract security provisions. Boundary protection may be implemented as a common control for all or part of an organizational network such that the boundary to be protected is greater than a system-specific boundary (i.e., an authorization boundary).</p><br/><strong>SC-7 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>(b) Guidance:</b> SC-7 (b) should be met by subnet isolation. A subnetwork (subnet) is a physically or logically segmented section of a larger network defined at TCP/IP Layer 3, to both minimize traffic and, important for a FedRAMP Authorization, add a crucial layer of network isolation. Subnets are distinct from VLANs (Layer 2), security groups, and VPCs and are specifically required to satisfy SC-7 part b and other controls. See the FedRAMP Subnets White Paper (https://www.fedramp.gov/assets/resources/documents/FedRAMP_subnets_white_paper.pdf) for additional information.</li></ul>","uuid":"11d2ebea-2642-489d-8b5b-c116dc1209e4","family":"System and Communications Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"65ec6029-5faf-452b-b259-f212d44b05c5","otherId":"sc-07_odp","parameterId":"SC-7(b)","text":"[Selection: physically; logically]","default":"[Selection: physically; logically]"}],"subControls":null,"tests":[{"testId":"SC-07a.[01]","test":"Assessment Objective: Determine if communications at external managed interfaces to the system are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>List of key internal boundaries of the system.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System configuration settings and associated documentation.</li><li>Enterprise security architecture documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li></ul>","otherId":"sc-7_obj.a-1","defaultText":null,"uuid":"7dbcd407-3072-4732-83d2-ea58e9504ab5"},{"testId":"SC-07a.[02]","test":"Assessment Objective: Determine if communications at external managed interfaces to the system are controlled;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>List of key internal boundaries of the system.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System configuration settings and associated documentation.</li><li>Enterprise security architecture documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li></ul>","otherId":"sc-7_obj.a-2","defaultText":null,"uuid":"01c9e480-4cd5-446e-89e3-451b6bfdd5d1"},{"testId":"SC-07a.[03]","test":"Assessment Objective: Determine if communications at key internal managed interfaces within the system are monitored;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>List of key internal boundaries of the system.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System configuration settings and associated documentation.</li><li>Enterprise security architecture documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li></ul>","otherId":"sc-7_obj.a-3","defaultText":null,"uuid":"41f84bd5-cb4c-4490-8c7a-2d9140f54f56"},{"testId":"SC-07a.[04]","test":"Assessment Objective: Determine if communications at key internal managed interfaces within the system are controlled;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>List of key internal boundaries of the system.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System configuration settings and associated documentation.</li><li>Enterprise security architecture documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li></ul>","otherId":"sc-7_obj.a-4","defaultText":null,"uuid":"ebe608f3-3d98-440d-a15d-61a56b93ef24"},{"testId":"SC-07b.","test":"Assessment Objective: Determine if subnetworks for publicly accessible system components are {{ insert: param, sc-07_odp }} separated from internal organizational networks;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>List of key internal boundaries of the system.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System configuration settings and associated documentation.</li><li>Enterprise security architecture documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li></ul>","otherId":"sc-7_obj.b","defaultText":null,"uuid":"36c42b00-d053-443b-b941-8b1ac32d8361"},{"testId":"SC-07c.","test":"Assessment Objective: Determine if external networks or systems are only connected to through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing boundary protection.</li><li>List of key internal boundaries of the system.</li><li>System design documentation.</li><li>Boundary protection hardware and software.</li><li>System configuration settings and associated documentation.</li><li>Enterprise security architecture documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with boundary protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms implementing boundary protection capabilities.</li></ul>","otherId":"sc-7_obj.c","defaultText":null,"uuid":"f9d7db88-9f17-41fe-b5b9-fc94c0b69a99"}],"weight":1,"title":"SC-07 - Boundary Protection","enhancements":"<strong>Enhancements</strong><ul><li>SC-7(3) - Access Points</li><li>SC-7(4) - External Telecommunications Services</li><li>SC-7(5) - Deny by Default — Allow by Exception</li><li>SC-7(7) - Split Tunneling for Remote Devices</li><li>SC-7(8) - Route Traffic to Authenticated Proxy Servers</li><li>SC-7(12) - Host-based Protection</li><li>SC-7(18) - Fail Secure</li></ul>","otherId":"sc-7","sortId":"sc-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-7"},{"objectives":[{"objectiveType":"","otherId":"sc-8.1_smt","name":"SC-8(1)","description":"Implement cryptographic mechanisms to {{ insert: param, SC-8(1) }} during transmission.","uuid":"d8d2bc40-ad16-4308-a094-4c432b3a8f70"}],"description":"<p>Implement cryptographic mechanisms to {{ insert: param, SC-8(1) }} during transmission.</p><br/><strong>Guidance</strong><p>Encryption protects information from unauthorized disclosure and modification during transmission. Cryptographic mechanisms that protect the confidentiality and integrity of information during transmission include TLS and IPSec. Cryptographic mechanisms used to protect information integrity include cryptographic hash functions that have applications in digital signatures, checksums, and message authentication codes.</p><br/><strong>SC-8 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> See M-22-09, including \"Agencies encrypt all DNS requests and HTTP traffic within their environment\"SC-8 (1) applies when encryption has been selected as the method to protect confidentiality and integrity. Otherwise refer to SC-8 (5). SC-8 (1) is strongly encouraged.</li><li><b>Guidance:</b> Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.)</li><li><b>Guidance:</b> When leveraging encryption from the underlying IaaS/PaaS: While some IaaS/PaaS services provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.</li><li><b>Requirement:</b> Please ensure SSP Section 10.3 Cryptographic Modules Implemented for Data At Rest (DAR) and Data In Transit (DIT) is fully populated for reference in this control.</li></ul>","uuid":"92a39506-daa9-4fc4-8c2b-d6e7ae53dc9c","family":"System and Communications Protection","parameters":[{"constraints":"prevent unauthorized disclosure of information AND detect changes to information","displayName":"","dataType":"","guidance":"","uuid":"82449072-e8f9-4167-b669-cc870293f9b5","otherId":"sc-08.01_odp","parameterId":"SC-8(1)","text":"[Selection (one or more): prevent unauthorized disclosure of information; detect changes to information]","default":"[FedRAMP Assignment: prevent unauthorized disclosure of information AND detect changes to information]"}],"subControls":null,"tests":[{"testId":"SC-08(01)","test":"Assessment Objective: Determine if cryptographic mechanisms are implemented to {{ insert: param, sc-08.01_odp }} during transmission.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing transmission confidentiality and integrity.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity.</li><li>Mechanisms supporting and/or implementing alternative physical safeguards.</li><li>Organizational processes for defining and implementing alternative physical safeguards.</li></ul>","otherId":"sc-8.1_obj","defaultText":null,"uuid":"ec6aa5d4-ac88-4860-8db0-d65f2c08bf7a"}],"weight":1,"title":"SC-08(01) - Cryptographic Protection","enhancements":null,"otherId":"sc-8.1","sortId":"sc-08.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-8(1)"},{"objectives":[{"objectiveType":"","otherId":"sc-8_smt","name":"SC-8","description":"Protect the {{ insert: param, SC-8 }} of transmitted information.","uuid":"e52488fe-6c0b-4f8e-b686-ee27aaf55ee0"}],"description":"<p>Protect the {{ insert: param, SC-8 }} of transmitted information.</p><br/><strong>Guidance</strong><p>Protecting the confidentiality and integrity of transmitted information applies to internal and external networks as well as any system components that can transmit information, including servers, notebook computers, desktop computers, mobile devices, printers, copiers, scanners, facsimile machines, and radios. Unprotected communication paths are exposed to the possibility of interception and modification. Protecting the confidentiality and integrity of information can be accomplished by physical or logical means. Physical protection can be achieved by using protected distribution systems. A protected distribution system is a wireline or fiber-optics telecommunications system that includes terminals and adequate electromagnetic, acoustical, electrical, and physical controls to permit its use for the unencrypted transmission of classified information. Logical protection can be achieved by employing encryption techniques.</p><p>Organizations that rely on commercial providers who offer transmission services as commodity services rather than as fully dedicated services may find it difficult to obtain the necessary assurances regarding the implementation of needed controls for transmission confidentiality and integrity. In such situations, organizations determine what types of confidentiality or integrity services are available in standard, commercial telecommunications service packages. If it is not feasible to obtain the necessary controls and assurances of control effectiveness through appropriate contracting vehicles, organizations can implement appropriate compensating controls.</p><br/><strong>SC-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> For each instance of data in transit, confidentiality AND integrity should be through cryptography as specified in SC-8 (1), physical means as specified in SC-8 (5), or in combination.For clarity, this control applies to all data in transit. Examples include the following data flows:The following applies only when choosing SC-8 (5) in lieu of SC-8 (1).FedRAMP-Defined Assignment / Selection ParametersSC-8 (5)-1 [a hardened or alarmed carrier Protective Distribution System (PDS) when outside of Controlled Access Area (CAA)]SC-8 (5)-2 [prevent unauthorized disclosure of information AND detect changes to information]</li><li><b>Guidance:</b> SC-8 (5) applies when physical protection has been selected as the method to protect confidentiality and integrity. For physical protection, data in transit must be in either a Controlled Access Area (CAA), or a Hardened or alarmed PDS.Hardened or alarmed PDS: Shall be as defined in SECTION X - CATEGORY 2 PDS INSTALLATION GUIDANCE of CNSSI No.7003, titled PROTECTED DISTRIBUTION SYSTEMS (PDS). Per the CNSSI No. 7003 Section VIII, PDS must originate and terminate in a Controlled Access Area (CAA).Controlled Access Area (CAA): Data will be considered physically protected, and in a CAA if it meets Section 2.3 of the DHS's Recommended Practice: Improving Industrial Control System Cybersecurity with Defense-in-Depth Strategies. CSPs can meet Section 2.3 of the DHS' recommended practice by satisfactory implementation of the following controls PE-2 (1), PE-2 (2), PE-2 (3), PE-3 (2), PE-3 (3), PE-6 (2), and PE-6 (3).Note: When selecting SC-8 (5), the above SC-8(5), and the above referenced PE controls must be added to the SSP.CNSSI No.7003 can be accessed here:https://www.dcsa.mil/Portals/91/documents/ctp/nao/CNSSI_7003_PDS_September_2015.pdfDHS Recommended Practice: Improving Industrial Control System Cybersecurity with Defense-in-Depth Strategies can be accessed here:https://us-cert.cisa.gov/sites/default/files/FactSheets/NCCIC%20ICS_FactSheet_Defense_in_Depth_Strategies_S508C.pdf</li></ul>","uuid":"805302a6-7d51-4947-88cd-76e29ffac38d","family":"System and Communications Protection","parameters":[{"constraints":"confidentiality AND integrity","displayName":"","dataType":"","guidance":"","uuid":"225fa1ad-bb4b-4815-aa9e-a7fb9295c865","otherId":"sc-08_odp","parameterId":"SC-8","text":"[Selection (one or more): confidentiality; integrity]","default":"[FedRAMP Assignment: confidentiality AND integrity]"}],"subControls":null,"tests":[{"testId":"SC-08","test":"Assessment Objective: Determine if the {{ insert: param, sc-08_odp }} of transmitted information is/are protected.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing transmission confidentiality and integrity.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing transmission confidentiality and/or integrity.</li></ul>","otherId":"sc-8_obj","defaultText":null,"uuid":"1770bcd1-3f32-4da7-a7b2-63601e908ed9"}],"weight":1,"title":"SC-08 - Transmission Confidentiality and Integrity","enhancements":"<strong>Enhancements</strong><ul><li>SC-8(1) - Cryptographic Protection</li></ul>","otherId":"sc-8","sortId":"sc-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-8"},{"objectives":[{"objectiveType":"","otherId":"sc-10_smt","name":"SC-10","description":"Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, SC-10 }} of inactivity.","uuid":"14f31088-725d-4b93-9d22-8f08127e3ff9"}],"description":"<p>Terminate the network connection associated with a communications session at the end of the session or after {{ insert: param, SC-10 }} of inactivity.</p><br/><strong>Guidance</strong><p>Network disconnect applies to internal and external networks. Terminating network connections associated with specific communications sessions includes de-allocating TCP/IP address or port pairs at the operating system level and de-allocating the networking assignments at the application level if multiple application sessions are using a single operating system-level network connection. Periods of inactivity may be established by organizations and include time periods by type of network access or for specific network accesses.</p>","uuid":"10ec262a-f95f-4a84-9160-11faafdfafbf","family":"System and Communications Protection","parameters":[{"constraints":"no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions","displayName":"","dataType":"","guidance":"a time period of inactivity after which the system terminates a network connection associated with a communication session is defined;","uuid":"53c95b4f-4802-4ff4-b686-2a4b4c74b62e","otherId":"sc-10_odp","parameterId":"SC-10","text":"time period","default":"[FedRAMP Assignment: no longer than ten (10) minutes for privileged sessions and no longer than fifteen (15) minutes for user sessions]"}],"subControls":null,"tests":[{"testId":"SC-10","test":"Assessment Objective: Determine if the network connection associated with a communication session is terminated at the end of the session or after {{ insert: param, sc-10_odp }} of inactivity.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing network disconnect.</li><li>System design documentation.</li><li>Security plan.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing a network disconnect capability.</li></ul>","otherId":"sc-10_obj","defaultText":null,"uuid":"2184abf9-0175-4d53-aa35-45243a977b4a"}],"weight":1,"title":"SC-10 - Network Disconnect","enhancements":"","otherId":"sc-10","sortId":"sc-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-10"},{"objectives":[{"objectiveType":"","otherId":"sc-12_smt","name":"SC-12","description":"Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: {{ insert: param, SC-12 }}.","uuid":"1fe15475-2d06-45ae-a435-0ae7a0e6de50"}],"description":"<p>Establish and manage cryptographic keys when cryptography is employed within the system in accordance with the following key management requirements: {{ insert: param, SC-12 }}.</p><br/><strong>Guidance</strong><p>Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines and specify appropriate options, parameters, and levels. Organizations manage trust stores to ensure that only approved trust anchors are part of such trust stores. This includes certificates with visibility external to organizational systems and certificates related to the internal operations of systems. <a href=\"#1acdc775-aafb-4d11-9341-dc6a822e9d38\">NIST CMVP</a> and <a href=\"#84dc1b0c-acb7-4269-84c4-00dbabacd78c\">NIST CAVP</a> provide additional information on validated cryptographic modules and algorithms that can be used in cryptographic key management and establishment.</p><br/><strong>SC-12 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> See references in NIST 800-53 documentation.</li><li><b>Guidance:</b> Must meet applicable Federal Cryptographic Requirements. See References Section of control.</li><li><b>Guidance:</b> Wildcard certificates may be used internally within the system, but are not permitted for external customer access to the system.</li></ul>","uuid":"21704ae7-b887-4e05-a2e2-beef5f45b77d","family":"System and Communications Protection","parameters":[{"constraints":"In accordance with Federal requirements","displayName":"","dataType":"","guidance":"requirements for key generation, distribution, storage, access, and destruction are defined;","uuid":"bbafef67-be9c-438b-b638-2fbed3cdc259","otherId":"sc-12_odp","parameterId":"SC-12","text":"requirements","default":"[FedRAMP Assignment: In accordance with Federal requirements]"}],"subControls":null,"tests":[{"testId":"SC-12[01]","test":"Assessment Objective: Determine if cryptographic keys are established when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing cryptographic key establishment and management.</li><li>System design documentation.</li><li>Cryptographic mechanisms.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for cryptographic key establishment and/or management.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing cryptographic key establishment and management.</li></ul>","otherId":"sc-12_obj-1","defaultText":null,"uuid":"0e4acc71-f88b-410f-9843-e2950ef60656"},{"testId":"SC-12[02]","test":"Assessment Objective: Determine if cryptographic keys are managed when cryptography is employed within the system in accordance with {{ insert: param, sc-12_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing cryptographic key establishment and management.</li><li>System design documentation.</li><li>Cryptographic mechanisms.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for cryptographic key establishment and/or management.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing cryptographic key establishment and management.</li></ul>","otherId":"sc-12_obj-2","defaultText":null,"uuid":"e3af7792-0c1e-4d14-9d30-12c8e1b6a2af"}],"weight":1,"title":"SC-12 - Cryptographic Key Establishment and Management","enhancements":"","otherId":"sc-12","sortId":"sc-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-12"},{"objectives":[{"objectiveType":"","otherId":"sc-13_smt.a","name":"a.","description":"<ul><li>a. Determine the {{ insert: param, SC-13(a) }} ; and</li></ul>","uuid":"d57b5491-6fa9-44f5-a0e1-e4cd600492cb"},{"objectiveType":"","otherId":"sc-13_smt.b","name":"b.","description":"<ul><li>b. Implement the following types of cryptography required for each specified cryptographic use: {{ insert: param, SC-13(b) }}.</li></ul>","uuid":"9cf01371-bc5c-46cb-9e34-645ad4fcfc61"}],"description":"<ul><li>a. Determine the {{ insert: param, SC-13(a) }} ; and</li><li>b. Implement the following types of cryptography required for each specified cryptographic use: {{ insert: param, SC-13(b) }}.</li></ul><br/><strong>Guidance</strong><p>Cryptography can be employed to support a variety of security solutions, including the protection of classified information and controlled unclassified information, the provision and implementation of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances but lack the necessary formal access approvals. Cryptography can also be used to support random number and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. For example, organizations that need to protect classified information may specify the use of NSA-approved cryptography. Organizations that need to provision and implement digital signatures may specify the use of FIPS-validated cryptography. Cryptography is implemented in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.</p><br/><strong>SC-13 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> This control applies to all use of cryptography. In addition to encryption, this includes functions such as hashing, random number generation, and key generation. Examples include the following:The requirement for FIPS 140 validation, as well as timelines for acceptance of FIPS 140-2, and 140-3 can be found at the NIST Cryptographic Module Validation Program (CMVP).https://csrc.nist.gov/projects/cryptographic-module-validation-program</li><li><b>Guidance:</b> For NSA-approved cryptography, the National Information Assurance Partnership (NIAP) oversees a national program to evaluate Commercial IT Products for Use in National Security Systems. The NIAP Product Compliant List can be found at the following location:https://www.niap-ccevs.org/Product/index.cfm</li><li><b>Guidance:</b> When leveraging encryption from underlying IaaS/PaaS: While some IaaS/PaaS provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.</li><li><b>Guidance:</b> Moving to non-FIPS CM or product is acceptable when:</li><li><b>Guidance:</b> At a minimum, this control applies to cryptography in use for the following controls: AU-9(3), CP-9(8), IA-2(6), IA-5(1), MP-5, SC-8(1), and SC-28(1).</li></ul>","uuid":"108014f1-2600-4351-8d70-f9ab7090c27e","family":"System and Communications Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"cryptographic uses are defined;","uuid":"8c0cdef6-3a01-4cd0-b3c9-1da1c350fea4","otherId":"sc-13_odp.01","parameterId":"SC-13(a)","text":"cryptographic uses","default":" [Assignment: organization-defined cryptographic uses] "},{"constraints":"FIPS-validated or NSA-approved cryptography","displayName":"","dataType":"","guidance":"types of cryptography for each specified cryptographic use are defined;","uuid":"f9be7930-d00d-462e-9ffc-9dd56054a44f","otherId":"sc-13_odp.02","parameterId":"SC-13(b)","text":"types of cryptography","default":"[FedRAMP Assignment: FIPS-validated or NSA-approved cryptography]"}],"subControls":null,"tests":[{"testId":"SC-13a.","test":"Assessment Objective: Determine if \n{{ insert: param, sc-13_odp.01 }} are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing cryptographic protection.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Cryptographic module validation certificates.</li><li>List of fips-validated cryptographic modules.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with responsibilities for cryptographic protection.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing cryptographic protection.</li></ul>","otherId":"sc-13_obj.a","defaultText":null,"uuid":"efa3ed7e-9cc3-4466-9f76-cd5e70d6e5ec"},{"testId":"SC-13b.","test":"Assessment Objective: Determine if \n{{ insert: param, sc-13_odp.02 }} for each specified cryptographic use (defined in SC-13_ODP[01]) are implemented.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing cryptographic protection.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Cryptographic module validation certificates.</li><li>List of fips-validated cryptographic modules.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with responsibilities for cryptographic protection.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing cryptographic protection.</li></ul>","otherId":"sc-13_obj.b","defaultText":null,"uuid":"8c7c11f0-2281-447e-af5b-8dd6ed407c23"}],"weight":1,"title":"SC-13 - Cryptographic Protection","enhancements":"","otherId":"sc-13","sortId":"sc-13","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-13"},{"objectives":[{"objectiveType":"","otherId":"sc-15_smt.a","name":"a.","description":"<ul><li>a. Prohibit remote activation of collaborative computing devices and applications with the following exceptions: {{ insert: param, SC-15(a) }} ; and</li></ul>","uuid":"0561c2db-a206-43ec-96f5-8309379c7613"},{"objectiveType":"","otherId":"sc-15_smt.b","name":"b.","description":"<ul><li>b. Provide an explicit indication of use to users physically present at the devices.</li></ul>","uuid":"c5113024-fdb3-41e4-945a-b4d97db4e50d"}],"description":"<ul><li>a. Prohibit remote activation of collaborative computing devices and applications with the following exceptions: {{ insert: param, SC-15(a) }} ; and</li><li>b. Provide an explicit indication of use to users physically present at the devices.</li></ul><br/><strong>Guidance</strong><p>Collaborative computing devices and applications include remote meeting devices and applications, networked white boards, cameras, and microphones. The explicit indication of use includes signals to users when collaborative computing devices and applications are activated.</p><br/><strong>SC-15 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> The information system provides disablement (instead of physical disconnect) of collaborative computing devices in a manner that supports ease of use.</li></ul>","uuid":"761cdce0-64fa-43ba-a188-76ec2d5c913a","family":"System and Communications Protection","parameters":[{"constraints":"no exceptions for computing devices","displayName":"","dataType":"","guidance":"exceptions where remote activation is to be allowed are defined;","uuid":"96e90acf-7615-48cc-ae2d-d5f4b631cbce","otherId":"sc-15_odp","parameterId":"SC-15(a)","text":"exceptions where remote activation is to be allowed","default":"[FedRAMP Assignment: no exceptions for computing devices]"}],"subControls":null,"tests":[{"testId":"SC-15a.","test":"Assessment Objective: Determine if remote activation of collaborative computing devices and applications is prohibited except {{ insert: param, sc-15_odp }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing collaborative computing.</li><li>Access control policy and procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with responsibilities for managing collaborative computing devices.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the management of remote activation of collaborative computing devices.</li><li>Mechanisms providing an indication of use of collaborative computing devices.</li></ul>","otherId":"sc-15_obj.a","defaultText":null,"uuid":"61a250ce-6dff-46c8-9465-38a5bcc33d66"},{"testId":"SC-15b.","test":"Assessment Objective: Determine if an explicit indication of use is provided to users physically present at the devices.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing collaborative computing.</li><li>Access control policy and procedures.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li><li>Organizational personnel with responsibilities for managing collaborative computing devices.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the management of remote activation of collaborative computing devices.</li><li>Mechanisms providing an indication of use of collaborative computing devices.</li></ul>","otherId":"sc-15_obj.b","defaultText":null,"uuid":"384f1156-b2ce-4e7b-b8db-c804227354b8"}],"weight":1,"title":"SC-15 - Collaborative Computing Devices and Applications","enhancements":"","otherId":"sc-15","sortId":"sc-15","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-15"},{"objectives":[{"objectiveType":"","otherId":"sc-17_smt.a","name":"a.","description":"<ul><li>a. Issue public key certificates under an {{ insert: param, SC-17(a) }} or obtain public key certificates from an approved service provider; and</li></ul>","uuid":"7428cbc4-7417-4eba-8c02-12d451524112"},{"objectiveType":"","otherId":"sc-17_smt.b","name":"b.","description":"<ul><li>b. Include only approved trust anchors in trust stores or certificate stores managed by the organization.</li></ul>","uuid":"b375764d-fc08-4673-9499-f96bb299f820"}],"description":"<ul><li>a. Issue public key certificates under an {{ insert: param, SC-17(a) }} or obtain public key certificates from an approved service provider; and</li><li>b. Include only approved trust anchors in trust stores or certificate stores managed by the organization.</li></ul><br/><strong>Guidance</strong><p>Public key infrastructure (PKI) certificates are certificates with visibility external to organizational systems and certificates related to the internal operations of systems, such as application-specific time services. In cryptographic systems with a hierarchical structure, a trust anchor is an authoritative source (i.e., a certificate authority) for which trust is assumed and not derived. A root certificate for a PKI system is an example of a trust anchor. A trust store or certificate store maintains a list of trusted root certificates.</p>","uuid":"57e6f590-3449-4ce7-a8a4-6b0bb8fb0147","family":"System and Communications Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"a certificate policy for issuing public key certificates is defined;","uuid":"571596db-f197-4088-b6b1-237d82f5e90e","otherId":"sc-17_odp","parameterId":"SC-17(a)","text":"certificate policy","default":" [Assignment: organization-defined certificate policy] "}],"subControls":null,"tests":[{"testId":"SC-17a.","test":"Assessment Objective: Determine if public key certificates are issued under {{ insert: param, sc-17_odp }} , or public key certificates are obtained from an approved service provider;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing public key infrastructure certificates.</li><li>Public key certificate policy or policies.</li><li>Public key issuing process.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for issuing public key certificates.</li><li>Service providers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the management of public key infrastructure certificates.</li></ul>","otherId":"sc-17_obj.a","defaultText":null,"uuid":"6e4afd82-9a89-47b6-9e64-f822035ad7dc"},{"testId":"SC-17b.","test":"Assessment Objective: Determine if only approved trust anchors are included in trust stores or certificate stores managed by the organization.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing public key infrastructure certificates.</li><li>Public key certificate policy or policies.</li><li>Public key issuing process.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for issuing public key certificates.</li><li>Service providers.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing the management of public key infrastructure certificates.</li></ul>","otherId":"sc-17_obj.b","defaultText":null,"uuid":"a1b7769a-4825-4edb-bbd4-351a83380950"}],"weight":1,"title":"SC-17 - Public Key Infrastructure Certificates","enhancements":"","otherId":"sc-17","sortId":"sc-17","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-17"},{"objectives":[{"objectiveType":"","otherId":"sc-18_smt.a","name":"a.","description":"<ul><li>a. Define acceptable and unacceptable mobile code and mobile code technologies; and</li></ul>","uuid":"69a7c9ce-8370-47f8-b224-90484ea5b658"},{"objectiveType":"","otherId":"sc-18_smt.b","name":"b.","description":"<ul><li>b. Authorize, monitor, and control the use of mobile code within the system.</li></ul>","uuid":"69cbc325-0da8-43de-8334-99eedcbf9831"}],"description":"<ul><li>a. Define acceptable and unacceptable mobile code and mobile code technologies; and</li><li>b. Authorize, monitor, and control the use of mobile code within the system.</li></ul><br/><strong>Guidance</strong><p>Mobile code includes any program, application, or content that can be transmitted across a network (e.g., embedded in an email, document, or website) and executed on a remote system. Decisions regarding the use of mobile code within organizational systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include Java applets, JavaScript, HTML5, WebGL, and VBScript. Usage restrictions and implementation guidelines apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices, including notebook computers and smart phones. Mobile code policy and procedures address specific actions taken to prevent the development, acquisition, and introduction of unacceptable mobile code within organizational systems, including requiring mobile code to be digitally signed by a trusted source.</p>","uuid":"04b0dd52-0505-4413-87aa-44e304383297","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-18a.[01]","test":"Assessment Objective: Determine if acceptable mobile code is defined;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing mobile code.</li><li>Mobile code implementation policy and procedures.</li><li>List of acceptable mobile code and mobile code technologies.</li><li>List of unacceptable mobile code and mobile technologies.</li><li>Authorization records.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing mobile code.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling mobile code.</li><li>Mechanisms supporting and/or implementing the management of mobile code.</li><li>Mechanisms supporting and/or implementing the monitoring of mobile code.</li></ul>","otherId":"sc-18_obj.a-1","defaultText":null,"uuid":"3573262e-2060-4802-a53e-08e0fbe0975f"},{"testId":"SC-18a.[02]","test":"Assessment Objective: Determine if unacceptable mobile code is defined;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing mobile code.</li><li>Mobile code implementation policy and procedures.</li><li>List of acceptable mobile code and mobile code technologies.</li><li>List of unacceptable mobile code and mobile technologies.</li><li>Authorization records.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing mobile code.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling mobile code.</li><li>Mechanisms supporting and/or implementing the management of mobile code.</li><li>Mechanisms supporting and/or implementing the monitoring of mobile code.</li></ul>","otherId":"sc-18_obj.a-2","defaultText":null,"uuid":"006722c2-06d7-4925-8912-9cccbd72dedd"},{"testId":"SC-18a.[03]","test":"Assessment Objective: Determine if acceptable mobile code technologies are defined;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing mobile code.</li><li>Mobile code implementation policy and procedures.</li><li>List of acceptable mobile code and mobile code technologies.</li><li>List of unacceptable mobile code and mobile technologies.</li><li>Authorization records.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing mobile code.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling mobile code.</li><li>Mechanisms supporting and/or implementing the management of mobile code.</li><li>Mechanisms supporting and/or implementing the monitoring of mobile code.</li></ul>","otherId":"sc-18_obj.a-3","defaultText":null,"uuid":"4ac87992-8cf0-4fb3-a12b-0a62daea24f9"},{"testId":"SC-18a.[04]","test":"Assessment Objective: Determine if unacceptable mobile code technologies are defined;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing mobile code.</li><li>Mobile code implementation policy and procedures.</li><li>List of acceptable mobile code and mobile code technologies.</li><li>List of unacceptable mobile code and mobile technologies.</li><li>Authorization records.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing mobile code.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling mobile code.</li><li>Mechanisms supporting and/or implementing the management of mobile code.</li><li>Mechanisms supporting and/or implementing the monitoring of mobile code.</li></ul>","otherId":"sc-18_obj.a-4","defaultText":null,"uuid":"f65c3605-3f6a-494a-9543-18de72536a89"},{"testId":"SC-18b.[01]","test":"Assessment Objective: Determine if the use of mobile code is authorized within the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing mobile code.</li><li>Mobile code implementation policy and procedures.</li><li>List of acceptable mobile code and mobile code technologies.</li><li>List of unacceptable mobile code and mobile technologies.</li><li>Authorization records.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing mobile code.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling mobile code.</li><li>Mechanisms supporting and/or implementing the management of mobile code.</li><li>Mechanisms supporting and/or implementing the monitoring of mobile code.</li></ul>","otherId":"sc-18_obj.b-1","defaultText":null,"uuid":"0a200834-0bda-40a6-969e-0e202dc94f20"},{"testId":"SC-18b.[02]","test":"Assessment Objective: Determine if the use of mobile code is monitored within the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing mobile code.</li><li>Mobile code implementation policy and procedures.</li><li>List of acceptable mobile code and mobile code technologies.</li><li>List of unacceptable mobile code and mobile technologies.</li><li>Authorization records.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing mobile code.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling mobile code.</li><li>Mechanisms supporting and/or implementing the management of mobile code.</li><li>Mechanisms supporting and/or implementing the monitoring of mobile code.</li></ul>","otherId":"sc-18_obj.b-2","defaultText":null,"uuid":"9fe6ad2e-2452-402a-a4f0-edac8e4874aa"},{"testId":"SC-18b.[03]","test":"Assessment Objective: Determine if the use of mobile code is controlled within the system.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing mobile code.</li><li>Mobile code implementation policy and procedures.</li><li>List of acceptable mobile code and mobile code technologies.</li><li>List of unacceptable mobile code and mobile technologies.</li><li>Authorization records.</li><li>System monitoring records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing mobile code.</li></ul><br>Test (Select From):<ul><li>Organizational process for authorizing, monitoring, and controlling mobile code.</li><li>Mechanisms supporting and/or implementing the management of mobile code.</li><li>Mechanisms supporting and/or implementing the monitoring of mobile code.</li></ul>","otherId":"sc-18_obj.b-3","defaultText":null,"uuid":"d6cef96c-87d1-48b0-a6f5-dacb5bf3b507"}],"weight":1,"title":"SC-18 - Mobile Code","enhancements":"","otherId":"sc-18","sortId":"sc-18","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-18"},{"objectives":[{"objectiveType":"","otherId":"sc-20_smt.a","name":"a.","description":"<ul><li>a. Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and</li></ul>","uuid":"a834450f-da9a-42c1-a482-75fa0a404e1b"},{"objectiveType":"","otherId":"sc-20_smt.b","name":"b.","description":"<ul><li>b. Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.</li></ul>","uuid":"527588c1-4094-4841-b54d-ed1cc4d20a0e"}],"description":"<ul><li>a. Provide additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and</li><li>b. Provide the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.</li></ul><br/><strong>Guidance</strong><p>Providing authoritative source information enables external clients, including remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Systems that provide name and address resolution services include domain name system (DNS) servers. Additional artifacts include DNS Security Extensions (DNSSEC) digital signatures and cryptographic keys. Authoritative data includes DNS resource records. The means for indicating the security status of child zones include the use of delegation signer resource records in the DNS. Systems that use technologies other than the DNS to map between host and service names and network addresses provide other means to assure the authenticity and integrity of response data.</p><br/><strong>SC-20 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> SC-20 applies to use of external authoritative DNS to access a CSO from outside the boundary.</li><li><b>Guidance:</b> External authoritative DNS servers may be located outside an authorized environment. Positioning these servers inside an authorized boundary is encouraged.</li><li><b>Guidance:</b> CSPs are recommended to self-check DNSSEC configuration through one of many available analyzers such as Sandia National Labs (https://dnsviz.net)</li><li><b>Requirement:</b> Control Description should include how DNSSEC is implemented on authoritative DNS servers to supply valid responses to external DNSSEC requests.</li></ul>","uuid":"85e57f20-b349-4cc8-bd54-5e0366ea91e8","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-20a.[01]","test":"Assessment Objective: Determine if additional data origin authentication is provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (authoritative source).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing secure name/address resolution services.</li></ul>","otherId":"sc-20_obj.a-1","defaultText":null,"uuid":"6a007fbe-22f6-447a-a18e-0f8b075f9ed4"},{"testId":"SC-20a.[02]","test":"Assessment Objective: Determine if integrity verification artifacts are provided along with the authoritative name resolution data that the system returns in response to external name/address resolution queries;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (authoritative source).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing secure name/address resolution services.</li></ul>","otherId":"sc-20_obj.a-2","defaultText":null,"uuid":"5eae2342-c2b6-46d4-b1b3-6f6cad0aa762"},{"testId":"SC-20b.[01]","test":"Assessment Objective: Determine if the means to indicate the security status of child zones (and if the child supports secure resolution services) is provided when operating as part of a distributed, hierarchical namespace;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (authoritative source).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing secure name/address resolution services.</li></ul>","otherId":"sc-20_obj.b-1","defaultText":null,"uuid":"876e8d47-5360-4f55-91f5-bd7000197a01"},{"testId":"SC-20b.[02]","test":"Assessment Objective: Determine if the means to enable verification of a chain of trust among parent and child domains when operating as part of a distributed, hierarchical namespace is provided.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (authoritative source).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing secure name/address resolution services.</li></ul>","otherId":"sc-20_obj.b-2","defaultText":null,"uuid":"1819bb0c-a036-49d1-9afa-ed2f095bf212"}],"weight":1,"title":"SC-20 - Secure Name/Address Resolution Service (Authoritative Source)","enhancements":"","otherId":"sc-20","sortId":"sc-20","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-20"},{"objectives":[{"objectiveType":"","otherId":"sc-21_smt","name":"SC-21","description":"Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.","uuid":"b7641d66-2719-4dfa-8476-7ced4d277227"}],"description":"<p>Request and perform data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.</p><br/><strong>Guidance</strong><p>Each client of name resolution services either performs this validation on its own or has authenticated channels to trusted validation providers. Systems that provide name and address resolution services for local clients include recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Systems that use technologies other than the DNS to map between host and service names and network addresses provide some other means to enable clients to verify the authenticity and integrity of response data.</p><br/><strong>SC-21 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Accepting an unsigned reply is acceptable</li><li><b>Guidance:</b> SC-21 applies to use of internal recursive DNS to access a domain outside the boundary by a component inside the boundary.</li><li><b>Requirement:</b> Control description should include how DNSSEC is implemented on recursive DNS servers to make DNSSEC requests when resolving DNS requests from internal components to domains external to the CSO boundary.</li><li><b>Requirement:</b> Internal recursive DNS servers must be located inside an authorized environment. It is typically within the boundary, or leveraged from an underlying IaaS/PaaS.</li></ul>","uuid":"55458f03-6ad8-4d7d-97b2-0b40ccc6e15b","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-21[01]","test":"Assessment Objective: Determine if data origin authentication is requested for the name/address resolution responses that the system receives from authoritative sources;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (recursive or caching resolver).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services.</li></ul>","otherId":"sc-21_obj-1","defaultText":null,"uuid":"2529c8a8-8375-460a-bcb2-a7d36fd11eb7"},{"testId":"SC-21[02]","test":"Assessment Objective: Determine if data origin authentication is performed on the name/address resolution responses that the system receives from authoritative sources;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (recursive or caching resolver).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services.</li></ul>","otherId":"sc-21_obj-2","defaultText":null,"uuid":"d28c360b-1a1a-43fa-bbc2-afeddacf73de"},{"testId":"SC-21[03]","test":"Assessment Objective: Determine if data integrity verification is requested for the name/address resolution responses that the system receives from authoritative sources;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (recursive or caching resolver).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services.</li></ul>","otherId":"sc-21_obj-3","defaultText":null,"uuid":"a4c45cf7-2256-47bd-bdc8-c49b143f53de"},{"testId":"SC-21[04]","test":"Assessment Objective: Determine if data integrity verification is performed on the name/address resolution responses that the system receives from authoritative sources.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing secure name/address resolution services (recursive or caching resolver).</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services.</li></ul>","otherId":"sc-21_obj-4","defaultText":null,"uuid":"81209672-9234-43e1-ad52-02725a5e9c61"}],"weight":1,"title":"SC-21 - Secure Name/Address Resolution Service (Recursive or Caching Resolver)","enhancements":"","otherId":"sc-21","sortId":"sc-21","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-21"},{"objectives":[{"objectiveType":"","otherId":"sc-22_smt","name":"SC-22","description":"Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation.","uuid":"09801440-0419-4ff7-a79d-4999ac87f59d"}],"description":"<p>Ensure the systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal and external role separation.</p><br/><strong>Guidance</strong><p>Systems that provide name and address resolution services include domain name system (DNS) servers. To eliminate single points of failure in systems and enhance redundancy, organizations employ at least two authoritative domain name system servers—one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks, including the Internet). Organizations specify clients that can access authoritative DNS servers in certain roles (e.g., by address ranges and explicit lists).</p>","uuid":"6ae2f078-8037-4257-8b9a-dcaaa25baeb5","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-22[01]","test":"Assessment Objective: Determine if the systems that collectively provide name/address resolution services for an organization are fault-tolerant;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing architecture and provisioning for name/address resolution services.</li><li>Access control policy and procedures.</li><li>System design documentation.</li><li>Assessment results from independent testing organizations.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation.</li></ul>","otherId":"sc-22_obj-1","defaultText":null,"uuid":"69239516-dbfb-4ed3-8bfd-ed17178d30f6"},{"testId":"SC-22[02]","test":"Assessment Objective: Determine if the systems that collectively provide name/address resolution services for an organization implement internal role separation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing architecture and provisioning for name/address resolution services.</li><li>Access control policy and procedures.</li><li>System design documentation.</li><li>Assessment results from independent testing organizations.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation.</li></ul>","otherId":"sc-22_obj-2","defaultText":null,"uuid":"5ca8dfc2-3724-4d7b-8538-5b0f1e45a25d"},{"testId":"SC-22[03]","test":"Assessment Objective: Determine if the systems that collectively provide name/address resolution services for an organization implement external role separation.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing architecture and provisioning for name/address resolution services.</li><li>Access control policy and procedures.</li><li>System design documentation.</li><li>Assessment results from independent testing organizations.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with responsibilities for managing dns.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing name/address resolution services for fault tolerance and role separation.</li></ul>","otherId":"sc-22_obj-3","defaultText":null,"uuid":"992f1247-77df-4d0e-b1ae-c88c76fc0a77"}],"weight":1,"title":"SC-22 - Architecture and Provisioning for Name/Address Resolution Service","enhancements":"","otherId":"sc-22","sortId":"sc-22","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-22"},{"objectives":[{"objectiveType":"","otherId":"sc-23_smt","name":"SC-23","description":"Protect the authenticity of communications sessions.","uuid":"0621bc4f-6d65-4be0-adb9-60ea60cc775f"}],"description":"<p>Protect the authenticity of communications sessions.</p><br/><strong>Guidance</strong><p>Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against <q>man-in-the-middle</q> attacks, session hijacking, and the insertion of false information into sessions.</p>","uuid":"20bdf52d-4792-451a-acd1-138c4e91bed4","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-23","test":"Assessment Objective: Determine if the authenticity of communication sessions is protected.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing session authenticity.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing session authenticity.</li></ul>","otherId":"sc-23_obj","defaultText":null,"uuid":"d32b00d9-3aa0-4e9e-857b-af4cc5bf2024"}],"weight":1,"title":"SC-23 - Session Authenticity","enhancements":"","otherId":"sc-23","sortId":"sc-23","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-23"},{"objectives":[{"objectiveType":"","otherId":"sc-28.1_smt","name":"SC-28(1)","description":"Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on {{ insert: param, SC-28(1)-1 }}: {{ insert: param, SC-28(1)-2 }}.","uuid":"a6966761-84ed-4a00-83b2-85693700e403"}],"description":"<p>Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of the following information at rest on {{ insert: param, SC-28(1)-1 }}: {{ insert: param, SC-28(1)-2 }}.</p><br/><strong>Guidance</strong><p>The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category or classification of the information. Organizations have the flexibility to encrypt information on system components or media or encrypt data structures, including files, records, or fields.</p><br/><strong>SC-28 (1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Organizations should select a mode of protection that is targeted towards the relevant threat scenarios.Examples:A. Organizations may apply full disk encryption (FDE) to a mobile device where the primary threat is loss of the device while storage is locked.B. For a database application housing data for a single customer, encryption at the file system level would often provide more protection than FDE against the more likely threat of an intruder on the operating system accessing the storage.C. For a database application housing data for multiple customers, encryption with unique keys for each customer at the database record level may be more appropriate.</li></ul>","uuid":"90eddddf-8a9a-497a-8c87-66dc797a0cdc","family":"System and Communications Protection","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"information requiring cryptographic protection is defined;","uuid":"6ab21d43-3bd3-43dd-b206-38100081f960","otherId":"sc-28.01_odp.01","parameterId":"SC-28(1)-2","text":"information","default":" [Assignment: organization-defined information] "},{"constraints":"all information system components storing Federal data or system data that must be protected at the High or Moderate impact levels","displayName":"","dataType":"","guidance":"system components or media requiring cryptographic protection is/are defined;","uuid":"3254cf33-8de7-4a89-aa1d-c3e084fe0794","otherId":"sc-28.01_odp.02","parameterId":"SC-28(1)-1","text":"system components or media","default":"[FedRAMP Assignment: all information system components storing Federal data or system data that must be protected at the High or Moderate impact levels]"}],"subControls":null,"tests":[{"testId":"SC-28(01)[01]","test":"Assessment Objective: Determine if cryptographic mechanisms are implemented to prevent unauthorized disclosure of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing the protection of information at rest.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Cryptographic mechanisms and associated configuration documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest.</li></ul>","otherId":"sc-28.1_obj-1","defaultText":null,"uuid":"df7df7e5-f791-46cd-8c7d-6813546eca4c"},{"testId":"SC-28(01)[02]","test":"Assessment Objective: Determine if cryptographic mechanisms are implemented to prevent unauthorized modification of {{ insert: param, sc-28.01_odp.01 }} at rest on {{ insert: param, sc-28.01_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing the protection of information at rest.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Cryptographic mechanisms and associated configuration documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest.</li></ul>","otherId":"sc-28.1_obj-2","defaultText":null,"uuid":"d5a5a19b-bcdf-4548-a7ed-9e33b5d4ff65"}],"weight":1,"title":"SC-28(01) - Cryptographic Protection","enhancements":null,"otherId":"sc-28.1","sortId":"sc-28.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-28(1)"},{"objectives":[{"objectiveType":"","otherId":"sc-28_smt","name":"SC-28","description":"Protect the {{ insert: param, SC-28-1 }} of the following information at rest: {{ insert: param, SC-28-2 }}.","uuid":"29c8c2a4-0a5d-4c3a-b35f-9da99391abd9"}],"description":"<p>Protect the {{ insert: param, SC-28-1 }} of the following information at rest: {{ insert: param, SC-28-2 }}.</p><br/><strong>Guidance</strong><p>Information at rest refers to the state of information when it is not in process or in transit and is located on system components. Such components include internal or external hard disk drives, storage area network devices, or databases. However, the focus of protecting information at rest is not on the type of storage device or frequency of access but rather on the state of the information. Information at rest addresses the confidentiality and integrity of information and covers user information and system information. System-related information that requires protection includes configurations or rule sets for firewalls, intrusion detection and prevention systems, filtering routers, and authentication information. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing write-once-read-many (WORM) technologies. When adequate protection of information at rest cannot otherwise be achieved, organizations may employ other controls, including frequent scanning to identify malicious code at rest and secure offline storage in lieu of online storage.</p><br/><strong>SC-28 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> The organization supports the capability to use cryptographic mechanisms to protect information at rest.</li><li><b>Guidance:</b> When leveraging encryption from underlying IaaS/PaaS: While some IaaS/PaaS services provide encryption by default, many require encryption to be configured, and enabled by the customer. The CSP has the responsibility to verify encryption is properly configured.</li><li><b>Guidance:</b> Note that this enhancement requires the use of cryptography in accordance with SC-13.</li></ul>","uuid":"fa93c1f7-4696-4c04-ab5b-2caab6a54799","family":"System and Communications Protection","parameters":[{"constraints":"confidentiality AND integrity","displayName":"","dataType":"","guidance":"","uuid":"a8e48898-4ec3-40d9-a0d3-f5817ba9bbee","otherId":"sc-28_odp.01","parameterId":"SC-28-1","text":"[Selection (one or more): confidentiality; integrity]","default":"[FedRAMP Assignment: confidentiality AND integrity]"},{"constraints":"","displayName":"","dataType":"","guidance":"information at rest requiring protection is defined;","uuid":"06574406-7c87-408d-a20b-b1a98d72a7a7","otherId":"sc-28_odp.02","parameterId":"SC-28-2","text":"information at rest","default":" [Assignment: organization-defined information at rest] "}],"subControls":null,"tests":[{"testId":"SC-28","test":"Assessment Objective: Determine if the {{ insert: param, sc-28_odp.01 }} of {{ insert: param, sc-28_odp.02 }} is/are protected.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing the protection of information at rest.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Cryptographic mechanisms and associated configuration documentation.</li><li>List of information at rest requiring confidentiality and integrity protections.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest.</li></ul>","otherId":"sc-28_obj","defaultText":null,"uuid":"dfd5e16a-324c-4b48-a61e-edb1d406918a"}],"weight":1,"title":"SC-28 - Protection of Information at Rest","enhancements":"<strong>Enhancements</strong><ul><li>SC-28(1) - Cryptographic Protection</li></ul>","otherId":"sc-28","sortId":"sc-28","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-28"},{"objectives":[{"objectiveType":"","otherId":"sc-39_smt","name":"SC-39","description":"Maintain a separate execution domain for each executing system process.","uuid":"9c56d033-c32f-4209-bfdc-cfae8da2d639"}],"description":"<p>Maintain a separate execution domain for each executing system process.</p><br/><strong>Guidance</strong><p>Systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. Process isolation technologies, including sandboxing or virtualization, logically separate software and firmware from other software, firmware, and data. Process isolation helps limit the access of potentially untrusted software to other system resources. The capability to maintain separate execution domains is available in commercial operating systems that employ multi-state processor technologies.</p>","uuid":"68e9e1ed-a672-4eb4-9a7f-514cd83b60d6","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-39","test":"Assessment Objective: Determine if a separate execution domain is maintained for each executing system process.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System design documentation.</li><li>System architecture.</li><li>Independent verification and validation documentation.</li><li>Testing and evaluation documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System developers/integrators.</li><li>System security architect.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing separate execution domains for each executing process.</li></ul>","otherId":"sc-39_obj","defaultText":null,"uuid":"29b8c1b2-6655-46a2-82b6-abae8f3e9ab1"}],"weight":1,"title":"SC-39 - Process Isolation","enhancements":"","otherId":"sc-39","sortId":"sc-39","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-39"},{"objectives":[{"objectiveType":"","otherId":"sc-45.1_smt.a","name":"(a)","description":"<ul><li>(a) Compare the internal system clocks {{ insert: param, SC-45(1)(a)-1 }} with {{ insert: param, SC-45(1)(a)-2 }} ; and</li></ul>","uuid":"49761f3e-1e4a-40ba-9c98-976c2f2537ba"},{"objectiveType":"","otherId":"sc-45.1_smt.b","name":"(b)","description":"<ul><li>(b) Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, SC-45(1)(b) }}.</li></ul>","uuid":"12813414-8b6a-4f4e-b46c-e3291115ec65"}],"description":"<ul><li>(a) Compare the internal system clocks {{ insert: param, SC-45(1)(a)-1 }} with {{ insert: param, SC-45(1)(a)-2 }} ; and</li><li>(b) Synchronize the internal system clocks to the authoritative time source when the time difference is greater than {{ insert: param, SC-45(1)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Synchronization of internal system clocks with an authoritative source provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network.</p><br/><strong>SC-45(1) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> Synchronization of system clocks improves the accuracy of log analysis.</li><li><b>Requirement:</b> The service provider selects primary and secondary time servers used by the NIST Internet time service. The secondary server is selected from a different geographic region than the primary server.</li><li><b>Requirement:</b> The service provider synchronizes the system clocks of network computers that run operating systems other than Windows to the Windows Server Domain Controller emulator or to the same time source for that server.</li></ul>","uuid":"52d5637c-0331-451d-9700-56fdbed667aa","family":"System and Communications Protection","parameters":[{"constraints":"At least hourly","displayName":"","dataType":"","guidance":"the frequency at which to compare the internal system clocks with the authoritative time source is defined;","uuid":"3d7a2681-36e7-4dc7-8dc6-91ed1148fe54","otherId":"sc-45.01_odp.01","parameterId":"SC-45(1)(a)-1","text":"frequency","default":"[FedRAMP Assignment: At least hourly]"},{"constraints":"http://tf.nist.gov/tf-cgi/servers.cgi","displayName":"","dataType":"","guidance":"the authoritative time source to which internal system clocks are to be compared is defined;","uuid":"3c76b57f-490f-4148-a28c-fd9205858109","otherId":"sc-45.01_odp.02","parameterId":"SC-45(1)(a)-2","text":"authoritative time source","default":"[FedRAMP Assignment: http://tf.nist.gov/tf-cgi/servers.cgi]"},{"constraints":"any difference","displayName":"","dataType":"","guidance":"the time period to compare the internal system clocks with the authoritative time source is defined;","uuid":"6b5c8831-87cb-4e9b-9164-8edc9e40982c","otherId":"sc-45.01_odp.03","parameterId":"SC-45(1)(b)","text":"time period","default":"[FedRAMP Assignment: any difference]"}],"subControls":null,"tests":[{"testId":"SC-45(01)(a)","test":"Assessment Objective: Determine if the internal system clocks are compared {{ insert: param, sc-45.01_odp.01 }} with {{ insert: param, sc-45.01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing time synchronization.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing system time synchronization.</li></ul>","otherId":"sc-45.1_obj.a","defaultText":null,"uuid":"77e8887d-dcce-4dae-b09c-2adacbdac807"},{"testId":"SC-45(01)(b)","test":"Assessment Objective: Determine if the internal system clocks are synchronized with the authoritative time source when the time difference is greater than {{ insert: param, sc-45.01_odp.03 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing time synchronization.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing system time synchronization.</li></ul>","otherId":"sc-45.1_obj.b","defaultText":null,"uuid":"a416114d-845f-43e3-8f36-f70b4a3eb7a1"}],"weight":1,"title":"SC-45(01) - Synchronization with Authoritative Time Source","enhancements":null,"otherId":"sc-45.1","sortId":"sc-45.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-45(1)"},{"objectives":[{"objectiveType":"","otherId":"sc-45_smt","name":"SC-45","description":"Synchronize system clocks within and between systems and system components.","uuid":"bc18b724-ffc6-449d-950f-1a7b864d2532"}],"description":"<p>Synchronize system clocks within and between systems and system components.</p><br/><strong>Guidance</strong><p>Time synchronization of system clocks is essential for the correct execution of many system services, including identification and authentication processes that involve certificates and time-of-day restrictions as part of access control. Denial of service or failure to deny expired credentials may result without properly synchronized clocks within and between systems and system components. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks, such as clocks synchronizing within hundreds of milliseconds or tens of milliseconds. Organizations may define different time granularities for system components. Time service can be critical to other security capabilities—such as access control and identification and authentication—depending on the nature of the mechanisms used to support the capabilities.</p>","uuid":"e49d15ec-fa5c-464c-8d91-c2a292660938","family":"System and Communications Protection","parameters":[],"subControls":null,"tests":[{"testId":"SC-45","test":"Assessment Objective: Determine if system clocks are synchronized within and between systems and system components.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and communications protection policy.</li><li>Procedures addressing time synchronization.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing system time synchronization.</li></ul>","otherId":"sc-45_obj","defaultText":null,"uuid":"8af2a22b-ad07-4960-ad7f-e61e990a12b8"}],"weight":1,"title":"SC-45 - System Time Synchronization","enhancements":"<strong>Enhancements</strong><ul><li>SC-45(1) - Synchronization with Authoritative Time Source</li></ul>","otherId":"sc-45","sortId":"sc-45","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SC-45"},{"objectives":[{"objectiveType":"","otherId":"si-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SI-1(a) }}:</li><ul><li>1. {{ insert: param, SI-1(a)(1) }} system and information integrity policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;</li></ul>","uuid":"5ac245b9-1a64-4688-9cd5-9dd554446802"},{"objectiveType":"","otherId":"si-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, SI-1(b) }} to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and</li></ul>","uuid":"24a31c17-e05e-4982-9875-9738556b2c9f"},{"objectiveType":"","otherId":"si-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current system and information integrity:</li><ul><li>1. Policy {{ insert: param, SI-1(c)(1)-1 }} and following {{ insert: param, SI-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SI-1(c)(2)-1 }} and following {{ insert: param, SI-1(c)(2)-2 }}.</li></ul>","uuid":"45cfa1d0-558b-4b13-91f8-6734177b6fd0"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SI-1(a) }}:</li><ul><li>1. {{ insert: param, SI-1(a)(1) }} system and information integrity policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the system and information integrity policy and the associated system and information integrity controls;</li></ul><li>b. Designate an {{ insert: param, SI-1(b) }} to manage the development, documentation, and dissemination of the system and information integrity policy and procedures; and</li><li>c. Review and update the current system and information integrity:</li><ul><li>1. Policy {{ insert: param, SI-1(c)(1)-1 }} and following {{ insert: param, SI-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SI-1(c)(2)-1 }} and following {{ insert: param, SI-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>System and information integrity policy and procedures address the controls in the SI family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of system and information integrity policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to system and information integrity policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"79297e22-0bf3-4b9f-933a-807d03161cf4","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"2b1723e2-1caa-4d4c-89d5-50cc8315b2ed","otherId":"si-1_prm_1","parameterId":"SI-1(a)","text":"organization-defined personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"bafb0d73-3adf-4a6a-85f3-4f342231975b","otherId":"si-01_odp.03","parameterId":"SI-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the system and information integrity policy and procedures is defined;","uuid":"44ad0e4c-a81e-4f4a-b95d-1ad958a86016","otherId":"si-01_odp.04","parameterId":"SI-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current system and information integrity policy is reviewed and updated is defined;","uuid":"086978d2-559b-4d9b-863d-9409fe28b156","otherId":"si-01_odp.05","parameterId":"SI-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that would require the current system and information integrity policy to be reviewed and updated are defined;","uuid":"52173f31-08f3-4cae-abed-ab3aa8b55888","otherId":"si-01_odp.06","parameterId":"SI-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current system and information integrity procedures are reviewed and updated is defined;","uuid":"1ed86222-d5fd-47d1-82a4-ef81de8f4853","otherId":"si-01_odp.07","parameterId":"SI-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that would require the system and information integrity procedures to be reviewed and updated are defined;","uuid":"58fb67f4-33f1-48e3-8e00-ca850158e264","otherId":"si-01_odp.08","parameterId":"SI-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"SI-01a.[01]","test":"Assessment Objective: Determine if a system and information integrity policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a-1","defaultText":null,"uuid":"e9271306-39ad-448e-84f9-2c8830ef6c14"},{"testId":"SI-01a.[02]","test":"Assessment Objective: Determine if the system and information integrity policy is disseminated to {{ insert: param, si-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a-2","defaultText":null,"uuid":"e49c44ff-d9e1-41af-9ad7-358c8b0cda93"},{"testId":"SI-01a.[03]","test":"Assessment Objective: Determine if system and information integrity procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a-3","defaultText":null,"uuid":"18efffb2-b379-49da-83c0-2a889daaab8c"},{"testId":"SI-01a.[04]","test":"Assessment Objective: Determine if the system and information integrity procedures are disseminated to {{ insert: param, si-01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a-4","defaultText":null,"uuid":"799cfbc2-6bfe-47dd-926f-e7be3d78159a"},{"testId":"SI-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.a-1","defaultText":null,"uuid":"12cb9645-bc94-43c2-8939-01f6a5e292be"},{"testId":"SI-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses scope;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.a-2","defaultText":null,"uuid":"7ac96544-5015-457a-8271-a6dce4e5d047"},{"testId":"SI-01a.01(a)[03]","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.a-3","defaultText":null,"uuid":"c95cb20a-2734-4038-93c9-59d451b7dbf8"},{"testId":"SI-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.a-4","defaultText":null,"uuid":"438a0982-952f-4f7b-8e48-07ba84a89ded"},{"testId":"SI-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.a-5","defaultText":null,"uuid":"5401a947-e6f9-4979-b947-78baeb9ee9e6"},{"testId":"SI-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.a-6","defaultText":null,"uuid":"41342320-13e3-4a39-8f98-e571dc4a4228"},{"testId":"SI-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy addresses compliance;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.a-7","defaultText":null,"uuid":"749b2f89-05b0-41c4-849f-f5ced23bb5a2"},{"testId":"SI-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.03 }} system and information integrity policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.a.1.b","defaultText":null,"uuid":"c34edeab-a0bc-4d80-aade-ee431b98683b"},{"testId":"SI-01b.","test":"Assessment Objective: Determine if the {{ insert: param, si-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the system and information integrity policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.b","defaultText":null,"uuid":"20d8047f-df7e-4b4a-8376-0baed07a264e"},{"testId":"SI-01c.01[01]","test":"Assessment Objective: Determine if the current system and information integrity policy is reviewed and updated {{ insert: param, si-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.c.1-1","defaultText":null,"uuid":"f6deadd9-9927-4969-90ff-e6370f024764"},{"testId":"SI-01c.01[02]","test":"Assessment Objective: Determine if the current system and information integrity policy is reviewed and updated following {{ insert: param, si-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.c.1-2","defaultText":null,"uuid":"cfc729ed-a5e1-4196-8d2e-79b00b55bf77"},{"testId":"SI-01c.02[01]","test":"Assessment Objective: Determine if the current system and information integrity procedures are reviewed and updated {{ insert: param, si-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.c.2-1","defaultText":null,"uuid":"c8406579-fa9c-419e-8ab4-6d6c3623a9f1"},{"testId":"SI-01c.02[02]","test":"Assessment Objective: Determine if the current system and information integrity procedures are reviewed and updated following {{ insert: param, si-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and information integrity responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li></ul>","otherId":"si-1_obj.c.2-2","defaultText":null,"uuid":"cb99bbe0-a395-47f2-acb9-8d15f91fb8bd"}],"weight":1,"title":"SI-01 - Policy and Procedures","enhancements":"","otherId":"si-1","sortId":"si-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-1"},{"objectives":[{"objectiveType":"","otherId":"si-2.2_smt","name":"SI-2(2)","description":"Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, SI-2(2)-1 }}\n{{ insert: param, SI-2(2)-2 }}.","uuid":"9cd21d0f-0849-4733-a4cc-e6d3b5e44626"}],"description":"<p>Determine if system components have applicable security-relevant software and firmware updates installed using {{ insert: param, SI-2(2)-1 }}\n{{ insert: param, SI-2(2)-2 }}.</p><br/><strong>Guidance</strong><p>Automated mechanisms can track and determine the status of known flaws for system components.</p>","uuid":"82048d49-4e3f-4574-b1e1-6b57d4418efa","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"automated mechanisms to determine if applicable security-relevant software and firmware updates are installed on system components are defined;","uuid":"b72c7087-8e78-48dc-9e7c-53c2747a0e6d","otherId":"si-02.02_odp.01","parameterId":"SI-2(2)-1","text":"automated mechanisms","default":" [Assignment: organization-defined automated mechanisms] "},{"constraints":"at least monthly","displayName":"","dataType":"","guidance":"the frequency at which to determine if applicable security-relevant software and firmware updates are installed on system components is defined;","uuid":"f5d66074-4f29-4f35-83e2-c305ba84da89","otherId":"si-02.02_odp.02","parameterId":"SI-2(2)-2","text":"frequency","default":"[FedRAMP Assignment: at least monthly]"}],"subControls":null,"tests":[{"testId":"SI-02(02)","test":"Assessment Objective: Determine if system components have applicable security-relevant software and firmware updates installed {{ insert: param, si-02.02_odp.02 }} using {{ insert: param, si-02.02_odp.01 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Automated mechanisms supporting centralized management of flaw remediation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms used to determine the state of system components with regard to flaw remediation.</li></ul>","otherId":"si-2.2_obj","defaultText":null,"uuid":"1b2d4294-75e2-4514-825a-fe96cbb2938b"}],"weight":1,"title":"SI-02(02) - Automated Flaw Remediation Status","enhancements":null,"otherId":"si-2.2","sortId":"si-02.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-2(2)"},{"objectives":[{"objectiveType":"","otherId":"si-2.3_smt.a","name":"(a)","description":"<ul><li>(a) Measure the time between flaw identification and flaw remediation; and</li></ul>","uuid":"82603ba6-4653-4f6a-8ce5-e7cee19e99d8"},{"objectiveType":"","otherId":"si-2.3_smt.b","name":"(b)","description":"<ul><li>(b) Establish the following benchmarks for taking corrective actions: {{ insert: param, SI-2(3)(b) }}.</li></ul>","uuid":"1eef536e-8fc5-461b-baad-6ddaed5a65a7"}],"description":"<ul><li>(a) Measure the time between flaw identification and flaw remediation; and</li><li>(b) Establish the following benchmarks for taking corrective actions: {{ insert: param, SI-2(3)(b) }}.</li></ul><br/><strong>Guidance</strong><p>Organizations determine the time it takes on average to correct system flaws after such flaws have been identified and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by the type of flaw or the severity of the potential vulnerability if the flaw can be exploited.</p>","uuid":"30078a7a-740a-45a2-8470-ee46e38f70ae","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the benchmarks for taking corrective actions are defined;","uuid":"03e39a88-3ac4-4b68-9c0a-dd1bb14eff37","otherId":"si-02.03_odp","parameterId":"SI-2(3)(b)","text":"benchmarks","default":" [Assignment: organization-defined benchmarks] "}],"subControls":null,"tests":[{"testId":"SI-02(03)(a)","test":"Assessment Objective: Determine if the time between flaw identification and flaw remediation is measured;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of benchmarks for taking corrective action on identified flaws.</li><li>Records that provide timestamps of flaw identification and subsequent flaw remediation activities.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Mechanisms used to measure the time between flaw identification and flaw remediation.</li></ul>","otherId":"si-2.3_obj.a","defaultText":null,"uuid":"d8c3cc18-f7f7-43c5-96da-460e3e7c724d"},{"testId":"SI-02(03)(b)","test":"Assessment Objective: Determine if \n{{ insert: param, si-02.03_odp }} for taking corrective actions have been established.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of benchmarks for taking corrective action on identified flaws.</li><li>Records that provide timestamps of flaw identification and subsequent flaw remediation activities.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Mechanisms used to measure the time between flaw identification and flaw remediation.</li></ul>","otherId":"si-2.3_obj.b","defaultText":null,"uuid":"aa338639-8df0-4416-8cdf-51528a4b5474"}],"weight":1,"title":"SI-02(03) - Time to Remediate Flaws and Benchmarks for Corrective Actions","enhancements":null,"otherId":"si-2.3","sortId":"si-02.03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-2(3)"},{"objectives":[{"objectiveType":"","otherId":"si-2_smt.a","name":"a.","description":"<ul><li>a. Identify, report, and correct system flaws;</li></ul>","uuid":"68455b49-6deb-4468-88cd-256a632269ae"},{"objectiveType":"","otherId":"si-2_smt.b","name":"b.","description":"<ul><li>b. Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;</li></ul>","uuid":"8cd1a38b-7fd5-4638-a053-a331b60a5e46"},{"objectiveType":"","otherId":"si-2_smt.c","name":"c.","description":"<ul><li>c. Install security-relevant software and firmware updates within {{ insert: param, SI-2(c) }} of the release of the updates; and</li></ul>","uuid":"de3dc7f6-23bd-424a-abc9-c6f8959a75ac"},{"objectiveType":"","otherId":"si-2_smt.d","name":"d.","description":"<ul><li>d. Incorporate flaw remediation into the organizational configuration management process.</li></ul>","uuid":"67ffbf2c-111b-49ab-9817-5f9eaff56902"}],"description":"<ul><li>a. Identify, report, and correct system flaws;</li><li>b. Test software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;</li><li>c. Install security-relevant software and firmware updates within {{ insert: param, SI-2(c) }} of the release of the updates; and</li><li>d. Incorporate flaw remediation into the organizational configuration management process.</li></ul><br/><strong>Guidance</strong><p>The need to remediate system flaws applies to all types of software and firmware. Organizations identify systems affected by software flaws, including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security and privacy responsibilities. Security-relevant updates include patches, service packs, and malicious code signatures. Organizations also address flaws discovered during assessments, continuous monitoring, incident response activities, and system error handling. By incorporating flaw remediation into configuration management processes, required remediation actions can be tracked and verified.</p><p>Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of risk factors, including the security category of the system, the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw), the organizational risk tolerance, the mission supported by the system, or the threat environment. Some types of flaw remediation may require more testing than other types. Organizations determine the type of testing needed for the specific type of flaw remediation activity under consideration and the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software or firmware updates is not necessary or practical, such as when implementing simple malicious code signature updates. In testing decisions, organizations consider whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.</p>","uuid":"77a673f6-146c-436f-ae68-016b67d33b40","family":"System and Information Integrity","parameters":[{"constraints":"within thirty (30) days of release of updates","displayName":"","dataType":"","guidance":"time period within which to install security-relevant software updates after the release of the updates is defined;","uuid":"e059b080-cbf5-4739-8c37-eaa8e5b6a2ea","otherId":"si-02_odp","parameterId":"SI-2(c)","text":"time period","default":"[FedRAMP Assignment: within thirty (30) days of release of updates]"}],"subControls":null,"tests":[{"testId":"SI-02a.[01]","test":"Assessment Objective: Determine if system flaws are identified;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.a-1","defaultText":null,"uuid":"35dfe711-025d-4958-aacf-3ebea2a039df"},{"testId":"SI-02a.[02]","test":"Assessment Objective: Determine if system flaws are reported;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.a-2","defaultText":null,"uuid":"a6310314-d455-4d3c-a8dd-ffd9e84821ef"},{"testId":"SI-02a.[03]","test":"Assessment Objective: Determine if system flaws are corrected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.a-3","defaultText":null,"uuid":"b43d66fb-af69-44ce-9113-133873138ea0"},{"testId":"SI-02b.[01]","test":"Assessment Objective: Determine if software updates related to flaw remediation are tested for effectiveness before installation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.b-1","defaultText":null,"uuid":"3a77b378-304e-48d7-84b8-7a75bb939da8"},{"testId":"SI-02b.[02]","test":"Assessment Objective: Determine if software updates related to flaw remediation are tested for potential side effects before installation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.b-2","defaultText":null,"uuid":"e1951374-ab98-40e0-9c6f-ac2622b64c33"},{"testId":"SI-02b.[03]","test":"Assessment Objective: Determine if firmware updates related to flaw remediation are tested for effectiveness before installation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.b-3","defaultText":null,"uuid":"17b86fbd-e40b-449e-8099-0b08ed0488a2"},{"testId":"SI-02b.[04]","test":"Assessment Objective: Determine if firmware updates related to flaw remediation are tested for potential side effects before installation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.b-4","defaultText":null,"uuid":"17e8fa34-6594-4187-9c04-dc9e520b00d3"},{"testId":"SI-02c.[01]","test":"Assessment Objective: Determine if security-relevant software updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.c-1","defaultText":null,"uuid":"5dcfa473-4416-4443-80a4-b9262b96818c"},{"testId":"SI-02c.[02]","test":"Assessment Objective: Determine if security-relevant firmware updates are installed within {{ insert: param, si-02_odp }} of the release of the updates;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.c-2","defaultText":null,"uuid":"b63610fb-8005-497f-8e10-42f71a52f3e6"},{"testId":"SI-02d.","test":"Assessment Objective: Determine if flaw remediation is incorporated into the organizational configuration management process.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing flaw remediation.</li><li>Procedures addressing configuration management.</li><li>List of flaws and vulnerabilities potentially affecting the system.</li><li>List of recent security flaw remediation actions performed on the system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct system flaws).</li><li>Test results from the installation of software and firmware updates to correct system flaws.</li><li>Installation/change control records for security-relevant software and firmware updates.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel responsible for installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for flaw remediation.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying, reporting, and correcting system flaws.</li><li>Organizational process for installing software and firmware updates.</li><li>Mechanisms supporting and/or implementing the reporting and correcting of system flaws.</li><li>Mechanisms supporting and/or implementing testing software and firmware updates.</li></ul>","otherId":"si-2_obj.d","defaultText":null,"uuid":"e709769c-90fe-4f2b-99d3-c81dba66a7d7"}],"weight":1,"title":"SI-02 - Flaw Remediation","enhancements":"<strong>Enhancements</strong><ul><li>SI-2(2) - Automated Flaw Remediation Status</li><li>SI-2(3) - Time to Remediate Flaws and Benchmarks for Corrective Actions</li></ul>","otherId":"si-2","sortId":"si-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-2"},{"objectives":[{"objectiveType":"","otherId":"si-3_smt.a","name":"a.","description":"<ul><li>a. Implement {{ insert: param, SI-3(a) }} malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;</li></ul>","uuid":"b268dc25-4c7c-4297-8c10-800534a3b179"},{"objectiveType":"","otherId":"si-3_smt.b","name":"b.","description":"<ul><li>b. Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;</li></ul>","uuid":"db1d195e-e492-4152-ad2f-2f695ea52be4"},{"objectiveType":"","otherId":"si-3_smt.c","name":"c.","description":"<ul><li>c. Configure malicious code protection mechanisms to:</li><ul><li>1. Perform periodic scans of the system {{ insert: param, SI-3(c)(1)-1 }} and real-time scans of files from external sources at {{ insert: param, SI-3(c)(1)-2 }} as the files are downloaded, opened, or executed in accordance with organizational policy; and</li><li>2. {{ insert: param, SI-3(c)(2)-1 }} ; and send alert to {{ insert: param, SI-3(c)(2)-2 }} in response to malicious code detection; and</li></ul>","uuid":"14594643-d748-4846-ae42-09b858d8ad39"},{"objectiveType":"","otherId":"si-3_smt.d","name":"d.","description":"<ul><li>d. Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system.</li></ul>","uuid":"89bb9ec9-bcb2-483f-82ed-0df68d95f485"}],"description":"<ul><li>a. Implement {{ insert: param, SI-3(a) }} malicious code protection mechanisms at system entry and exit points to detect and eradicate malicious code;</li><li>b. Automatically update malicious code protection mechanisms as new releases are available in accordance with organizational configuration management policy and procedures;</li><li>c. Configure malicious code protection mechanisms to:</li><ul><li>1. Perform periodic scans of the system {{ insert: param, SI-3(c)(1)-1 }} and real-time scans of files from external sources at {{ insert: param, SI-3(c)(1)-2 }} as the files are downloaded, opened, or executed in accordance with organizational policy; and</li><li>2. {{ insert: param, SI-3(c)(2)-1 }} ; and send alert to {{ insert: param, SI-3(c)(2)-2 }} in response to malicious code detection; and</li></ul><li>d. Address the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system.</li></ul><br/><strong>Guidance</strong><p>System entry and exit points include firewalls, remote access servers, workstations, electronic mail servers, web servers, proxy servers, notebook computers, and mobile devices. Malicious code includes viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats contained within compressed or hidden files or hidden in files using techniques such as steganography. Malicious code can be inserted into systems in a variety of ways, including by electronic mail, the world-wide web, and portable storage devices. Malicious code insertions occur through the exploitation of system vulnerabilities. A variety of technologies and methods exist to limit or eliminate the effects of malicious code.</p><p>Malicious code protection mechanisms include both signature- and nonsignature-based technologies. Nonsignature-based detection mechanisms include artificial intelligence techniques that use heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide controls against such code for which signatures do not yet exist or for which existing signatures may not be effective. Malicious code for which active signatures do not yet exist or may be ineffective includes polymorphic malicious code (i.e., code that changes signatures when it replicates). Nonsignature-based mechanisms also include reputation-based technologies. In addition to the above technologies, pervasive configuration management, comprehensive software integrity controls, and anti-exploitation software may be effective in preventing the execution of unauthorized code. Malicious code may be present in commercial off-the-shelf software as well as custom-built software and could include logic bombs, backdoors, and other types of attacks that could affect organizational mission and business functions.</p><p>In situations where malicious code cannot be detected by detection methods or technologies, organizations rely on other types of controls, including secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to ensure that software does not perform functions other than the functions intended. Organizations may determine that, in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, the detection of malicious downloads, or the detection of maliciousness when attempting to open or execute files.</p>","uuid":"7d6da036-f1f3-462c-8217-b16daa19f9d2","family":"System and Information Integrity","parameters":[{"constraints":"signature based and non-signature based","displayName":"","dataType":"","guidance":"","uuid":"1f1d32aa-e12b-4667-b2ce-9b16b08acae6","otherId":"si-03_odp.01","parameterId":"SI-3(a)","text":"[Selection (one or more): signature-based; non-signature-based]","default":"[FedRAMP Assignment: signature based and non-signature based]"},{"constraints":"at least weekly","displayName":"","dataType":"","guidance":"the frequency at which malicious code protection mechanisms perform scans is defined;","uuid":"f9291655-bcda-4738-b96f-1028ea518f22","otherId":"si-03_odp.02","parameterId":"SI-3(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least weekly]"},{"constraints":"to include endpoints and network entry and exit points","displayName":"","dataType":"","guidance":"","uuid":"f5c04f20-3edd-45de-ada2-9dae50b7218a","otherId":"si-03_odp.03","parameterId":"SI-3(c)(1)-2","text":"[Selection (one or more): endpoint; network entry and exit points]","default":"[FedRAMP Assignment: to include endpoints and network entry and exit points]"},{"constraints":"to include blocking and quarantining malicious code","displayName":"","dataType":"","guidance":"","uuid":"95217886-3c43-4d19-982d-a6f4c4b9a35f","otherId":"si-03_odp.04","parameterId":"SI-3(c)(2)-1","text":"[Selection (one or more): block malicious code; quarantine malicious code; take [(NESTED PARAMETER) Assignment for si-03_odp.05: action]]","default":"[FedRAMP Assignment: to include blocking and quarantining malicious code]"},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to be alerted when malicious code is detected is/are defined;","uuid":"17c9f1a0-fed2-419c-abf8-8800aba87d14","otherId":"si-03_odp.06","parameterId":"SI-3(c)(2)-2","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"SI-03a.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to detect malicious code;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.a-1","defaultText":null,"uuid":"89b65013-d58a-401c-a081-a271dc8aae30"},{"testId":"SI-03a.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, si-03_odp.01 }} malicious code protection mechanisms are implemented at system entry and exit points to eradicate malicious code;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.a-2","defaultText":null,"uuid":"237c52a1-0446-489b-bf92-a939cbfbe030"},{"testId":"SI-03b.","test":"Assessment Objective: Determine if malicious code protection mechanisms are updated automatically as new releases are available in accordance with organizational configuration management policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.b","defaultText":null,"uuid":"0523881b-e1da-41a7-ae47-827f19ed8ed2"},{"testId":"SI-03c.01[01]","test":"Assessment Objective: Determine if malicious code protection mechanisms are configured to perform periodic scans of the system {{ insert: param, si-03_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.c.1-1","defaultText":null,"uuid":"dd794454-e498-4a6b-b0e3-b43d6a958f50"},{"testId":"SI-03c.01[02]","test":"Assessment Objective: Determine if malicious code protection mechanisms are configured to perform real-time scans of files from external sources at {{ insert: param, si-03_odp.03 }} as the files are downloaded, opened, or executed in accordance with organizational policy;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.c.1-2","defaultText":null,"uuid":"79af1768-544a-45ea-99d5-2d78ec1571c9"},{"testId":"SI-03c.02[01]","test":"Assessment Objective: Determine if malicious code protection mechanisms are configured to {{ insert: param, si-03_odp.04 }} in response to malicious code detection;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.c.2-1","defaultText":null,"uuid":"1fd30132-97fe-428b-899f-c84bdc25bb96"},{"testId":"SI-03c.02[02]","test":"Assessment Objective: Determine if malicious code protection mechanisms are configured to send alerts to {{ insert: param, si-03_odp.06 }} in response to malicious code detection;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.c.2-2","defaultText":null,"uuid":"74abede7-16ca-4934-aa90-ba16be7ffb58"},{"testId":"SI-03d.","test":"Assessment Objective: Determine if the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the system are addressed.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policy and procedures.</li><li>Procedures addressing malicious code protection.</li><li>Malicious code protection mechanisms.</li><li>Records of malicious code protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Scan results from malicious code protection mechanisms.</li><li>Record of actions initiated by malicious code protection mechanisms in response to malicious code detection.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for malicious code protection.</li><li>Organizational personnel with configuration management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for employing, updating, and configuring malicious code protection mechanisms.</li><li>Organizational processes for addressing false positives and resulting potential impacts.</li><li>Mechanisms supporting and/or implementing, employing, updating, and configuring malicious code protection mechanisms.</li><li>Mechanisms supporting and/or implementing malicious code scanning and subsequent actions.</li></ul>","otherId":"si-3_obj.d","defaultText":null,"uuid":"3095cd8b-d961-4749-934b-ebf6c7d43d5a"}],"weight":1,"title":"SI-03 - Malicious Code Protection","enhancements":"","otherId":"si-3","sortId":"si-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-3"},{"objectives":[{"objectiveType":"","otherId":"si-4.1_smt","name":"SI-4(1)","description":"Connect and configure individual intrusion detection tools into a system-wide intrusion detection system.","uuid":"f1cb25a3-aa5b-428e-8c84-48b218d47c0e"}],"description":"<p>Connect and configure individual intrusion detection tools into a system-wide intrusion detection system.</p><br/><strong>Guidance</strong><p>Linking individual intrusion detection tools into a system-wide intrusion detection system provides additional coverage and effective detection capabilities. The information contained in one intrusion detection tool can be shared widely across the organization, making the system-wide detection capability more robust and powerful.</p>","uuid":"1b82a92d-8304-48dd-9114-d82df30376a5","family":"System and Information Integrity","parameters":[],"subControls":null,"tests":[{"testId":"SI-04(01)[01]","test":"Assessment Objective: Determine if individual intrusion detection tools are connected to a system-wide intrusion detection system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection capabilities.</li></ul>","otherId":"si-4.1_obj-1","defaultText":null,"uuid":"d0c312c9-80b2-484e-95ad-700d57025d8d"},{"testId":"SI-04(01)[02]","test":"Assessment Objective: Determine if individual intrusion detection tools are configured into a system-wide intrusion detection system.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection capabilities.</li></ul>","otherId":"si-4.1_obj-2","defaultText":null,"uuid":"845b24ce-99a6-40d2-a837-cbd00e4fda5d"}],"weight":1,"title":"SI-04(01) - System-wide Intrusion Detection System","enhancements":null,"otherId":"si-4.1","sortId":"si-04.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4(1)"},{"objectives":[{"objectiveType":"","otherId":"si-4.2_smt","name":"SI-4(2)","description":"Employ automated tools and mechanisms to support near real-time analysis of events.","uuid":"5a6d6167-37f1-402f-85e5-f5a4f872de51"}],"description":"<p>Employ automated tools and mechanisms to support near real-time analysis of events.</p><br/><strong>Guidance</strong><p>Automated tools and mechanisms include host-based, network-based, transport-based, or storage-based event monitoring tools and mechanisms or security information and event management (SIEM) technologies that provide real-time analysis of alerts and notifications generated by organizational systems. Automated monitoring techniques can create unintended privacy risks because automated controls may connect to external or otherwise unrelated systems. The matching of records between these systems may create linkages with unintended consequences. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.</p>","uuid":"7bcf0f5b-3b30-4fe7-a263-deb802f8698f","family":"System and Information Integrity","parameters":[],"subControls":null,"tests":[{"testId":"SI-04(02)","test":"Assessment Objective: Determine if automated tools and mechanisms are employed to support a near real-time analysis of events.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Privacy impact assessment.</li><li>Privacy risk management documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for incident response/management.</li></ul><br>Test (Select From):<ul><li>Organizational processes for the near real-time analysis of events.</li><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring.</li><li>Mechanisms/tools supporting and/or implementing an analysis of events.</li></ul>","otherId":"si-4.2_obj","defaultText":null,"uuid":"5303a4f9-b943-4d5d-b70f-b79ba4f261ea"}],"weight":1,"title":"SI-04(02) - Automated Tools and Mechanisms for Real-time Analysis","enhancements":null,"otherId":"si-4.2","sortId":"si-04.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4(2)"},{"objectives":[{"objectiveType":"","otherId":"si-4.4_smt.a","name":"(a)","description":"<ul><li>(a) Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic;</li></ul>","uuid":"8c79885e-d5b4-42e5-8a1f-3c5533037908"},{"objectiveType":"","otherId":"si-4.4_smt.b","name":"(b)","description":"<ul><li>(b) Monitor inbound and outbound communications traffic {{ insert: param, SI-4(4)(b)-1 }} for {{ insert: param, SI-4(4)(b)-2 }}.</li></ul>","uuid":"3d8f19f4-03db-4eef-9d07-e7ea95f39657"}],"description":"<ul><li>(a) Determine criteria for unusual or unauthorized activities or conditions for inbound and outbound communications traffic;</li><li>(b) Monitor inbound and outbound communications traffic {{ insert: param, SI-4(4)(b)-1 }} for {{ insert: param, SI-4(4)(b)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Unusual or unauthorized activities or conditions related to system inbound and outbound communications traffic includes internal traffic that indicates the presence of malicious code or unauthorized use of legitimate code or credentials within organizational systems or propagating among system components, signaling to external systems, and the unauthorized exporting of information. Evidence of malicious code or unauthorized use of legitimate code or credentials is used to identify potentially compromised systems or system components.</p>","uuid":"ba4608e9-e329-461b-a4c6-a3c78a4bcdb2","family":"System and Information Integrity","parameters":[{"constraints":"continuously","displayName":"","dataType":"","guidance":"","uuid":"c22d79c5-c186-4308-adc0-a391ea63b019","otherId":"si-4.4_prm_1","parameterId":"SI-4(4)(b)-1","text":"organization-defined frequency","default":"[FedRAMP Assignment: continuously]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"fa851948-29fa-4c93-bc11-be19426479d3","otherId":"si-4.4_prm_2","parameterId":"SI-4(4)(b)-2","text":"organization-defined unusual or unauthorized activities or conditions","default":" [Assignment: organization-defined unusual or unauthorized activities or conditions] "}],"subControls":null,"tests":[{"testId":"SI-04(04)(a)[01]","test":"Assessment Objective: Determine if criteria for unusual or unauthorized activities or conditions for inbound communications traffic are defined;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System protocols.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic.</li></ul>","otherId":"si-4.4_obj.a-1","defaultText":null,"uuid":"85119782-2090-4a34-8039-06cbc22a89fc"},{"testId":"SI-04(04)(a)[02]","test":"Assessment Objective: Determine if criteria for unusual or unauthorized activities or conditions for outbound communications traffic are defined;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System protocols.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic.</li></ul>","otherId":"si-4.4_obj.a-2","defaultText":null,"uuid":"a198a5b0-a9d3-45db-911a-aa06e54717ae"},{"testId":"SI-04(04)(b)[01]","test":"Assessment Objective: Determine if inbound communications traffic is monitored {{ insert: param, si-04.04_odp.01 }} for {{ insert: param, si-04.04_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System protocols.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic.</li></ul>","otherId":"si-4.4_obj.b-1","defaultText":null,"uuid":"7034834f-e08a-4613-9644-6070afd058b9"},{"testId":"SI-04(04)(b)[02]","test":"Assessment Objective: Determine if outbound communications traffic is monitored {{ insert: param, si-04.04_odp.03 }} for {{ insert: param, si-04.04_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System protocols.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing the monitoring of inbound and outbound communications traffic.</li></ul>","otherId":"si-4.4_obj.b-2","defaultText":null,"uuid":"a2e5ad69-f4d3-4c7e-b105-5af5d2e8ab83"}],"weight":1,"title":"SI-04(04) - Inbound and Outbound Communications Traffic","enhancements":null,"otherId":"si-4.4","sortId":"si-04.04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4(4)"},{"objectives":[{"objectiveType":"","otherId":"si-4.5_smt","name":"SI-4(5)","description":"Alert {{ insert: param, SI-4(5)-1 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, SI-4(5)-2 }}.","uuid":"fe3ccf4b-9386-4271-9d05-4e7124a7a1c0"}],"description":"<p>Alert {{ insert: param, SI-4(5)-1 }} when the following system-generated indications of compromise or potential compromise occur: {{ insert: param, SI-4(5)-2 }}.</p><br/><strong>Guidance</strong><p>Alerts may be generated from a variety of sources, including audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be automated and may be transmitted telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the alert notification list can include system administrators, mission or business owners, system owners, information owners/stewards, senior agency information security officers, senior agency officials for privacy, system security officers, or privacy officers. In contrast to alerts generated by the system, alerts generated by organizations in <a href=\"#si-4.12\">SI-4(12)</a> focus on information sources external to the system, such as suspicious activity reports and reports on potential insider threats.</p><br/><strong>SI-4 (5) Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> In accordance with the incident response plan.</li></ul>","uuid":"df853fdb-a3a4-43a0-8c7e-015c75bb56a7","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to be alerted when indications of compromise or potential compromise occur is/are defined;","uuid":"000c28a8-53dd-4ec3-be98-19898ab25df6","otherId":"si-04.05_odp.01","parameterId":"SI-4(5)-1","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"compromise indicators are defined;","uuid":"5fc1ebc7-71ec-43dd-916f-ef119ea99b33","otherId":"si-04.05_odp.02","parameterId":"SI-4(5)-2","text":"compromise indicators","default":" [Assignment: organization-defined compromise indicators] "}],"subControls":null,"tests":[{"testId":"SI-04(05)","test":"Assessment Objective: Determine if \n{{ insert: param, si-04.05_odp.01 }} are alerted when system-generated {{ insert: param, si-04.05_odp.02 }} occur.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>List of personnel selected to receive alerts.</li><li>Documentation of alerts generated based on compromise indicators.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developers.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel on the system alert notification list.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing alerts for compromise indicators.</li></ul>","otherId":"si-4.5_obj","defaultText":null,"uuid":"6043908d-43a1-4777-aa6b-58b973fce0bd"}],"weight":1,"title":"SI-04(05) - System-generated Alerts","enhancements":null,"otherId":"si-4.5","sortId":"si-04.05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4(5)"},{"objectives":[{"objectiveType":"","otherId":"si-4.16_smt","name":"SI-4(16)","description":"Correlate information from monitoring tools and mechanisms employed throughout the system.","uuid":"0a4f4a2f-4ed6-4241-a7c5-eea58163e9fe"}],"description":"<p>Correlate information from monitoring tools and mechanisms employed throughout the system.</p><br/><strong>Guidance</strong><p>Correlating information from different system monitoring tools and mechanisms can provide a more comprehensive view of system activity. Correlating system monitoring tools and mechanisms that typically work in isolation—including malicious code protection software, host monitoring, and network monitoring—can provide an organization-wide monitoring view and may reveal otherwise unseen attack patterns. Understanding the capabilities and limitations of diverse monitoring tools and mechanisms and how to maximize the use of information generated by those tools and mechanisms can help organizations develop, operate, and maintain effective monitoring programs. The correlation of monitoring information is especially important during the transition from older to newer technologies (e.g., transitioning from IPv4 to IPv6 network protocols).</p>","uuid":"3ff31b73-0464-481e-acf0-7e40bcb37a67","family":"System and Information Integrity","parameters":[],"subControls":null,"tests":[{"testId":"SI-04(16)","test":"Assessment Objective: Determine if information from monitoring tools and mechanisms employed throughout the system is correlated.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>Event correlation logs or records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing the correlation of information from monitoring tools.</li></ul>","otherId":"si-4.16_obj","defaultText":null,"uuid":"7735641d-36c0-4663-8870-d650fb71b48a"}],"weight":1,"title":"SI-04(16) - Correlate Monitoring Information","enhancements":null,"otherId":"si-4.16","sortId":"si-04.16","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4(16)"},{"objectives":[{"objectiveType":"","otherId":"si-4.18_smt","name":"SI-4(18)","description":"Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, SI-4(18) }}.","uuid":"f0b129a3-dfc6-4548-b50c-551575fff471"}],"description":"<p>Analyze outbound communications traffic at external interfaces to the system and at the following interior points to detect covert exfiltration of information: {{ insert: param, SI-4(18) }}.</p><br/><strong>Guidance</strong><p>Organization-defined interior points include subnetworks and subsystems. Covert means that can be used to exfiltrate information include steganography.</p>","uuid":"a9f07918-5cb3-47d1-bb3b-3aebfa56268b","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"interior points within the system where communications traffic is to be analyzed are defined;","uuid":"8edcb4d2-39f0-400d-b8c1-b8b23d985645","otherId":"si-04.18_odp","parameterId":"SI-4(18)","text":"interior points","default":" [Assignment: organization-defined interior points] "}],"subControls":null,"tests":[{"testId":"SI-04(18)[01]","test":"Assessment Objective: Determine if outbound communications traffic is analyzed at interfaces external to the system to detect covert exfiltration of information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>Network diagram.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System monitoring logs or records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing an analysis of outbound communications traffic.</li></ul>","otherId":"si-4.18_obj-1","defaultText":null,"uuid":"4746f436-a1f7-4185-b04d-320b007ce7a4"},{"testId":"SI-04(18)[02]","test":"Assessment Objective: Determine if outbound communications traffic is analyzed at {{ insert: param, si-04.18_odp }} to detect covert exfiltration of information.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>Network diagram.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>System monitoring logs or records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li><li>Organizational personnel responsible for the intrusion detection system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for intrusion detection and system monitoring.</li><li>Mechanisms supporting and/or implementing intrusion detection and system monitoring capabilities.</li><li>Mechanisms supporting and/or implementing an analysis of outbound communications traffic.</li></ul>","otherId":"si-4.18_obj-2","defaultText":null,"uuid":"258c2387-13df-4058-966a-1fd75302eab0"}],"weight":1,"title":"SI-04(18) - Analyze Traffic and Covert Exfiltration","enhancements":null,"otherId":"si-4.18","sortId":"si-04.18","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4(18)"},{"objectives":[{"objectiveType":"","otherId":"si-4.23_smt","name":"SI-4(23)","description":"Implement the following host-based monitoring mechanisms at {{ insert: param, SI-4(23)-1 }}: {{ insert: param, SI-4(23)-2 }}.","uuid":"d73ce5a5-de6e-49ae-ad5e-b08450040242"}],"description":"<p>Implement the following host-based monitoring mechanisms at {{ insert: param, SI-4(23)-1 }}: {{ insert: param, SI-4(23)-2 }}.</p><br/><strong>Guidance</strong><p>Host-based monitoring collects information about the host (or system in which it resides). System components in which host-based monitoring can be implemented include servers, notebook computers, and mobile devices. Organizations may consider employing host-based monitoring mechanisms from multiple product developers or vendors.</p>","uuid":"ea28b7ed-5a6b-41b1-be5f-e424f04a54bb","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"host-based monitoring mechanisms to be implemented on system components are defined;","uuid":"68214184-b2ab-4076-b129-68d5f105e334","otherId":"si-04.23_odp.01","parameterId":"SI-4(23)-2","text":"host-based monitoring mechanisms","default":" [Assignment: organization-defined host-based monitoring mechanisms] "},{"constraints":"","displayName":"","dataType":"","guidance":"system components where host-based monitoring is to be implemented are defined;","uuid":"bdde3847-a108-4eaf-82d1-67c6139c092e","otherId":"si-04.23_odp.02","parameterId":"SI-4(23)-1","text":"system components","default":" [Assignment: organization-defined system components] "}],"subControls":null,"tests":[{"testId":"SI-04(23)","test":"Assessment Objective: Determine if \n{{ insert: param, si-04.23_odp.01 }} are implemented on {{ insert: param, si-04.23_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>System design documentation.</li><li>Host-based monitoring mechanisms.</li><li>System monitoring tools and techniques documentation.</li><li>System configuration settings and associated documentation.</li><li>List of system components requiring host-based monitoring.</li><li>System monitoring logs or records.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring system hosts.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing a host-based monitoring capability.</li></ul>","otherId":"si-4.23_obj","defaultText":null,"uuid":"59e17bca-3e09-4db4-a1b1-41788ce47f21"}],"weight":1,"title":"SI-04(23) - Host-based Devices","enhancements":null,"otherId":"si-4.23","sortId":"si-04.23","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4(23)"},{"objectives":[{"objectiveType":"","otherId":"si-4_smt.a","name":"a.","description":"<ul><li>a. Monitor the system to detect:</li><ul><li>1. Attacks and indicators of potential attacks in accordance with the following monitoring objectives: {{ insert: param, SI-4(a)(1) }} ; and</li><li>2. Unauthorized local, network, and remote connections;</li></ul>","uuid":"bca49f0e-e4dd-4c34-923f-62d9ac9b4eab"},{"objectiveType":"","otherId":"si-4_smt.b","name":"b.","description":"<ul><li>b. Identify unauthorized use of the system through the following techniques and methods: {{ insert: param, SI-4(b) }};</li></ul>","uuid":"2a52a960-3a54-4405-ac2f-8d3a61333b4f"},{"objectiveType":"","otherId":"si-4_smt.c","name":"c.","description":"<ul><li>c. Invoke internal monitoring capabilities or deploy monitoring devices:</li><ul><li>1. Strategically within the system to collect organization-determined essential information; and</li><li>2. At ad hoc locations within the system to track specific types of transactions of interest to the organization;</li></ul>","uuid":"1739b0f8-401b-415e-bd39-f22e1a60e565"},{"objectiveType":"","otherId":"si-4_smt.d","name":"d.","description":"<ul><li>d. Analyze detected events and anomalies;</li></ul>","uuid":"638765c6-93c8-472f-87e6-55bf2bacbe27"},{"objectiveType":"","otherId":"si-4_smt.e","name":"e.","description":"<ul><li>e. Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;</li></ul>","uuid":"6b444917-a27e-4ffb-86b9-01e1446f3351"},{"objectiveType":"","otherId":"si-4_smt.f","name":"f.","description":"<ul><li>f. Obtain legal opinion regarding system monitoring activities; and</li></ul>","uuid":"60a21de9-0afe-42a9-8998-de56f28654af"},{"objectiveType":"","otherId":"si-4_smt.g","name":"g.","description":"<ul><li>g. Provide {{ insert: param, SI-4(g)-1 }} to {{ insert: param, SI-4(g)-2 }}{{ insert: param, SI-4(g)-3 }}.</li></ul>","uuid":"093d8e22-eb9d-4816-9665-49370d711e6f"}],"description":"<ul><li>a. Monitor the system to detect:</li><ul><li>1. Attacks and indicators of potential attacks in accordance with the following monitoring objectives: {{ insert: param, SI-4(a)(1) }} ; and</li><li>2. Unauthorized local, network, and remote connections;</li></ul><li>b. Identify unauthorized use of the system through the following techniques and methods: {{ insert: param, SI-4(b) }};</li><li>c. Invoke internal monitoring capabilities or deploy monitoring devices:</li><ul><li>1. Strategically within the system to collect organization-determined essential information; and</li><li>2. At ad hoc locations within the system to track specific types of transactions of interest to the organization;</li></ul><li>d. Analyze detected events and anomalies;</li><li>e. Adjust the level of system monitoring activity when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;</li><li>f. Obtain legal opinion regarding system monitoring activities; and</li><li>g. Provide {{ insert: param, SI-4(g)-1 }} to {{ insert: param, SI-4(g)-2 }}{{ insert: param, SI-4(g)-3 }}.</li></ul><br/><strong>Guidance</strong><p>System monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at external interfaces to the system. Internal monitoring includes the observation of events occurring within the system. Organizations monitor systems by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives guide and inform the determination of the events. System monitoring capabilities are achieved through a variety of tools and techniques, including intrusion detection and prevention systems, malicious code protection software, scanning tools, audit record monitoring software, and network monitoring software.</p><p>Depending on the security architecture, the distribution and configuration of monitoring devices may impact throughput at key internal and external boundaries as well as at other locations across a network due to the introduction of network throughput latency. If throughput management is needed, such devices are strategically located and deployed as part of an established organization-wide security architecture. Strategic locations for monitoring devices include selected perimeter locations and near key servers and server farms that support critical applications. Monitoring devices are typically employed at the managed interfaces associated with controls <a href=\"#sc-7\">SC-7</a> and <a href=\"#ac-17\">AC-17</a> . The information collected is a function of the organizational monitoring objectives and the capability of systems to support such objectives. Specific types of transactions of interest include Hypertext Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. System monitoring is an integral part of organizational continuous monitoring and incident response programs, and output from system monitoring serves as input to those programs. System monitoring requirements, including the need for specific types of system monitoring, may be referenced in other controls (e.g., <a href=\"#ac-2_smt.g\">AC-2g</a>, <a href=\"#ac-2.7\">AC-2(7)</a>, <a href=\"#ac-2.12_smt.a\">AC-2(12)(a)</a>, <a href=\"#ac-17.1\">AC-17(1)</a>, <a href=\"#au-13\">AU-13</a>, <a href=\"#au-13.1\">AU-13(1)</a>, <a href=\"#au-13.2\">AU-13(2)</a>, <a href=\"#cm-3_smt.f\">CM-3f</a>, <a href=\"#cm-6_smt.d\">CM-6d</a>, <a href=\"#ma-3_smt.a\">MA-3a</a>, <a href=\"#ma-4_smt.a\">MA-4a</a>, <a href=\"#sc-5.3_smt.b\">SC-5(3)(b)</a>, <a href=\"#sc-7_smt.a\">SC-7a</a>, <a href=\"#sc-7.24_smt.b\">SC-7(24)(b)</a>, <a href=\"#sc-18_smt.b\">SC-18b</a>, <a href=\"#sc-43_smt.b\">SC-43b</a> ). Adjustments to levels of system monitoring are based on law enforcement information, intelligence information, or other sources of information. The legality of system monitoring activities is based on applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.</p><br/><strong>SI-4 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> See US-CERT Incident Response Reporting Guidelines.</li></ul>","uuid":"832f331b-22fd-4eee-b517-a35f37d011aa","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"monitoring objectives to detect attacks and indicators of potential attacks on the system are defined;","uuid":"6afe3cef-01ef-47be-bd22-410bf8578294","otherId":"si-04_odp.01","parameterId":"SI-4(a)(1)","text":"monitoring objectives","default":" [Assignment: organization-defined monitoring objectives] "},{"constraints":"","displayName":"","dataType":"","guidance":"techniques and methods used to identify unauthorized use of the system are defined;","uuid":"6e6f97f3-923a-4295-8fa3-c71f0947cbe8","otherId":"si-04_odp.02","parameterId":"SI-4(b)","text":"techniques and methods","default":" [Assignment: organization-defined techniques and methods] "},{"constraints":"","displayName":"","dataType":"","guidance":"system monitoring information to be provided to personnel or roles is defined;","uuid":"a4ca463f-b124-431a-9d92-7597036929fa","otherId":"si-04_odp.03","parameterId":"SI-4(g)-1","text":"system monitoring information","default":" [Assignment: organization-defined system monitoring information] "},{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles to whom system monitoring information is to be provided is/are defined;","uuid":"1a97498f-7c49-4f08-8d62-02e1447f4f73","otherId":"si-04_odp.04","parameterId":"SI-4(g)-2","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"64bda5f6-6725-46a6-83c4-c100d8928354","otherId":"si-04_odp.05","parameterId":"SI-4(g)-3","text":"[Selection (one or more): as needed; [(NESTED PARAMETER) Assignment for si-04_odp.06: frequency]]","default":"[Selection (one or more): as needed; [(NESTED PARAMETER) Assignment for si-04_odp.06: frequency]]"}],"subControls":null,"tests":[{"testId":"SI-04a.01","test":"Assessment Objective: Determine if the system is monitored to detect attacks and indicators of potential attacks in accordance with {{ insert: param, si-04_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.a.1","defaultText":null,"uuid":"ed65d7b0-a167-4d8c-b72b-c5b6dae218a9"},{"testId":"SI-04a.02[01]","test":"Assessment Objective: Determine if the system is monitored to detect unauthorized local connections;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.a.2-1","defaultText":null,"uuid":"af191d99-454c-4b3c-bf76-2308ed67f8b5"},{"testId":"SI-04a.02[02]","test":"Assessment Objective: Determine if the system is monitored to detect unauthorized network connections;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.a.2-2","defaultText":null,"uuid":"05dab888-fa15-4f36-bdde-cd8635018924"},{"testId":"SI-04a.02[03]","test":"Assessment Objective: Determine if the system is monitored to detect unauthorized remote connections;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.a.2-3","defaultText":null,"uuid":"84ef2faa-48c5-4f25-a211-6f782bac57c5"},{"testId":"SI-04b.","test":"Assessment Objective: Determine if unauthorized use of the system is identified through {{ insert: param, si-04_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.b","defaultText":null,"uuid":"19ac81bc-e3da-4a94-92fb-501ba7118c4e"},{"testId":"SI-04c.01","test":"Assessment Objective: Determine if internal monitoring capabilities are invoked or monitoring devices are deployed strategically within the system to collect organization-determined essential information;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.c.1","defaultText":null,"uuid":"cbc8e879-24b0-4842-be16-881e80e1b730"},{"testId":"SI-04c.02","test":"Assessment Objective: Determine if internal monitoring capabilities are invoked or monitoring devices are deployed at ad hoc locations within the system to track specific types of transactions of interest to the organization;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.c.2","defaultText":null,"uuid":"61c55166-40b0-4325-8735-cfec4d6379fd"},{"testId":"SI-04d.[01]","test":"Assessment Objective: Determine if detected events are analyzed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.d-1","defaultText":null,"uuid":"49271640-e493-4702-92dc-8035d7d26c28"},{"testId":"SI-04d.[02]","test":"Assessment Objective: Determine if detected anomalies are analyzed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.d-2","defaultText":null,"uuid":"26c68ff8-2cd7-44e7-b591-a5a86627414d"},{"testId":"SI-04e.","test":"Assessment Objective: Determine if the level of system monitoring activity is adjusted when there is a change in risk to organizational operations and assets, individuals, other organizations, or the Nation;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.e","defaultText":null,"uuid":"2e6a0b1f-fe70-4d12-8ba8-af49e00b0997"},{"testId":"SI-04f.","test":"Assessment Objective: Determine if a legal opinion regarding system monitoring activities is obtained;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.f","defaultText":null,"uuid":"df527e14-ee31-47ed-a6bb-2adac84bd70c"},{"testId":"SI-04g.","test":"Assessment Objective: Determine if \n{{ insert: param, si-04_odp.03 }} is provided to {{ insert: param, si-04_odp.04 }}\n{{ insert: param, si-04_odp.05 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system monitoring tools and techniques.</li><li>Continuous monitoring strategy.</li><li>Facility diagram/layout.</li><li>System design documentation.</li><li>System monitoring tools and techniques documentation.</li><li>Locations within the system where monitoring devices are deployed.</li><li>System configuration settings and associated documentation.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel installing, configuring, and/or maintaining the system.</li><li>Organizational personnel responsible for monitoring the system.</li></ul><br>Test (Select From):<ul><li>Organizational processes for system monitoring.</li><li>Mechanisms supporting and/or implementing system monitoring capabilities.</li></ul>","otherId":"si-4_obj.g","defaultText":null,"uuid":"75360e34-13fd-4a51-a40a-2dea4b5b5d3e"}],"weight":1,"title":"SI-04 - System Monitoring","enhancements":"<strong>Enhancements</strong><ul><li>SI-4(1) - System-wide Intrusion Detection System</li><li>SI-4(2) - Automated Tools and Mechanisms for Real-time Analysis</li><li>SI-4(4) - Inbound and Outbound Communications Traffic</li><li>SI-4(5) - System-generated Alerts</li><li>SI-4(16) - Correlate Monitoring Information</li><li>SI-4(18) - Analyze Traffic and Covert Exfiltration</li><li>SI-4(23) - Host-based Devices</li></ul>","otherId":"si-4","sortId":"si-04","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-4"},{"objectives":[{"objectiveType":"","otherId":"si-5_smt.a","name":"a.","description":"<ul><li>a. Receive system security alerts, advisories, and directives from {{ insert: param, SI-5(a) }} on an ongoing basis;</li></ul>","uuid":"3027e3df-582b-4677-8397-f083ef52d4e0"},{"objectiveType":"","otherId":"si-5_smt.b","name":"b.","description":"<ul><li>b. Generate internal security alerts, advisories, and directives as deemed necessary;</li></ul>","uuid":"70b6cb54-98c3-4ec9-acee-50d637426866"},{"objectiveType":"","otherId":"si-5_smt.c","name":"c.","description":"<ul><li>c. Disseminate security alerts, advisories, and directives to: {{ insert: param, SI-5(c) }} ; and</li></ul>","uuid":"43ed3229-35aa-4af0-bd38-b7b8f14a5a06"},{"objectiveType":"","otherId":"si-5_smt.d","name":"d.","description":"<ul><li>d. Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance.</li></ul>","uuid":"c25cca80-420a-4164-b2fb-c5b05ff9667d"}],"description":"<ul><li>a. Receive system security alerts, advisories, and directives from {{ insert: param, SI-5(a) }} on an ongoing basis;</li><li>b. Generate internal security alerts, advisories, and directives as deemed necessary;</li><li>c. Disseminate security alerts, advisories, and directives to: {{ insert: param, SI-5(c) }} ; and</li><li>d. Implement security directives in accordance with established time frames, or notify the issuing organization of the degree of noncompliance.</li></ul><br/><strong>Guidance</strong><p>The Cybersecurity and Infrastructure Security Agency (CISA) generates security alerts and advisories to maintain situational awareness throughout the Federal Government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance with security directives is essential due to the critical nature of many of these directives and the potential (immediate) adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include supply chain partners, external mission or business partners, external service providers, and other peer or supporting organizations.</p><br/><strong>SI-5 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> Service Providers must address the CISA Emergency and Binding Operational Directives applicable to their cloud service offering per FedRAMP guidance. This includes listing the applicable directives and stating compliance status.</li></ul>","uuid":"e9e1617d-4889-4b91-a36d-63726785e6bd","family":"System and Information Integrity","parameters":[{"constraints":"to include US-CERT and Cybersecurity and Infrastructure Security Agency (CISA) Directives","displayName":"","dataType":"","guidance":"external organizations from whom system security alerts, advisories, and directives are to be received on an ongoing basis are defined;","uuid":"0e0d82eb-c625-4a8c-809a-fcb08f105076","otherId":"si-05_odp.01","parameterId":"SI-5(a)","text":"external organizations","default":"[FedRAMP Assignment: to include US-CERT and Cybersecurity and Infrastructure Security Agency (CISA) Directives]"},{"constraints":"to include system security personnel and administrators with configuration/patch-management responsibilities","displayName":"","dataType":"","guidance":"","uuid":"65bf1a9c-5200-495d-b09f-57aee34c5a91","otherId":"si-05_odp.02","parameterId":"SI-5(c)","text":"[Selection (one or more): [(NESTED PARAMETER) Assignment for si-05_odp.03: personnel or roles]; [(NESTED PARAMETER) Assignment for si-05_odp.04: elements]; [(NESTED PARAMETER) Assignment for si-05_odp.05: external organizations]]","default":"[FedRAMP Assignment: to include system security personnel and administrators with configuration/patch-management responsibilities]"}],"subControls":null,"tests":[{"testId":"SI-05a.","test":"Assessment Objective: Determine if system security alerts, advisories, and directives are received from {{ insert: param, si-05_odp.01 }} on an ongoing basis;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security alerts, advisories, and directives.</li><li>Records of security alerts and advisories.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security alert and advisory responsibilities.</li><li>Organizational personnel implementing, operating, maintaining, and using the system.</li><li>Organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing security directives.</li></ul>","otherId":"si-5_obj.a","defaultText":null,"uuid":"3ca52ef9-ff21-47c8-9b6c-b7c875e34b5b"},{"testId":"SI-05b.","test":"Assessment Objective: Determine if internal security alerts, advisories, and directives are generated as deemed necessary;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security alerts, advisories, and directives.</li><li>Records of security alerts and advisories.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security alert and advisory responsibilities.</li><li>Organizational personnel implementing, operating, maintaining, and using the system.</li><li>Organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing security directives.</li></ul>","otherId":"si-5_obj.b","defaultText":null,"uuid":"323312a9-0124-44d7-9f71-21013f941a50"},{"testId":"SI-05c.","test":"Assessment Objective: Determine if security alerts, advisories, and directives are disseminated to {{ insert: param, si-05_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security alerts, advisories, and directives.</li><li>Records of security alerts and advisories.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security alert and advisory responsibilities.</li><li>Organizational personnel implementing, operating, maintaining, and using the system.</li><li>Organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing security directives.</li></ul>","otherId":"si-5_obj.c","defaultText":null,"uuid":"0285dc5b-89a5-4246-97d3-42d2ecda1d17"},{"testId":"SI-05d.","test":"Assessment Objective: Determine if security directives are implemented in accordance with established time frames or if the issuing organization is notified of the degree of noncompliance.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security alerts, advisories, and directives.</li><li>Records of security alerts and advisories.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security alert and advisory responsibilities.</li><li>Organizational personnel implementing, operating, maintaining, and using the system.</li><li>Organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated.</li><li>System/network administrators.</li><li>Organizational personnel with information security responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing the definition, receipt, generation, and dissemination of security alerts, advisories, and directives.</li><li>Mechanisms supporting and/or implementing security directives.</li></ul>","otherId":"si-5_obj.d","defaultText":null,"uuid":"14cb4445-3841-4537-a544-3b3af56011b8"}],"weight":1,"title":"SI-05 - Security Alerts, Advisories, and Directives","enhancements":"","otherId":"si-5","sortId":"si-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-5"},{"objectives":[{"objectiveType":"","otherId":"si-6_smt.a","name":"a.","description":"<ul><li>a. Verify the correct operation of {{ insert: param, SI-6(a) }};</li></ul>","uuid":"d4b2d4e1-125c-4eb0-b3b3-abe3d5c232fd"},{"objectiveType":"","otherId":"si-6_smt.b","name":"b.","description":"<ul><li>b. Perform the verification of the functions specified in SI-6a {{ insert: param, SI-6(b) }};</li></ul>","uuid":"8ad020f7-fc05-40da-98af-5fbf521cdebf"},{"objectiveType":"","otherId":"si-6_smt.c","name":"c.","description":"<ul><li>c. Alert {{ insert: param, SI-6(c) }} to failed security and privacy verification tests; and</li></ul>","uuid":"aa053e45-d47b-499c-8d0a-50e083be57f8"},{"objectiveType":"","otherId":"si-6_smt.d","name":"d.","description":"<ul><li>d. {{ insert: param, SI-6(d) }} when anomalies are discovered.</li></ul>","uuid":"f3d948ca-a93c-41f7-8c8c-373a466629f8"}],"description":"<ul><li>a. Verify the correct operation of {{ insert: param, SI-6(a) }};</li><li>b. Perform the verification of the functions specified in SI-6a {{ insert: param, SI-6(b) }};</li><li>c. Alert {{ insert: param, SI-6(c) }} to failed security and privacy verification tests; and</li><li>d. {{ insert: param, SI-6(d) }} when anomalies are discovered.</li></ul><br/><strong>Guidance</strong><p>Transitional states for systems include system startup, restart, shutdown, and abort. System notifications include hardware indicator lights, electronic alerts to system administrators, and messages to local computer consoles. In contrast to security function verification, privacy function verification ensures that privacy functions operate as expected and are approved by the senior agency official for privacy or that privacy attributes are applied or used as expected.</p>","uuid":"aada3cf0-2b00-4d7c-b931-611ed301130e","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"9231b48c-b54a-4e93-8d24-1aed024f2e8e","otherId":"si-6_prm_1","parameterId":"SI-6(a)","text":"organization-defined security and privacy functions","default":" [Assignment: organization-defined security and privacy functions] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"e38a7d86-d1d4-41f7-a698-f19fe427b7d6","otherId":"si-06_odp.03","parameterId":"SI-6(b)","text":"[Selection (one or more): [(NESTED PARAMETER) Assignment for si-06_odp.04: system transitional states]; upon command by user with appropriate privilege; [(NESTED PARAMETER) Assignment for si-06_odp.05: frequency]]","default":"[Selection (one or more): [(NESTED PARAMETER) Assignment for si-06_odp.04: system transitional states]; upon command by user with appropriate privilege; [(NESTED PARAMETER) Assignment for si-06_odp.05: frequency]]"},{"constraints":"to include system administrators and security personnel","displayName":"","dataType":"","guidance":"personnel or roles to be alerted of failed security and privacy verification tests is/are defined;","uuid":"9a426eec-5b84-4c22-805b-ff2a77daae88","otherId":"si-06_odp.06","parameterId":"SI-6(c)","text":"personnel or roles","default":"[FedRAMP Assignment: to include system administrators and security personnel]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"bc7af455-1a3a-48ec-a915-36d722c6f1ee","otherId":"si-06_odp.07","parameterId":"SI-6(d)","text":"[Selection (one or more): shut the system down; restart the system; [(NESTED PARAMETER) Assignment for si-06_odp.08: alternative action(s)]]","default":"[Selection (one or more): shut the system down; restart the system; [(NESTED PARAMETER) Assignment for si-06_odp.08: alternative action(s)]]"}],"subControls":null,"tests":[{"testId":"SI-06a.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, si-06_odp.01 }} are verified to be operating correctly;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security and privacy function verification.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Alerts/notifications of failed security verification tests.</li><li>List of system transition states requiring security functionality verification.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy function verification responsibilities.</li><li>Organizational personnel implementing, operating, and maintaining the system.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy function verification.</li><li>Mechanisms supporting and/or implementing the security and privacy function verification capability.</li></ul>","otherId":"si-6_obj.a-1","defaultText":null,"uuid":"7864fc23-0441-493f-868c-c42284643eb8"},{"testId":"SI-06a.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, si-06_odp.02 }} are verified to be operating correctly;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security and privacy function verification.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Alerts/notifications of failed security verification tests.</li><li>List of system transition states requiring security functionality verification.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy function verification responsibilities.</li><li>Organizational personnel implementing, operating, and maintaining the system.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy function verification.</li><li>Mechanisms supporting and/or implementing the security and privacy function verification capability.</li></ul>","otherId":"si-6_obj.a-2","defaultText":null,"uuid":"90974c63-c5b3-430a-974c-76d40693bfb4"},{"testId":"SI-06b.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, si-06_odp.01 }} are verified {{ insert: param, si-06_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security and privacy function verification.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Alerts/notifications of failed security verification tests.</li><li>List of system transition states requiring security functionality verification.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy function verification responsibilities.</li><li>Organizational personnel implementing, operating, and maintaining the system.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy function verification.</li><li>Mechanisms supporting and/or implementing the security and privacy function verification capability.</li></ul>","otherId":"si-6_obj.b-1","defaultText":null,"uuid":"7dca3d85-082c-421c-a075-c5d963436115"},{"testId":"SI-06b.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, si-06_odp.02 }} are verified {{ insert: param, si-06_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security and privacy function verification.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Alerts/notifications of failed security verification tests.</li><li>List of system transition states requiring security functionality verification.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy function verification responsibilities.</li><li>Organizational personnel implementing, operating, and maintaining the system.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy function verification.</li><li>Mechanisms supporting and/or implementing the security and privacy function verification capability.</li></ul>","otherId":"si-6_obj.b-2","defaultText":null,"uuid":"3683d6a2-a327-4df7-9a40-080082063b62"},{"testId":"SI-06c.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, si-06_odp.06 }} is/are alerted to failed security verification tests;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security and privacy function verification.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Alerts/notifications of failed security verification tests.</li><li>List of system transition states requiring security functionality verification.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy function verification responsibilities.</li><li>Organizational personnel implementing, operating, and maintaining the system.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy function verification.</li><li>Mechanisms supporting and/or implementing the security and privacy function verification capability.</li></ul>","otherId":"si-6_obj.c-1","defaultText":null,"uuid":"96f02efc-79ec-45eb-a830-bb39a0e84837"},{"testId":"SI-06c.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, si-06_odp.06 }} is/are alerted to failed privacy verification tests;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security and privacy function verification.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Alerts/notifications of failed security verification tests.</li><li>List of system transition states requiring security functionality verification.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy function verification responsibilities.</li><li>Organizational personnel implementing, operating, and maintaining the system.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy function verification.</li><li>Mechanisms supporting and/or implementing the security and privacy function verification capability.</li></ul>","otherId":"si-6_obj.c-2","defaultText":null,"uuid":"379a4168-6ca7-4702-8b99-7e5ce99508c3"},{"testId":"SI-06d.","test":"Assessment Objective: Determine if \n{{ insert: param, si-06_odp.07 }} is/are initiated when anomalies are discovered.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing security and privacy function verification.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Alerts/notifications of failed security verification tests.</li><li>List of system transition states requiring security functionality verification.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with security and privacy function verification responsibilities.</li><li>Organizational personnel implementing, operating, and maintaining the system.</li><li>System/network administrators.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for security and privacy function verification.</li><li>Mechanisms supporting and/or implementing the security and privacy function verification capability.</li></ul>","otherId":"si-6_obj.d","defaultText":null,"uuid":"90297eb7-5cd9-404d-aafe-8144995fe389"}],"weight":1,"title":"SI-06 - Security and Privacy Function Verification","enhancements":"","otherId":"si-6","sortId":"si-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-6"},{"objectives":[{"objectiveType":"","otherId":"si-7.1_smt","name":"SI-7(1)","description":"Perform an integrity check of {{ insert: param, SI-7(1)-1 }}\n{{ insert: param, SI-7(1)-2 }}.","uuid":"3b57569b-50e2-45cc-a0cc-076c80ca4aab"}],"description":"<p>Perform an integrity check of {{ insert: param, SI-7(1)-1 }}\n{{ insert: param, SI-7(1)-2 }}.</p><br/><strong>Guidance</strong><p>Security-relevant events include the identification of new threats to which organizational systems are susceptible and the installation of new hardware, software, or firmware. Transitional states include system startup, restart, shutdown, and abort.</p>","uuid":"36004d97-9ecc-4f20-baff-31361968412f","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"fd5db3d7-5f27-405a-8635-fccff7189219","otherId":"si-7.1_prm_1","parameterId":"SI-7(1)-1","text":"organization-defined software, firmware, and information","default":" [Assignment: organization-defined software, firmware, and information] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"761459ca-41e2-4a07-9ca4-b27090f2d3e6","otherId":"si-7.1_prm_2","parameterId":"SI-7(1)-2","text":"[Selection (one or more): at startup; at [(NESTED PARAMETER) Assignment for si-7.1_prm_3: organization-defined transitional states or security-relevant events]; [(NESTED PARAMETER) Assignment for si-7.1_prm_4: organization-defined frequency]]","default":" [Assignment: [Selection (one or more): at startup; at [(NESTED PARAMETER) Assignment for si-7.1_prm_3: organization-defined transitional states or security-relevant events]; [(NESTED PARAMETER) Assignment for si-7.1_prm_4: organization-defined frequency]]] "}],"subControls":null,"tests":[{"testId":"SI-07(01)[01]","test":"Assessment Objective: Determine if an integrity check of {{ insert: param, si-07.01_odp.01 }} is performed {{ insert: param, si-07.01_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity testing.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records of integrity scans.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7.1_obj-1","defaultText":null,"uuid":"05608181-de31-47f7-b47b-36d271dd4bda"},{"testId":"SI-07(01)[02]","test":"Assessment Objective: Determine if an integrity check of {{ insert: param, si-07.01_odp.05 }} is performed {{ insert: param, si-07.01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity testing.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records of integrity scans.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7.1_obj-2","defaultText":null,"uuid":"f0e52b25-b402-49f6-99bc-bef2d850b8b2"},{"testId":"SI-07(01)[03]","test":"Assessment Objective: Determine if an integrity check of {{ insert: param, si-07.01_odp.09 }} is performed {{ insert: param, si-07.01_odp.10 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity testing.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records of integrity scans.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7.1_obj-3","defaultText":null,"uuid":"2a59daed-9198-42a9-9dca-b2d6a6f58b7b"}],"weight":1,"title":"SI-07(01) - Integrity Checks","enhancements":null,"otherId":"si-7.1","sortId":"si-07.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-7(1)"},{"objectives":[{"objectiveType":"","otherId":"si-7.7_smt","name":"SI-7(7)","description":"Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, SI-7(7) }}.","uuid":"3ce6df87-dca8-4f39-9a4c-506ada691736"}],"description":"<p>Incorporate the detection of the following unauthorized changes into the organizational incident response capability: {{ insert: param, SI-7(7) }}.</p><br/><strong>Guidance</strong><p>Integrating detection and response helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important for being able to identify and discern adversary actions over an extended time period and for possible legal actions. Security-relevant changes include unauthorized changes to established configuration settings or the unauthorized elevation of system privileges.</p>","uuid":"0ede24d3-300a-43a7-9a25-9275312608f6","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"security-relevant changes to the system are defined;","uuid":"627ecab2-df2b-4610-a013-969fb4b53f11","otherId":"si-07.07_odp","parameterId":"SI-7(7)","text":"changes","default":" [Assignment: organization-defined changes] "}],"subControls":null,"tests":[{"testId":"SI-07(07)","test":"Assessment Objective: Determine if the detection of {{ insert: param, si-07.07_odp }} are incorporated into the organizational incident response capability.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity.</li><li>Procedures addressing incident response.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Incident response records.</li><li>Audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with incident response responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for incorporating the detection of unauthorized security-relevant changes into the incident response capability.</li><li>Software, firmware, and information integrity verification tools.</li><li>Mechanisms supporting and/or implementing the incorporation of detection of unauthorized security-relevant changes into the incident response capability.</li></ul>","otherId":"si-7.7_obj","defaultText":null,"uuid":"28c3e013-4dc0-4f3b-b671-b0b16c8c4cc6"}],"weight":1,"title":"SI-07(07) - Integration of Detection and Response","enhancements":null,"otherId":"si-7.7","sortId":"si-07.07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-7(7)"},{"objectives":[{"objectiveType":"","otherId":"si-7_smt.a","name":"a.","description":"<ul><li>a. Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, SI-7(a) }} ; and</li></ul>","uuid":"0351a812-d9bf-4f90-b598-d9b9b07240b2"},{"objectiveType":"","otherId":"si-7_smt.b","name":"b.","description":"<ul><li>b. Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, SI-7(b) }}.</li></ul>","uuid":"10296e11-52e0-4106-b1a8-3383e2a81820"}],"description":"<ul><li>a. Employ integrity verification tools to detect unauthorized changes to the following software, firmware, and information: {{ insert: param, SI-7(a) }} ; and</li><li>b. Take the following actions when unauthorized changes to the software, firmware, and information are detected: {{ insert: param, SI-7(b) }}.</li></ul><br/><strong>Guidance</strong><p>Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity. Software includes operating systems (with key internal components, such as kernels or drivers), middleware, and applications. Firmware interfaces include Unified Extensible Firmware Interface (UEFI) and Basic Input/Output System (BIOS). Information includes personally identifiable information and metadata that contains security and privacy attributes associated with information. Integrity-checking mechanisms—including parity checks, cyclical redundancy checks, cryptographic hashes, and associated tools—can automatically monitor the integrity of systems and hosted applications.</p>","uuid":"59fd4620-2b54-4a7e-97c8-23c755b7df19","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"099da337-e25f-4157-832e-845e71eef5f6","otherId":"si-7_prm_1","parameterId":"SI-7(a)","text":"organization-defined software, firmware, and information","default":" [Assignment: organization-defined software, firmware, and information] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"9221c605-3fac-47e1-a695-6388ed9f0bb6","otherId":"si-7_prm_2","parameterId":"SI-7(b)","text":"organization-defined actions","default":" [Assignment: organization-defined actions] "}],"subControls":null,"tests":[{"testId":"SI-07a.[01]","test":"Assessment Objective: Determine if integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity.</li><li>Personally identifiable information processing policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7_obj.a-1","defaultText":null,"uuid":"301386ba-74d3-4245-bd6c-52a7c43f9af6"},{"testId":"SI-07a.[02]","test":"Assessment Objective: Determine if integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity.</li><li>Personally identifiable information processing policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7_obj.a-2","defaultText":null,"uuid":"632b3863-7dfc-4b33-ac86-7e77f54a1b93"},{"testId":"SI-07a.[03]","test":"Assessment Objective: Determine if integrity verification tools are employed to detect unauthorized changes to {{ insert: param, si-07_odp.03 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity.</li><li>Personally identifiable information processing policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7_obj.a-3","defaultText":null,"uuid":"123c20bd-375b-4b0c-83f1-2cad7aa7b2cf"},{"testId":"SI-07b.[01]","test":"Assessment Objective: Determine if \n{{ insert: param, si-07_odp.04 }} are taken when unauthorized changes to the software, are detected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity.</li><li>Personally identifiable information processing policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7_obj.b-1","defaultText":null,"uuid":"1cf44d7d-1e71-45d3-baf4-113d77125562"},{"testId":"SI-07b.[02]","test":"Assessment Objective: Determine if \n{{ insert: param, si-07_odp.05 }} are taken when unauthorized changes to the firmware are detected;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity.</li><li>Personally identifiable information processing policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7_obj.b-2","defaultText":null,"uuid":"2c473136-aacc-4db8-ba40-c39ad71a1054"},{"testId":"SI-07b.[03]","test":"Assessment Objective: Determine if \n{{ insert: param, si-07_odp.06 }} are taken when unauthorized changes to the information are detected.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing software, firmware, and information integrity.</li><li>Personally identifiable information processing policy.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Integrity verification tools and associated documentation.</li><li>Records generated or triggered by integrity verification tools regarding unauthorized software, firmware, and information changes.</li><li>System audit records.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for software, firmware, and/or information integrity.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>System/network administrators.</li></ul><br>Test (Select From):<ul><li>Software, firmware, and information integrity verification tools.</li></ul>","otherId":"si-7_obj.b-3","defaultText":null,"uuid":"4aa1e86b-0348-4603-b5fa-125220b55b97"}],"weight":1,"title":"SI-07 - Software, Firmware, and Information Integrity","enhancements":"<strong>Enhancements</strong><ul><li>SI-7(1) - Integrity Checks</li><li>SI-7(7) - Integration of Detection and Response</li></ul>","otherId":"si-7","sortId":"si-07","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-7"},{"objectives":[{"objectiveType":"","otherId":"si-8.2_smt","name":"SI-8(2)","description":"Automatically update spam protection mechanisms {{ insert: param, SI-8(2) }}.","uuid":"1a8680a6-d95a-49bf-b980-ae4f53709f86"}],"description":"<p>Automatically update spam protection mechanisms {{ insert: param, SI-8(2) }}.</p><br/><strong>Guidance</strong><p>Using automated mechanisms to update spam protection mechanisms helps to ensure that updates occur on a regular basis and provide the latest content and protection capabilities.</p>","uuid":"cf02a81b-9566-4191-bdc9-8d41d25a7b5a","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the frequency at which to automatically update spam protection mechanisms is defined;","uuid":"a19f1b56-bada-45b3-b1bf-dcf5f774250e","otherId":"si-08.02_odp","parameterId":"SI-8(2)","text":"frequency","default":" [Assignment: organization-defined frequency] "}],"subControls":null,"tests":[{"testId":"SI-08(02)","test":"Assessment Objective: Determine if spam protection mechanisms are automatically updated {{ insert: param, si-08.02_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing spam protection.</li><li>Spam protection mechanisms.</li><li>Records of spam protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for spam protection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for spam protection.</li><li>Mechanisms supporting and/or implementing automatic updates to spam protection mechanisms.</li></ul>","otherId":"si-8.2_obj","defaultText":null,"uuid":"e2df02e3-8b95-4ab2-a04a-72142ad4b069"}],"weight":1,"title":"SI-08(02) - Automatic Updates","enhancements":null,"otherId":"si-8.2","sortId":"si-08.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-8(2)"},{"objectives":[{"objectiveType":"","otherId":"si-8_smt.a","name":"a.","description":"<ul><li>a. Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and</li></ul>","uuid":"2587e237-daac-40aa-aa24-dd5ea5d09db0"},{"objectiveType":"","otherId":"si-8_smt.b","name":"b.","description":"<ul><li>b. Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.</li></ul>","uuid":"90d75ad0-2c7c-41d3-a86d-0d0169822d2b"}],"description":"<ul><li>a. Employ spam protection mechanisms at system entry and exit points to detect and act on unsolicited messages; and</li><li>b. Update spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.</li></ul><br/><strong>Guidance</strong><p>System entry and exit points include firewalls, remote-access servers, electronic mail servers, web servers, proxy servers, workstations, notebook computers, and mobile devices. Spam can be transported by different means, including email, email attachments, and web accesses. Spam protection mechanisms include signature definitions.</p><br/><strong>SI-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Guidance:</b> When CSO sends email on behalf of the government as part of the business offering, Control Description should include implementation of Domain-based Message Authentication, Reporting & Conformance (DMARC) on the sending domain for outgoing messages as described in DHS Binding Operational Directive (BOD) 18-01.https://cyber.dhs.gov/bod/18-01/</li><li><b>Guidance:</b> CSPs should confirm DMARC configuration (where appropriate) to ensure that policy=reject and the rua parameter includes reports@dmarc.cyber.dhs.gov. DMARC compliance should be documented in the SI-08 control implementation solution description, and list the FROM: domain(s) that will be seen by email recipients.</li></ul>","uuid":"67d3a96a-3550-408e-9afc-f7f197275cf4","family":"System and Information Integrity","parameters":[],"subControls":null,"tests":[{"testId":"SI-08a.[01]","test":"Assessment Objective: Determine if spam protection mechanisms are employed at system entry points to detect unsolicited messages;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policies and procedures (cm-01).</li><li>Procedures addressing spam protection.</li><li>Spam protection mechanisms.</li><li>Records of spam protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for spam protection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for implementing spam protection.</li><li>Mechanisms supporting and/or implementing spam protection.</li></ul>","otherId":"si-8_obj.a-1","defaultText":null,"uuid":"ea620a5a-b83a-4c77-829b-49c2999331fb"},{"testId":"SI-08a.[02]","test":"Assessment Objective: Determine if spam protection mechanisms are employed at system exit points to detect unsolicited messages;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policies and procedures (cm-01).</li><li>Procedures addressing spam protection.</li><li>Spam protection mechanisms.</li><li>Records of spam protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for spam protection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for implementing spam protection.</li><li>Mechanisms supporting and/or implementing spam protection.</li></ul>","otherId":"si-8_obj.a-2","defaultText":null,"uuid":"84dbcae4-e25d-4aeb-adb9-f22e32a0dbaf"},{"testId":"SI-08a.[03]","test":"Assessment Objective: Determine if spam protection mechanisms are employed at system entry points to act on unsolicited messages;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policies and procedures (cm-01).</li><li>Procedures addressing spam protection.</li><li>Spam protection mechanisms.</li><li>Records of spam protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for spam protection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for implementing spam protection.</li><li>Mechanisms supporting and/or implementing spam protection.</li></ul>","otherId":"si-8_obj.a-3","defaultText":null,"uuid":"b0f18e3c-b404-416f-966f-2e6de992d8f3"},{"testId":"SI-08a.[04]","test":"Assessment Objective: Determine if spam protection mechanisms are employed at system exit points to act on unsolicited messages;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policies and procedures (cm-01).</li><li>Procedures addressing spam protection.</li><li>Spam protection mechanisms.</li><li>Records of spam protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for spam protection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for implementing spam protection.</li><li>Mechanisms supporting and/or implementing spam protection.</li></ul>","otherId":"si-8_obj.a-4","defaultText":null,"uuid":"fb7d382c-d9c7-454a-9a76-06882fc2e220"},{"testId":"SI-08b.","test":"Assessment Objective: Determine if spam protection mechanisms are updated when new releases are available in accordance with organizational configuration management policies and procedures.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Configuration management policies and procedures (cm-01).</li><li>Procedures addressing spam protection.</li><li>Spam protection mechanisms.</li><li>Records of spam protection updates.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for spam protection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for implementing spam protection.</li><li>Mechanisms supporting and/or implementing spam protection.</li></ul>","otherId":"si-8_obj.b","defaultText":null,"uuid":"4711ebff-774d-4d31-9552-cb1a74606e20"}],"weight":1,"title":"SI-08 - Spam Protection","enhancements":"<strong>Enhancements</strong><ul><li>SI-8(2) - Automatic Updates</li></ul>","otherId":"si-8","sortId":"si-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-8"},{"objectives":[{"objectiveType":"","otherId":"si-10_smt","name":"SI-10","description":"Check the validity of the following information inputs: {{ insert: param, SI-10 }}.","uuid":"0fcdbcc0-6b94-4816-a2c2-28571ef7bfa6"}],"description":"<p>Check the validity of the following information inputs: {{ insert: param, SI-10 }}.</p><br/><strong>Guidance</strong><p>Checking the valid syntax and semantics of system inputs—including character set, length, numerical range, and acceptable values—verifies that inputs match specified definitions for format and content. For example, if the organization specifies that numerical values between 1-100 are the only acceptable inputs for a field in a given application, inputs of <q>387,</q>\n<q>abc,</q> or <q>%K%</q> are invalid inputs and are not accepted as input to the system. Valid inputs are likely to vary from field to field within a software application. Applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the corrupted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing them to interpreters prevents the content from being unintentionally interpreted as commands. Input validation ensures accurate and correct inputs and prevents attacks such as cross-site scripting and a variety of injection attacks.</p><br/><strong>SI-10 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> Validate all information inputs and document any exceptions</li></ul>","uuid":"304dbe42-6111-45a8-9379-77d6df5bdb13","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"information inputs to the system requiring validity checks are defined;","uuid":"4370bb12-7e10-45a3-9c14-79dfbf8de375","otherId":"si-10_odp","parameterId":"SI-10","text":"information inputs","default":" [Assignment: organization-defined information inputs] "}],"subControls":null,"tests":[{"testId":"SI-10","test":"Assessment Objective: Determine if the validity of the {{ insert: param, si-10_odp }} is checked.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Access control policy and procedures.</li><li>Separation of duties policy and procedures.</li><li>Procedures addressing information input validation.</li><li>Documentation for automated tools and applications to verify the validity of information.</li><li>List of information inputs requiring validity checks.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for information input validation.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Mechanisms supporting and/or implementing validity checks on information inputs.</li></ul>","otherId":"si-10_obj","defaultText":null,"uuid":"74b4d46c-410e-4c21-b107-dc2c0efc2236"}],"weight":1,"title":"SI-10 - Information Input Validation","enhancements":"","otherId":"si-10","sortId":"si-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-10"},{"objectives":[{"objectiveType":"","otherId":"si-11_smt.a","name":"a.","description":"<ul><li>a. Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and</li></ul>","uuid":"b3577c06-1015-444b-9da0-dd2e2f9f2090"},{"objectiveType":"","otherId":"si-11_smt.b","name":"b.","description":"<ul><li>b. Reveal error messages only to {{ insert: param, SI-11(b) }}.</li></ul>","uuid":"e6b5f7b1-211b-4e93-8b60-36153a82ea60"}],"description":"<ul><li>a. Generate error messages that provide information necessary for corrective actions without revealing information that could be exploited; and</li><li>b. Reveal error messages only to {{ insert: param, SI-11(b) }}.</li></ul><br/><strong>Guidance</strong><p>Organizations consider the structure and content of error messages. The extent to which systems can handle error conditions is guided and informed by organizational policy and operational requirements. Exploitable information includes stack traces and implementation details; erroneous logon attempts with passwords mistakenly entered as the username; mission or business information that can be derived from, if not stated explicitly by, the information recorded; and personally identifiable information, such as account numbers, social security numbers, and credit card numbers. Error messages may also provide a covert channel for transmitting information.</p>","uuid":"70f4f2e6-8760-4aee-8a03-298acc3d2fae","family":"System and Information Integrity","parameters":[{"constraints":"to include the ISSO and/or similar role within the organization","displayName":"","dataType":"","guidance":"personnel or roles to whom error messages are to be revealed is/are defined;","uuid":"eb4ffe53-5fa5-4766-bf29-e9504738f244","otherId":"si-11_odp","parameterId":"SI-11(b)","text":"personnel or roles","default":"[FedRAMP Assignment: to include the ISSO and/or similar role within the organization]"}],"subControls":null,"tests":[{"testId":"SI-11a.","test":"Assessment Objective: Determine if error messages that provide the information necessary for corrective actions are generated without revealing information that could be exploited;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system error handling.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Documentation providing the structure and content of error messages.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for information input validation.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for error handling.</li><li>Automated mechanisms supporting and/or implementing error handling.</li><li>Automated mechanisms supporting and/or implementing the management of error messages.</li></ul>","otherId":"si-11_obj.a","defaultText":null,"uuid":"24c08a04-33d3-4f2e-befa-d0ad05cff2f5"},{"testId":"SI-11b.","test":"Assessment Objective: Determine if error messages are revealed only to {{ insert: param, si-11_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing system error handling.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>Documentation providing the structure and content of error messages.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for information input validation.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Organizational processes for error handling.</li><li>Automated mechanisms supporting and/or implementing error handling.</li><li>Automated mechanisms supporting and/or implementing the management of error messages.</li></ul>","otherId":"si-11_obj.b","defaultText":null,"uuid":"fe1b87c5-0b34-4692-b91a-33424b1cab12"}],"weight":1,"title":"SI-11 - Error Handling","enhancements":"","otherId":"si-11","sortId":"si-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-11"},{"objectives":[{"objectiveType":"","otherId":"si-12_smt","name":"SI-12","description":"Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements.","uuid":"6a06e749-125e-4127-8120-1555fbae8d99"}],"description":"<p>Manage and retain information within the system and information output from the system in accordance with applicable laws, executive orders, directives, regulations, policies, standards, guidelines and operational requirements.</p><br/><strong>Guidance</strong><p>Information management and retention requirements cover the full life cycle of information, in some cases extending beyond system disposal. Information to be retained may also include policies, procedures, plans, reports, data output from control implementation, and other types of administrative information. The National Archives and Records Administration (NARA) provides federal policy and guidance on records retention and schedules. If organizations have a records management office, consider coordinating with records management personnel. Records produced from the output of implemented controls that may require management and retention include, but are not limited to: All XX-1, <a href=\"#ac-6.9\">AC-6(9)</a>, <a href=\"#at-4\">AT-4</a>, <a href=\"#au-12\">AU-12</a>, <a href=\"#ca-2\">CA-2</a>, <a href=\"#ca-3\">CA-3</a>, <a href=\"#ca-5\">CA-5</a>, <a href=\"#ca-6\">CA-6</a>, <a href=\"#ca-7\">CA-7</a>, <a href=\"#ca-8\">CA-8</a>, <a href=\"#ca-9\">CA-9</a>, <a href=\"#cm-2\">CM-2</a>, <a href=\"#cm-3\">CM-3</a>, <a href=\"#cm-4\">CM-4</a>, <a href=\"#cm-6\">CM-6</a>, <a href=\"#cm-8\">CM-8</a>, <a href=\"#cm-9\">CM-9</a>, <a href=\"#cm-12\">CM-12</a>, <a href=\"#cm-13\">CM-13</a>, <a href=\"#cp-2\">CP-2</a>, <a href=\"#ir-6\">IR-6</a>, <a href=\"#ir-8\">IR-8</a>, <a href=\"#ma-2\">MA-2</a>, <a href=\"#ma-4\">MA-4</a>, <a href=\"#pe-2\">PE-2</a>, <a href=\"#pe-8\">PE-8</a>, <a href=\"#pe-16\">PE-16</a>, <a href=\"#pe-17\">PE-17</a>, <a href=\"#pl-2\">PL-2</a>, <a href=\"#pl-4\">PL-4</a>, <a href=\"#pl-7\">PL-7</a>, <a href=\"#pl-8\">PL-8</a>, <a href=\"#pm-5\">PM-5</a>, <a href=\"#pm-8\">PM-8</a>, <a href=\"#pm-9\">PM-9</a>, <a href=\"#pm-18\">PM-18</a>, <a href=\"#pm-21\">PM-21</a>, <a href=\"#pm-27\">PM-27</a>, <a href=\"#pm-28\">PM-28</a>, <a href=\"#pm-30\">PM-30</a>, <a href=\"#pm-31\">PM-31</a>, <a href=\"#ps-2\">PS-2</a>, <a href=\"#ps-6\">PS-6</a>, <a href=\"#ps-7\">PS-7</a>, <a href=\"#pt-2\">PT-2</a>, <a href=\"#pt-3\">PT-3</a>, <a href=\"#pt-7\">PT-7</a>, <a href=\"#ra-2\">RA-2</a>, <a href=\"#ra-3\">RA-3</a>, <a href=\"#ra-5\">RA-5</a>, <a href=\"#ra-8\">RA-8</a>, <a href=\"#sa-4\">SA-4</a>, <a href=\"#sa-5\">SA-5</a>, <a href=\"#sa-8\">SA-8</a>, <a href=\"#sa-10\">SA-10</a>, <a href=\"#si-4\">SI-4</a>, <a href=\"#sr-2\">SR-2</a>, <a href=\"#sr-4\">SR-4</a>, <a href=\"#sr-8\">SR-8</a>.</p>","uuid":"1521239c-3231-4af2-a8ce-a12d68b27c24","family":"System and Information Integrity","parameters":[],"subControls":null,"tests":[{"testId":"SI-12[01]","test":"Assessment Objective: Determine if information within the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Personally identifiable information processing policy.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>Federal laws, executive orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention.</li><li>Media protection policy.</li><li>Media protection procedures.</li><li>Audit findings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Personally identifiable information inventory.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information and records management, retention, and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information management, retention, and disposition.</li><li>Automated mechanisms supporting and/or implementing information management, retention, and disposition.</li></ul>","otherId":"si-12_obj-1","defaultText":null,"uuid":"ff8c705c-5646-4814-95b4-33760b5b7939"},{"testId":"SI-12[02]","test":"Assessment Objective: Determine if information within the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Personally identifiable information processing policy.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>Federal laws, executive orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention.</li><li>Media protection policy.</li><li>Media protection procedures.</li><li>Audit findings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Personally identifiable information inventory.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information and records management, retention, and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information management, retention, and disposition.</li><li>Automated mechanisms supporting and/or implementing information management, retention, and disposition.</li></ul>","otherId":"si-12_obj-2","defaultText":null,"uuid":"ae69f3e0-0caf-4731-8965-58ff44c09795"},{"testId":"SI-12[03]","test":"Assessment Objective: Determine if information output from the system is managed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Personally identifiable information processing policy.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>Federal laws, executive orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention.</li><li>Media protection policy.</li><li>Media protection procedures.</li><li>Audit findings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Personally identifiable information inventory.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information and records management, retention, and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information management, retention, and disposition.</li><li>Automated mechanisms supporting and/or implementing information management, retention, and disposition.</li></ul>","otherId":"si-12_obj-3","defaultText":null,"uuid":"e09b0dfc-ccd0-4ee5-bd2b-86a299e401a4"},{"testId":"SI-12[04]","test":"Assessment Objective: Determine if information output from the system is retained in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and operational requirements.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Personally identifiable information processing policy.</li><li>Records retention and disposition policy.</li><li>Records retention and disposition procedures.</li><li>Federal laws, executive orders, directives, policies, regulations, standards, and operational requirements applicable to information management and retention.</li><li>Media protection policy.</li><li>Media protection procedures.</li><li>Audit findings.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Personally identifiable information inventory.</li><li>Privacy impact assessment.</li><li>Privacy risk assessment documentation.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information and records management, retention, and disposition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Network administrators.</li></ul><br>Test (Select From):<ul><li>Organizational processes for information management, retention, and disposition.</li><li>Automated mechanisms supporting and/or implementing information management, retention, and disposition.</li></ul>","otherId":"si-12_obj-4","defaultText":null,"uuid":"6319d5ad-4ad8-4e49-8a17-4671bab3ac82"}],"weight":1,"title":"SI-12 - Information Management and Retention","enhancements":"","otherId":"si-12","sortId":"si-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-12"},{"objectives":[{"objectiveType":"","otherId":"si-16_smt","name":"SI-16","description":"Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, SI-16 }}.","uuid":"6f0353a3-c2bb-459d-8588-5c6a588de02a"}],"description":"<p>Implement the following controls to protect the system memory from unauthorized code execution: {{ insert: param, SI-16 }}.</p><br/><strong>Guidance</strong><p>Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Controls employed to protect memory include data execution prevention and address space layout randomization. Data execution prevention controls can either be hardware-enforced or software-enforced with hardware enforcement providing the greater strength of mechanism.</p>","uuid":"2cc45d01-5274-4637-b2b2-a590f4267e10","family":"System and Information Integrity","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"controls to be implemented to protect the system memory from unauthorized code execution are defined;","uuid":"95d521f5-b8e9-451a-9b58-75f3bb27232a","otherId":"si-16_odp","parameterId":"SI-16","text":"controls","default":" [Assignment: organization-defined controls] "}],"subControls":null,"tests":[{"testId":"SI-16","test":"Assessment Objective: Determine if \n{{ insert: param, si-16_odp }} are implemented to protect the system memory from unauthorized code execution.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>System and information integrity policy.</li><li>System and information integrity procedures.</li><li>Procedures addressing memory protection for the system.</li><li>System design documentation.</li><li>System configuration settings and associated documentation.</li><li>List of security safeguards protecting system memory from unauthorized code execution.</li><li>System audit records.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel responsible for memory protection.</li><li>Organizational personnel with information security responsibilities.</li><li>System/network administrators.</li><li>System developer.</li></ul><br>Test (Select From):<ul><li>Automated mechanisms supporting and/or implementing safeguards to protect the system memory from unauthorized code execution.</li></ul>","otherId":"si-16_obj","defaultText":null,"uuid":"b1fd7b73-f145-4b92-92e2-6eb2674b4dd9"}],"weight":1,"title":"SI-16 - Memory Protection","enhancements":"","otherId":"si-16","sortId":"si-16","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SI-16"},{"objectives":[{"objectiveType":"","otherId":"sr-1_smt.a","name":"a.","description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SR-1(a) }}:</li><ul><li>1. {{ insert: param, SR-1(a)(1) }} supply chain risk management policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;</li></ul>","uuid":"9e44932b-5c7a-4169-8cb5-952bf61da308"},{"objectiveType":"","otherId":"sr-1_smt.b","name":"b.","description":"<ul><li>b. Designate an {{ insert: param, SR-1(b) }} to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and</li></ul>","uuid":"10d088da-8231-4a93-bf7d-30bcc664bf04"},{"objectiveType":"","otherId":"sr-1_smt.c","name":"c.","description":"<ul><li>c. Review and update the current supply chain risk management:</li><ul><li>1. Policy {{ insert: param, SR-1(c)(1)-1 }} and following {{ insert: param, SR-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SR-1(c)(2)-1 }} and following {{ insert: param, SR-1(c)(2)-2 }}.</li></ul>","uuid":"bed08d45-e43a-4dfe-9579-6aad37f53c17"}],"description":"<ul><li>a. Develop, document, and disseminate to {{ insert: param, SR-1(a) }}:</li><ul><li>1. {{ insert: param, SR-1(a)(1) }} supply chain risk management policy that:</li><ul><li>(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and</li><li>(b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and</li></ul><li>2. Procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls;</li></ul><li>b. Designate an {{ insert: param, SR-1(b) }} to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures; and</li><li>c. Review and update the current supply chain risk management:</li><ul><li>1. Policy {{ insert: param, SR-1(c)(1)-1 }} and following {{ insert: param, SR-1(c)(1)-2 }} ; and</li><li>2. Procedures {{ insert: param, SR-1(c)(2)-1 }} and following {{ insert: param, SR-1(c)(2)-2 }}.</li></ul><br/><strong>Guidance</strong><p>Supply chain risk management policy and procedures address the controls in the SR family as well as supply chain-related controls in other families that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of supply chain risk management policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to supply chain risk management policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.</p>","uuid":"9ede0337-c86f-4ba3-905d-a5a53c9c361d","family":"Supply Chain Risk Management","parameters":[{"constraints":"to include chief privacy and ISSO and/or similar role or designees","displayName":"","dataType":"","guidance":"","uuid":"07c517ac-c391-42b6-887d-2189c55664bd","otherId":"sr-1_prm_1","parameterId":"SR-1(a)","text":"organization-defined personnel or roles","default":"[FedRAMP Assignment: to include chief privacy and ISSO and/or similar role or designees]"},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"2e45ac76-3960-4920-b2c2-a316be51f02a","otherId":"sr-01_odp.03","parameterId":"SR-1(a)(1)","text":"[Selection (one or more): organization-level; mission/business process-level; system-level]","default":"[Selection (one or more): organization-level; mission/business process-level; system-level]"},{"constraints":"","displayName":"","dataType":"","guidance":"an official to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures is defined;","uuid":"01a8c785-0ed8-48d0-865d-4ed4986fe4ee","otherId":"sr-01_odp.04","parameterId":"SR-1(b)","text":"official","default":" [Assignment: organization-defined official] "},{"constraints":"at least every 3 years","displayName":"","dataType":"","guidance":"the frequency at which the current supply chain risk management policy is reviewed and updated is defined;","uuid":"d5cff18f-8557-4a06-ba0e-1989c7dcac2b","otherId":"sr-01_odp.05","parameterId":"SR-1(c)(1)-1","text":"frequency","default":"[FedRAMP Assignment: at least every 3 years]"},{"constraints":"","displayName":"","dataType":"","guidance":"events that require the current supply chain risk management policy to be reviewed and updated are defined;","uuid":"6d2ed855-2b1d-41a9-b538-c7fb0d0780a1","otherId":"sr-01_odp.06","parameterId":"SR-1(c)(1)-2","text":"events","default":" [Assignment: organization-defined events] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which the current supply chain risk management procedure is reviewed and updated is defined;","uuid":"cd19ffb8-6207-4b6f-86e7-4d226207ecbc","otherId":"sr-01_odp.07","parameterId":"SR-1(c)(2)-1","text":"frequency","default":"[FedRAMP Assignment: at least annually]"},{"constraints":"significant changes","displayName":"","dataType":"","guidance":"events that require the supply chain risk management procedures to be reviewed and updated are defined;","uuid":"cbc7dcf8-24b8-449d-9c21-0327bfb070ee","otherId":"sr-01_odp.08","parameterId":"SR-1(c)(2)-2","text":"events","default":"[FedRAMP Assignment: significant changes]"}],"subControls":null,"tests":[{"testId":"SR-01a.[01]","test":"Assessment Objective: Determine if a supply chain risk management policy is developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a-1","defaultText":null,"uuid":"f587302b-0453-4563-b302-838d57d6068c"},{"testId":"SR-01a.[02]","test":"Assessment Objective: Determine if the supply chain risk management policy is disseminated to {{ insert: param, sr-01_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a-2","defaultText":null,"uuid":"6d77c21d-17d7-43c6-ba93-777549b8ff49"},{"testId":"SR-01a.[03]","test":"Assessment Objective: Determine if supply chain risk management procedures to facilitate the implementation of the supply chain risk management policy and the associated supply chain risk management controls are developed and documented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a-3","defaultText":null,"uuid":"425c72ca-41ea-4a04-88cb-4d0377bfca8a"},{"testId":"SR-01a.[04]","test":"Assessment Objective: Determine if the supply chain risk management procedures are disseminated to {{ insert: param, sr-01_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a-4","defaultText":null,"uuid":"1e12b5bc-58a3-4018-bbb9-fb6e966bad96"},{"testId":"SR-01a.01(a)[01]","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses purpose;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.a-1","defaultText":null,"uuid":"d8f8efbf-5266-4e05-9e9d-3b579dd47ba6"},{"testId":"SR-01a.01(a)[02]","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses scope; <br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.a-2","defaultText":null,"uuid":"bfdb6035-29be-4e6a-ac14-bf107725bec3"},{"testId":"SR-01a.01(a)[03]","test":"Assessment Objective: Determine if \n{{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses roles;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.a-3","defaultText":null,"uuid":"5ebdf413-a7f9-44f9-9e91-2b094c1ea5e8"},{"testId":"SR-01a.01(a)[04]","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses responsibilities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.a-4","defaultText":null,"uuid":"0a0da4d7-26b6-4f8c-a72b-06b57d0e10ff"},{"testId":"SR-01a.01(a)[05]","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses management commitment;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.a-5","defaultText":null,"uuid":"cbed580c-dc33-4548-88f6-4b25146e104d"},{"testId":"SR-01a.01(a)[06]","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses coordination among organizational entities;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.a-6","defaultText":null,"uuid":"1eb5c65a-382a-4d10-90a8-0f6dac5a6c16"},{"testId":"SR-01a.01(a)[07]","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy addresses compliance.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.a-7","defaultText":null,"uuid":"3bcb175c-466f-4d93-bd61-577a8d0ff817"},{"testId":"SR-01a.01(b)","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.03 }} supply chain risk management policy is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.a.1.b","defaultText":null,"uuid":"36c11b96-24e8-4e1b-aeab-b4fbb4f40c41"},{"testId":"SR-01b.","test":"Assessment Objective: Determine if the {{ insert: param, sr-01_odp.04 }} is designated to manage the development, documentation, and dissemination of the supply chain risk management policy and procedures;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.b","defaultText":null,"uuid":"5cd78f5f-dbaf-405f-b47a-7e4e0243a53c"},{"testId":"SR-01c.01[01]","test":"Assessment Objective: Determine if the current supply chain risk management policy is reviewed and updated {{ insert: param, sr-01_odp.05 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.c.1-1","defaultText":null,"uuid":"6a8cb778-7fe2-4fad-b398-e324fcf45c0d"},{"testId":"SR-01c.01[02]","test":"Assessment Objective: Determine if the current supply chain risk management policy is reviewed and updated following {{ insert: param, sr-01_odp.06 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.c.1-2","defaultText":null,"uuid":"e2222d83-1c3e-48b7-9a09-0fb44dd53fb3"},{"testId":"SR-01c.02[01]","test":"Assessment Objective: Determine if the current supply chain risk management procedures are reviewed and updated {{ insert: param, sr-01_odp.07 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.c.2-1","defaultText":null,"uuid":"3aeb7122-2510-4e8f-b7d5-3f354f559f59"},{"testId":"SR-01c.02[02]","test":"Assessment Objective: Determine if the current supply chain risk management procedures are reviewed and updated following {{ insert: param, sr-01_odp.08 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li></ul>","otherId":"sr-1_obj.c.2-2","defaultText":null,"uuid":"e654093a-b610-4b45-851d-77d64aa24666"}],"weight":1,"title":"SR-01 - Policy and Procedures","enhancements":"","otherId":"sr-1","sortId":"sr-01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-1"},{"objectives":[{"objectiveType":"","otherId":"sr-2.1_smt","name":"SR-2(1)","description":"Establish a supply chain risk management team consisting of {{ insert: param, SR-2(1)-1 }} to lead and support the following SCRM activities: {{ insert: param, SR-2(1)-2 }}.","uuid":"6e75dc58-a82b-46ab-81b1-86400084036e"}],"description":"<p>Establish a supply chain risk management team consisting of {{ insert: param, SR-2(1)-1 }} to lead and support the following SCRM activities: {{ insert: param, SR-2(1)-2 }}.</p><br/><strong>Guidance</strong><p>To implement supply chain risk management plans, organizations establish a coordinated, team-based approach to identify and assess supply chain risks and manage these risks by using programmatic and technical mitigation techniques. The team approach enables organizations to conduct an analysis of their supply chain, communicate with internal and external partners or stakeholders, and gain broad consensus regarding the appropriate resources for SCRM. The SCRM team consists of organizational personnel with diverse roles and responsibilities for leading and supporting SCRM activities, including risk executive, information technology, contracting, information security, privacy, mission or business, legal, supply chain and logistics, acquisition, business continuity, and other relevant functions. Members of the SCRM team are involved in various aspects of the SDLC and, collectively, have an awareness of and provide expertise in acquisition processes, legal practices, vulnerabilities, threats, and attack vectors, as well as an understanding of the technical aspects and dependencies of systems. The SCRM team can be an extension of the security and privacy risk management processes or be included as part of an organizational risk management team.</p>","uuid":"e822bcb0-fba2-4639-a754-7dfc771af029","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the personnel, roles, and responsibilities of the supply chain risk management team are defined;","uuid":"1b97fa99-839e-43a0-adc5-a5fdd122ab08","otherId":"sr-02.01_odp.01","parameterId":"SR-2(1)-1","text":"personnel, roles and responsibilities","default":" [Assignment: organization-defined personnel, roles and responsibilities] "},{"constraints":"","displayName":"","dataType":"","guidance":"supply chain risk management activities are defined;","uuid":"efb9339e-a604-4d4e-b07b-0c4559013091","otherId":"sr-02.01_odp.02","parameterId":"SR-2(1)-2","text":"supply chain risk management activities","default":" [Assignment: organization-defined supply chain risk management activities] "}],"subControls":null,"tests":[{"testId":"SR-02(01)","test":"Assessment Objective: Determine if a supply chain risk management team consisting of {{ insert: param, sr-02.01_odp.01 }} is established to lead and support {{ insert: param, sr-02.01_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management team charter documentation.</li><li>Supply chain risk management strategy.</li><li>Supply chain risk management implementation plan.</li><li>Procedures addressing supply chain protection.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with enterprise risk management responsibilities.</li><li>Legal counsel.</li><li>Organizational personnel with business continuity responsibilities.</li></ul>","otherId":"sr-2.1_obj","defaultText":null,"uuid":"e55ce8b7-3eed-4185-b110-4bf7dbe9aa08"}],"weight":1,"title":"SR-02(01) - Establish SCRM Team","enhancements":null,"otherId":"sr-2.1","sortId":"sr-02.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-2(1)"},{"objectives":[{"objectiveType":"","otherId":"sr-2_smt.a","name":"a.","description":"<ul><li>a. Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of the following systems, system components or system services: {{ insert: param, SR-2(a) }};</li></ul>","uuid":"300cd346-975b-49b3-8afc-ba116be2a15b"},{"objectiveType":"","otherId":"sr-2_smt.b","name":"b.","description":"<ul><li>b. Review and update the supply chain risk management plan {{ insert: param, SR-2(b) }} or as required, to address threat, organizational or environmental changes; and</li></ul>","uuid":"7ce5b572-e67c-431a-9961-dd63d95ad27d"},{"objectiveType":"","otherId":"sr-2_smt.c","name":"c.","description":"<ul><li>c. Protect the supply chain risk management plan from unauthorized disclosure and modification.</li></ul>","uuid":"f6ac600b-d284-4a1f-8540-31da234c9785"}],"description":"<ul><li>a. Develop a plan for managing supply chain risks associated with the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of the following systems, system components or system services: {{ insert: param, SR-2(a) }};</li><li>b. Review and update the supply chain risk management plan {{ insert: param, SR-2(b) }} or as required, to address threat, organizational or environmental changes; and</li><li>c. Protect the supply chain risk management plan from unauthorized disclosure and modification.</li></ul><br/><strong>Guidance</strong><p>The dependence on products, systems, and services from external providers, as well as the nature of the relationships with those providers, present an increasing level of risk to an organization. Threat actions that may increase security or privacy risks include unauthorized production, the insertion or use of counterfeits, tampering, theft, insertion of malicious software and hardware, and poor manufacturing and development practices in the supply chain. Supply chain risks can be endemic or systemic within a system element or component, a system, an organization, a sector, or the Nation. Managing supply chain risk is a complex, multifaceted undertaking that requires a coordinated effort across an organization to build trust relationships and communicate with internal and external stakeholders. Supply chain risk management (SCRM) activities include identifying and assessing risks, determining appropriate risk response actions, developing SCRM plans to document response actions, and monitoring performance against plans. The SCRM plan (at the system-level) is implementation specific, providing policy implementation, requirements, constraints and implications. It can either be stand-alone, or incorporated into system security and privacy plans. The SCRM plan addresses managing, implementation, and monitoring of SCRM controls and the development/sustainment of systems across the SDLC to support mission and business functions.</p><p>Because supply chains can differ significantly across and within organizations, SCRM plans are tailored to the individual program, organizational, and operational contexts. Tailored SCRM plans provide the basis for determining whether a technology, service, system component, or system is fit for purpose, and as such, the controls need to be tailored accordingly. Tailored SCRM plans help organizations focus their resources on the most critical mission and business functions based on mission and business requirements and their risk environment. Supply chain risk management plans include an expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the plan, a description of and justification for supply chain risk mitigation measures taken, and associated roles and responsibilities. Finally, supply chain risk management plans address requirements for developing trustworthy, secure, privacy-protective, and resilient system components and systems, including the application of the security design principles implemented as part of life cycle-based systems security engineering processes (see <a href=\"#sa-8\">SA-8</a>).</p>","uuid":"293806e1-b1ca-43eb-9b58-752871f8403f","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"systems, system components, or system services for which a supply chain risk management plan is developed are defined;","uuid":"8ab00627-7086-46e3-ba01-4216aa2a58c9","otherId":"sr-02_odp.01","parameterId":"SR-2(a)","text":"systems, system components, or system services","default":" [Assignment: organization-defined systems, system components, or system services] "},{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to review and update the supply chain risk management plan is defined;","uuid":"3b999eb5-0dde-4d83-a418-61c6c5cb1531","otherId":"sr-02_odp.02","parameterId":"SR-2(b)","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"SR-02a.[01]","test":"Assessment Objective: Determine if a plan for managing supply chain risks is developed;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-1","defaultText":null,"uuid":"75f1c1dd-070e-4ea1-8fb2-d66efde18447"},{"testId":"SR-02a.[02]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the research and development of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-2","defaultText":null,"uuid":"63e5a409-7695-41db-b642-1fb7975bae54"},{"testId":"SR-02a.[03]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the design of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-3","defaultText":null,"uuid":"a154f25d-4ddd-497f-8589-8c8b381c0114"},{"testId":"SR-02a.[04]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the manufacturing of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-4","defaultText":null,"uuid":"7a822bca-d62e-4334-97ff-82d169151ec7"},{"testId":"SR-02a.[05]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the acquisition of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-5","defaultText":null,"uuid":"8e7ad13d-a595-4984-94af-b7b9c4b93b36"},{"testId":"SR-02a.[06]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the delivery of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-6","defaultText":null,"uuid":"a1780380-0323-4aa6-a12a-fa4bd1aa05b2"},{"testId":"SR-02a.[07]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the integration of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-7","defaultText":null,"uuid":"116a5aab-dcf1-4c70-80c5-a099e7837e2f"},{"testId":"SR-02a.[08]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the operation and maintenance of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-8","defaultText":null,"uuid":"f0c7b277-baee-442c-a88a-2dd39ecc784f"},{"testId":"SR-02a.[09]","test":"Assessment Objective: Determine if the supply chain risk management plan addresses risks associated with the disposal of {{ insert: param, sr-02_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.a-9","defaultText":null,"uuid":"6e2c08c5-58e7-48f8-a3e9-21762178f629"},{"testId":"SR-02b.","test":"Assessment Objective: Determine if the supply chain risk management plan is reviewed and updated {{ insert: param, sr-02_odp.02 }} or as required to address threat, organizational, or environmental changes;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.b","defaultText":null,"uuid":"a59ea828-e964-4e77-8c74-f653924993e5"},{"testId":"SR-02c.[01]","test":"Assessment Objective: Determine if the supply chain risk management plan is protected from unauthorized disclosure;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.c-1","defaultText":null,"uuid":"84147918-0827-4353-b298-4196909e12ca"},{"testId":"SR-02c.[02]","test":"Assessment Objective: Determine if the supply chain risk management plan is protected from unauthorized modification.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures for protecting the supply chain risk management plan from unauthorized disclosure and modification.</li><li>System development life cycle procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>List of supply chain threats.</li><li>List of safeguards to be taken against supply chain threats.</li><li>System life cycle documentation.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Privacy plan.</li><li>Privacy program plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and documenting the system development life cycle (sdlc).</li><li>Organizational processes for identifying sdlc roles and responsibilities.</li><li>Organizational processes for integrating supply chain risk management into the sdlc.</li><li>Mechanisms supporting and/or implementing the sdlc.</li></ul>","otherId":"sr-2_obj.c-2","defaultText":null,"uuid":"e949128c-58e8-4411-adbc-c222119d9b4b"}],"weight":1,"title":"SR-02 - Supply Chain Risk Management Plan","enhancements":"<strong>Enhancements</strong><ul><li>SR-2(1) - Establish SCRM Team</li></ul>","otherId":"sr-2","sortId":"sr-02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-2"},{"objectives":[{"objectiveType":"","otherId":"sr-3_smt.a","name":"a.","description":"<ul><li>a. Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, SR-3(a)-1 }} in coordination with {{ insert: param, SR-3(a)-2 }};</li></ul>","uuid":"5bb2998a-25f5-41f0-bce1-b07d9e157940"},{"objectiveType":"","otherId":"sr-3_smt.b","name":"b.","description":"<ul><li>b. Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: {{ insert: param, SR-3(b) }} ; and</li></ul>","uuid":"561fe9e2-48d5-41f6-acd1-32650e1642a6"},{"objectiveType":"","otherId":"sr-3_smt.c","name":"c.","description":"<ul><li>c. Document the selected and implemented supply chain processes and controls in {{ insert: param, SR-3(c) }}.</li></ul>","uuid":"94cf7dfa-f067-45f0-b128-3af8906acb34"}],"description":"<ul><li>a. Establish a process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, SR-3(a)-1 }} in coordination with {{ insert: param, SR-3(a)-2 }};</li><li>b. Employ the following controls to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events: {{ insert: param, SR-3(b) }} ; and</li><li>c. Document the selected and implemented supply chain processes and controls in {{ insert: param, SR-3(c) }}.</li></ul><br/><strong>Guidance</strong><p>Supply chain elements include organizations, entities, or tools employed for the research and development, design, manufacturing, acquisition, delivery, integration, operations and maintenance, and disposal of systems and system components. Supply chain processes include hardware, software, and firmware development processes; shipping and handling procedures; personnel security and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the development, acquisition, maintenance and disposal of systems and system components. Supply chain elements and processes may be provided by organizations, system integrators, or external providers. Weaknesses or deficiencies in supply chain elements or processes represent potential vulnerabilities that can be exploited by adversaries to cause harm to the organization and affect its ability to carry out its core missions or business functions. Supply chain personnel are individuals with roles and responsibilities in the supply chain.</p><br/><strong>SR-3 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> CSO must document and maintain the supply chain custody, including replacement devices, to ensure the integrity of the devices before being introduced to the boundary.</li></ul>","uuid":"61459682-ec21-46ee-8434-7a0345a8120e","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"the system or system component requiring a process or processes to identify and address weaknesses or deficiencies is defined;","uuid":"de26077e-dbe5-449e-9072-f55209a69632","otherId":"sr-03_odp.01","parameterId":"SR-3(a)-1","text":"system or system component","default":" [Assignment: organization-defined system or system component] "},{"constraints":"","displayName":"","dataType":"","guidance":"supply chain personnel with whom to coordinate the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes is/are defined;","uuid":"b7cdfeac-09dc-4158-a5af-4706d3fad4d9","otherId":"sr-03_odp.02","parameterId":"SR-3(a)-2","text":"supply chain personnel","default":" [Assignment: organization-defined supply chain personnel] "},{"constraints":"","displayName":"","dataType":"","guidance":"supply chain controls employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events are defined;","uuid":"d0276c8d-6fd6-4199-beec-f1d49c46c804","otherId":"sr-03_odp.03","parameterId":"SR-3(b)","text":"supply chain controls","default":" [Assignment: organization-defined supply chain controls] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"0d853297-4e5d-45c4-867f-a2138fd6557e","otherId":"sr-03_odp.04","parameterId":"SR-3(c)","text":"[Selection (one or more): security and privacy plans; supply chain risk management plan; [(NESTED PARAMETER) Assignment for sr-03_odp.05: document]]","default":"[Selection (one or more): security and privacy plans; supply chain risk management plan; [(NESTED PARAMETER) Assignment for sr-03_odp.05: document]]"}],"subControls":null,"tests":[{"testId":"SR-03a.[01]","test":"Assessment Objective: Determine if a process or processes is/are established to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management strategy.</li><li>Supply chain risk management plan.</li><li>Systems and critical system components inventory documentation.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation (including purchase orders).</li><li>Service level agreements.</li><li>Acquisition contracts for systems or services.</li><li>Risk register documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying and addressing supply chain element and process deficiencies.</li></ul>","otherId":"sr-3_obj.a-1","defaultText":null,"uuid":"64054a76-d69e-4cc4-9c72-807b9f165490"},{"testId":"SR-03a.[02]","test":"Assessment Objective: Determine if the process or processes to identify and address weaknesses or deficiencies in the supply chain elements and processes of {{ insert: param, sr-03_odp.01 }} is/are coordinated with {{ insert: param, sr-03_odp.02 }};<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management strategy.</li><li>Supply chain risk management plan.</li><li>Systems and critical system components inventory documentation.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation (including purchase orders).</li><li>Service level agreements.</li><li>Acquisition contracts for systems or services.</li><li>Risk register documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying and addressing supply chain element and process deficiencies.</li></ul>","otherId":"sr-3_obj.a-2","defaultText":null,"uuid":"c69e26fd-a721-4844-900f-4f16f2fc6c88"},{"testId":"SR-03b.","test":"Assessment Objective: Determine if \n{{ insert: param, sr-03_odp.03 }} are employed to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management strategy.</li><li>Supply chain risk management plan.</li><li>Systems and critical system components inventory documentation.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation (including purchase orders).</li><li>Service level agreements.</li><li>Acquisition contracts for systems or services.</li><li>Risk register documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying and addressing supply chain element and process deficiencies.</li></ul>","otherId":"sr-3_obj.b","defaultText":null,"uuid":"1f9d8eff-369e-43e5-8f83-4b0a0fa9b05b"},{"testId":"SR-03c.","test":"Assessment Objective: Determine if the selected and implemented supply chain processes and controls are documented in {{ insert: param, sr-03_odp.04 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management strategy.</li><li>Supply chain risk management plan.</li><li>Systems and critical system components inventory documentation.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation (including purchase orders).</li><li>Service level agreements.</li><li>Acquisition contracts for systems or services.</li><li>Risk register documentation.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for identifying and addressing supply chain element and process deficiencies.</li></ul>","otherId":"sr-3_obj.c","defaultText":null,"uuid":"b0f9309f-f81e-4c04-9835-5532dd65eb81"}],"weight":1,"title":"SR-03 - Supply Chain Controls and Processes","enhancements":"","otherId":"sr-3","sortId":"sr-03","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-3"},{"objectives":[{"objectiveType":"","otherId":"sr-5_smt","name":"SR-5","description":"Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: {{ insert: param, SR-5 }}.","uuid":"1b26eb86-87f1-4b17-80bc-994ac60f19b2"}],"description":"<p>Employ the following acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks: {{ insert: param, SR-5 }}.</p><br/><strong>Guidance</strong><p>The use of the acquisition process provides an important vehicle to protect the supply chain. There are many useful tools and techniques available, including obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can guide and inform the strategies, tools, and methods that are most applicable to the situation. Tools and techniques may provide protections against unauthorized production, theft, tampering, insertion of counterfeits, insertion of malicious software or backdoors, and poor development practices throughout the system development life cycle. Organizations also consider providing incentives for suppliers who implement controls, promote transparency into their processes and security and privacy practices, provide contract language that addresses the prohibition of tainted or counterfeit components, and restrict purchases from untrustworthy suppliers. Organizations consider providing training, education, and awareness programs for personnel regarding supply chain risk, available mitigation strategies, and when the programs should be employed. Methods for reviewing and protecting development plans, documentation, and evidence are commensurate with the security and privacy requirements of the organization. Contracts may specify documentation protection requirements.</p>","uuid":"9abb9c6f-52a9-4a61-9787-e2bf273e3ab2","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"acquisition strategies, contract tools, and procurement methods to protect against, identify, and mitigate supply chain risks are defined;","uuid":"1523046b-0310-4f8e-9f0f-6e66c24fbb90","otherId":"sr-05_odp","parameterId":"SR-5","text":"strategies, tools, and methods","default":" [Assignment: organization-defined strategies, tools, and methods] "}],"subControls":null,"tests":[{"testId":"SR-05[01]","test":"Assessment Objective: Determine if \n{{ insert: param, sr-05_odp }} are employed to protect against supply chain risks;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation (including purchase orders).</li><li>Service level agreements.</li><li>Acquisition contracts for systems, system components, or services.</li><li>Documentation of training, education, and awareness programs for personnel regarding supply chain risk.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods.</li><li>Mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods.</li></ul>","otherId":"sr-5_obj-1","defaultText":null,"uuid":"de284d67-4b75-4f06-8a9a-4f3230410532"},{"testId":"SR-05[02]","test":"Assessment Objective: Determine if \n{{ insert: param, sr-05_odp }} are employed to identify supply chain risks;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation (including purchase orders).</li><li>Service level agreements.</li><li>Acquisition contracts for systems, system components, or services.</li><li>Documentation of training, education, and awareness programs for personnel regarding supply chain risk.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods.</li><li>Mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods.</li></ul>","otherId":"sr-5_obj-2","defaultText":null,"uuid":"2faa186d-f676-487d-9445-83bb43807d46"},{"testId":"SR-05[03]","test":"Assessment Objective: Determine if \n{{ insert: param, sr-05_odp }} are employed to mitigate supply chain risks.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy.</li><li>Supply chain risk management procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>System and services acquisition procedures.</li><li>Procedures addressing supply chain protection.</li><li>Procedures addressing the integration of information security and privacy requirements into the acquisition process.</li><li>Solicitation documentation.</li><li>Acquisition documentation (including purchase orders).</li><li>Service level agreements.</li><li>Acquisition contracts for systems, system components, or services.</li><li>Documentation of training, education, and awareness programs for personnel regarding supply chain risk.</li><li>System security plan.</li><li>Privacy plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with acquisition responsibilities.</li><li>Organizational personnel with information security and privacy responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods.</li><li>Mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods.</li></ul>","otherId":"sr-5_obj-3","defaultText":null,"uuid":"3b3f15f0-da99-40ca-a252-fd22c17294ca"}],"weight":1,"title":"SR-05 - Acquisition Strategies, Tools, and Methods","enhancements":"","otherId":"sr-5","sortId":"sr-05","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-5"},{"objectives":[{"objectiveType":"","otherId":"sr-6_smt","name":"SR-6","description":"Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, SR-6 }}.","uuid":"8347bde4-a0c4-41e6-b1c0-688878ffe057"}],"description":"<p>Assess and review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide {{ insert: param, SR-6 }}.</p><br/><strong>Guidance</strong><p>An assessment and review of supplier risk includes security and supply chain risk management processes, foreign ownership, control or influence (FOCI), and the ability of the supplier to effectively assess subordinate second-tier and third-tier suppliers and contractors. The reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, all-source intelligence, and publicly available information related to the supplier or contractor. Organizations can use open-source information to monitor for indications of stolen information, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate or required to share assessment and review results with other organizations in accordance with any applicable rules, policies, or inter-organizational agreements or contracts.</p><br/><strong>SR-6 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> CSOs must ensure that their supply chain vendors build and test their systems in alignment with NIST SP 800-171 or a commensurate security and compliance framework. CSOs must ensure that vendors are compliant with physical facility access and logical access controls to supplied products.</li></ul>","uuid":"22e162cb-8a85-4940-bb13-2f8422da6a2f","family":"Supply Chain Risk Management","parameters":[{"constraints":"at least annually","displayName":"","dataType":"","guidance":"the frequency at which to assess and review the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide is defined;","uuid":"87aee44f-26b2-46c2-a71c-02293974bc0e","otherId":"sr-06_odp","parameterId":"SR-6","text":"frequency","default":"[FedRAMP Assignment: at least annually]"}],"subControls":null,"tests":[{"testId":"SR-06","test":"Assessment Objective: Determine if the supply chain-related risks associated with suppliers or contractors and the systems, system components, or system services they provide are assessed and reviewed {{ insert: param, sr-06_odp }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management strategy.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Procedures addressing supply chain protection.</li><li>Procedures addressing the integration of information security requirements into the acquisition process.</li><li>Records of supplier due diligence reviews.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for conducting supplier reviews.</li><li>Mechanisms supporting and/or implementing supplier reviews.</li></ul>","otherId":"sr-6_obj","defaultText":null,"uuid":"07415197-5375-45ae-94eb-1808eac2a3ec"}],"weight":1,"title":"SR-06 - Supplier Assessments and Reviews","enhancements":"","otherId":"sr-6","sortId":"sr-06","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-6"},{"objectives":[{"objectiveType":"","otherId":"sr-8_smt","name":"SR-8","description":"Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the {{ insert: param, SR-8 }}.","uuid":"8aef5c4b-5e7c-4c22-bc06-813aa274f48f"}],"description":"<p>Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the {{ insert: param, SR-8 }}.</p><br/><strong>Guidance</strong><p>The establishment of agreements and procedures facilitates communications among supply chain entities. Early notification of compromises and potential compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems or system components is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes.</p><br/><strong>SR-8 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> CSOs must ensure and document how they receive notifications from their supply chain vendor of newly discovered vulnerabilities including zero-day vulnerabilities.</li></ul>","uuid":"5ec3376e-fc67-455b-b27f-f87a6ae74429","family":"Supply Chain Risk Management","parameters":[{"constraints":"notification of supply chain compromises and results of assessment or audits","displayName":"","dataType":"","guidance":"","uuid":"ef8e5d0d-5af1-40e0-8190-9c4c42cfcf10","otherId":"sr-08_odp.01","parameterId":"SR-8","text":"[Selection (one or more): notification of supply chain compromises; [(NESTED PARAMETER) Assignment for sr-08_odp.02: results of assessments or audits]]","default":"[FedRAMP Assignment: notification of supply chain compromises and results of assessment or audits]"}],"subControls":null,"tests":[{"testId":"SR-08","test":"Assessment Objective: Determine if agreements and procedures are established with entities involved in the supply chain for the system, system components, or system service for {{ insert: param, sr-08_odp.01 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Procedures addressing supply chain protection.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities.</li></ul>","otherId":"sr-8_obj","defaultText":null,"uuid":"f0ac56fc-9047-4f61-8f99-fc5e1e9ee82f"}],"weight":1,"title":"SR-08 - Notification Agreements","enhancements":"","otherId":"sr-8","sortId":"sr-08","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-8"},{"objectives":[{"objectiveType":"","otherId":"sr-10_smt","name":"SR-10","description":"Inspect the following systems or system components {{ insert: param, SR-10-1 }} to detect tampering: {{ insert: param, SR-10-2 }}.","uuid":"d447b148-6237-435c-8e65-634db2e4319f"}],"description":"<p>Inspect the following systems or system components {{ insert: param, SR-10-1 }} to detect tampering: {{ insert: param, SR-10-2 }}.</p><br/><strong>Guidance</strong><p>The inspection of systems or systems components for tamper resistance and detection addresses physical and logical tampering and is applied to systems and system components removed from organization-controlled areas. Indications of a need for inspection include changes in packaging, specifications, factory location, or entity in which the part is purchased, and when individuals return from travel to high-risk locations.</p>","uuid":"3f470105-56f0-4de1-9b6f-62f5e8742706","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"systems or system components that require inspection are defined;","uuid":"28136b32-a095-44ab-a308-0712c201f0e6","otherId":"sr-10_odp.01","parameterId":"SR-10-2","text":"systems or system components","default":" [Assignment: organization-defined systems or system components] "},{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"bec9d071-de1a-46ee-9dcc-799163d225b9","otherId":"sr-10_odp.02","parameterId":"SR-10-1","text":"[Selection (one or more): at random; at [(NESTED PARAMETER) Assignment for sr-10_odp.03: frequency]; upon [(NESTED PARAMETER) Assignment for sr-10_odp.04: indications of need for inspection]]","default":"[Selection (one or more): at random; at [(NESTED PARAMETER) Assignment for sr-10_odp.03: frequency]; upon [(NESTED PARAMETER) Assignment for sr-10_odp.04: indications of need for inspection]]"}],"subControls":null,"tests":[{"testId":"SR-10","test":"Assessment Objective: Determine if \n{{ insert: param, sr-10_odp.01 }} are inspected {{ insert: param, sr-10_odp.02 }} to detect tampering.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Records of random inspections.</li><li>Inspection reports/results.</li><li>Assessment reports/results.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities.</li><li>Organizational processes to inspect for tampering.</li></ul>","otherId":"sr-10_obj","defaultText":null,"uuid":"7ebb67d3-a5e2-4008-8a22-6cc77188cc23"}],"weight":1,"title":"SR-10 - Inspection of Systems or Components","enhancements":"","otherId":"sr-10","sortId":"sr-10","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-10"},{"objectives":[{"objectiveType":"","otherId":"sr-11.1_smt","name":"SR-11(1)","description":"Train {{ insert: param, SR-11(1) }} to detect counterfeit system components (including hardware, software, and firmware).","uuid":"d3b2a044-8707-47b3-8f1b-a9bb24d05f2e"}],"description":"<p>Train {{ insert: param, SR-11(1) }} to detect counterfeit system components (including hardware, software, and firmware).</p><br/><strong>Guidance</strong><p>None.</p>","uuid":"00d1780f-9070-43f4-8c71-6e5df3eb4e6d","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"personnel or roles requiring training to detect counterfeit system components (including hardware, software, and firmware) is/are defined;","uuid":"5d49fe78-ece0-4958-aa4d-7253edf079ed","otherId":"sr-11.01_odp","parameterId":"SR-11(1)","text":"personnel or roles","default":" [Assignment: organization-defined personnel or roles] "}],"subControls":null,"tests":[{"testId":"SR-11(01)","test":"Assessment Objective: Determine if \n{{ insert: param, sr-11.01_odp }} are trained to detect counterfeit system components (including hardware, software, and firmware).<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Anti-counterfeit plan.</li><li>Anti-counterfeit policy and procedures.</li><li>Media disposal policy.</li><li>Media protection policy.</li><li>Incident response policy.</li><li>Training materials addressing counterfeit system components.</li><li>Training records on the detection and prevention of counterfeit components entering the system.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with responsibilities for anti-counterfeit policies, procedures, and training.</li></ul><br>Test (Select From):<ul><li>Organizational processes for anti-counterfeit training.</li></ul>","otherId":"sr-11.1_obj","defaultText":null,"uuid":"ed0da44f-7437-45ee-bd37-cfb5c1912172"}],"weight":1,"title":"SR-11(01) - Anti-counterfeit Training","enhancements":null,"otherId":"sr-11.1","sortId":"sr-11.01","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-11(1)"},{"objectives":[{"objectiveType":"","otherId":"sr-11.2_smt","name":"SR-11(2)","description":"Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: {{ insert: param, SR-11(2) }}.","uuid":"e99029de-b231-4983-884f-eae14023596f"}],"description":"<p>Maintain configuration control over the following system components awaiting service or repair and serviced or repaired components awaiting return to service: {{ insert: param, SR-11(2) }}.</p><br/><strong>Guidance</strong><p>None.</p>","uuid":"b36e7001-aea6-4fbc-af08-1ae605210545","family":"Supply Chain Risk Management","parameters":[{"constraints":"all","displayName":"","dataType":"","guidance":"system components requiring configuration control are defined;","uuid":"d7d6d70f-6523-434e-bdff-57b6a2862950","otherId":"sr-11.02_odp","parameterId":"SR-11(2)","text":"system components","default":"[FedRAMP Assignment: all]"}],"subControls":null,"tests":[{"testId":"SR-11(02)[01]","test":"Assessment Objective: Determine if configuration control over {{ insert: param, sr-11.02_odp }} awaiting service or repair is maintained;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>Configuration control procedures.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system component.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities.</li><li>Organizational configuration control processes.</li></ul>","otherId":"sr-11.2_obj-1","defaultText":null,"uuid":"d31da4ee-91ac-4bff-86a9-17cde9e7bbb9"},{"testId":"SR-11(02)[02]","test":"Assessment Objective: Determine if configuration control over serviced or repaired {{ insert: param, sr-11.02_odp }} awaiting return to service is maintained.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>Configuration control procedures.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system component.</li><li>Inter-organizational agreements and procedures.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and services acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational processes for establishing inter-organizational agreements and procedures with supply chain entities.</li><li>Organizational configuration control processes.</li></ul>","otherId":"sr-11.2_obj-2","defaultText":null,"uuid":"95fc6d18-9c63-4e19-9b07-d11e11fa597a"}],"weight":1,"title":"SR-11(02) - Configuration Control for Component Service and Repair","enhancements":null,"otherId":"sr-11.2","sortId":"sr-11.02","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-11(2)"},{"objectives":[{"objectiveType":"","otherId":"sr-11_smt.a","name":"a.","description":"<ul><li>a. Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and</li></ul>","uuid":"5d4495a3-ccca-4139-a50e-81cd6682cf7d"},{"objectiveType":"","otherId":"sr-11_smt.b","name":"b.","description":"<ul><li>b. Report counterfeit system components to {{ insert: param, SR-11(b) }}.</li></ul>","uuid":"bfef1030-c20a-4bf5-b8c9-e8182bf0cd46"}],"description":"<ul><li>a. Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and</li><li>b. Report counterfeit system components to {{ insert: param, SR-11(b) }}.</li></ul><br/><strong>Guidance</strong><p>Sources of counterfeit components include manufacturers, developers, vendors, and contractors. Anti-counterfeiting policies and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include CISA.</p><br/><strong>SR-11 Additional FedRAMP Requirements and Guidance</strong><ul><li><b>Requirement:</b> CSOs must ensure that their supply chain vendors provide authenticity of software and patches and the vendor must have a plan to protect the development pipeline.</li></ul>","uuid":"8cef1737-53b6-4bbc-9af0-8982a591dee4","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"","uuid":"1e98ea8d-d523-4315-aaca-7529f1a142a2","otherId":"sr-11_odp.01","parameterId":"SR-11(b)","text":"[Selection (one or more): source of counterfeit component; [(NESTED PARAMETER) Assignment for sr-11_odp.02: external reporting organizations]; [(NESTED PARAMETER) Assignment for sr-11_odp.03: personnel or roles]]","default":"[Selection (one or more): source of counterfeit component; [(NESTED PARAMETER) Assignment for sr-11_odp.02: external reporting organizations]; [(NESTED PARAMETER) Assignment for sr-11_odp.03: personnel or roles]]"}],"subControls":null,"tests":[{"testId":"SR-11a.[01]","test":"Assessment Objective: Determine if an anti-counterfeit policy is developed and implemented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Anti-counterfeit plan.</li><li>Anti-counterfeit policy and procedures.</li><li>Media disposal policy.</li><li>Media protection policy.</li><li>Incident response policy.</li><li>Reports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Inter-organizational agreements and procedures.</li><li>Records of reported counterfeit system components.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting.</li></ul><br>Test (Select From):<ul><li>Organizational processes for counterfeit prevention, detection, and reporting.</li><li>Mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting.</li></ul>","otherId":"sr-11_obj.a-1","defaultText":null,"uuid":"d589e48c-1cfc-4be5-b080-212b2d93e6ca"},{"testId":"SR-11a.[02]","test":"Assessment Objective: Determine if anti-counterfeit procedures are developed and implemented;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Anti-counterfeit plan.</li><li>Anti-counterfeit policy and procedures.</li><li>Media disposal policy.</li><li>Media protection policy.</li><li>Incident response policy.</li><li>Reports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Inter-organizational agreements and procedures.</li><li>Records of reported counterfeit system components.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting.</li></ul><br>Test (Select From):<ul><li>Organizational processes for counterfeit prevention, detection, and reporting.</li><li>Mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting.</li></ul>","otherId":"sr-11_obj.a-2","defaultText":null,"uuid":"c0f7ff09-f4f1-4341-8ee7-165899754f56"},{"testId":"SR-11a.[03]","test":"Assessment Objective: Determine if the anti-counterfeit procedures include the means to detect counterfeit components entering the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Anti-counterfeit plan.</li><li>Anti-counterfeit policy and procedures.</li><li>Media disposal policy.</li><li>Media protection policy.</li><li>Incident response policy.</li><li>Reports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Inter-organizational agreements and procedures.</li><li>Records of reported counterfeit system components.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting.</li></ul><br>Test (Select From):<ul><li>Organizational processes for counterfeit prevention, detection, and reporting.</li><li>Mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting.</li></ul>","otherId":"sr-11_obj.a-3","defaultText":null,"uuid":"c88b55b2-ecf2-4580-8f84-a0a46d557ccb"},{"testId":"SR-11a.[04]","test":"Assessment Objective: Determine if the anti-counterfeit procedures include the means to prevent counterfeit components from entering the system;<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Anti-counterfeit plan.</li><li>Anti-counterfeit policy and procedures.</li><li>Media disposal policy.</li><li>Media protection policy.</li><li>Incident response policy.</li><li>Reports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Inter-organizational agreements and procedures.</li><li>Records of reported counterfeit system components.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting.</li></ul><br>Test (Select From):<ul><li>Organizational processes for counterfeit prevention, detection, and reporting.</li><li>Mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting.</li></ul>","otherId":"sr-11_obj.a-4","defaultText":null,"uuid":"3658b036-7814-4423-97df-60f3c2d05f9f"},{"testId":"SR-11b.","test":"Assessment Objective: Determine if counterfeit system components are reported to {{ insert: param, sr-11_odp.01 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>System and services acquisition policy.</li><li>Anti-counterfeit plan.</li><li>Anti-counterfeit policy and procedures.</li><li>Media disposal policy.</li><li>Media protection policy.</li><li>Incident response policy.</li><li>Reports notifying developers, manufacturers, vendors, contractors, and/or external reporting organizations of counterfeit system components.</li><li>Acquisition documentation.</li><li>Service level agreements.</li><li>Acquisition contracts for the system, system component, or system service.</li><li>Inter-organizational agreements and procedures.</li><li>Records of reported counterfeit system components.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system and service acquisition responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain risk management responsibilities.</li><li>Organizational personnel with responsibilities for anti-counterfeit policies, procedures, and reporting.</li></ul><br>Test (Select From):<ul><li>Organizational processes for counterfeit prevention, detection, and reporting.</li><li>Mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting.</li></ul>","otherId":"sr-11_obj.b","defaultText":null,"uuid":"e6d79aa3-ad26-4594-b2f6-f77048b79df0"}],"weight":1,"title":"SR-11 - Component Authenticity","enhancements":"<strong>Enhancements</strong><ul><li>SR-11(1) - Anti-counterfeit Training</li><li>SR-11(2) - Configuration Control for Component Service and Repair</li></ul>","otherId":"sr-11","sortId":"sr-11","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-11"},{"objectives":[{"objectiveType":"","otherId":"sr-12_smt","name":"SR-12","description":"Dispose of {{ insert: param, SR-12-1 }} using the following techniques and methods: {{ insert: param, SR-12-2 }}.","uuid":"4c387bab-0c29-4e5c-8052-0a495f1e2bf0"}],"description":"<p>Dispose of {{ insert: param, SR-12-1 }} using the following techniques and methods: {{ insert: param, SR-12-2 }}.</p><br/><strong>Guidance</strong><p>Data, documentation, tools, or system components can be disposed of at any time during the system development life cycle (not only in the disposal or retirement phase of the life cycle). For example, disposal can occur during research and development, design, prototyping, or operations/maintenance and include methods such as disk cleaning, removal of cryptographic keys, partial reuse of components. Opportunities for compromise during disposal affect physical and logical data, including system documentation in paper-based or digital files; shipping and delivery documentation; memory sticks with software code; or complete routers or servers that include permanent media, which contain sensitive or proprietary information. Additionally, proper disposal of system components helps to prevent such components from entering the gray market.</p>","uuid":"95e880db-2ba5-4819-ba76-4220133a1627","family":"Supply Chain Risk Management","parameters":[{"constraints":"","displayName":"","dataType":"","guidance":"data, documentation, tools, or system components to be disposed of are defined;","uuid":"94082ef6-58fc-499f-baf5-0d990a40d53d","otherId":"sr-12_odp.01","parameterId":"SR-12-1","text":"data, documentation, tools, or system components","default":" [Assignment: organization-defined data, documentation, tools, or system components] "},{"constraints":"","displayName":"","dataType":"","guidance":"techniques and methods for disposing of data, documentation, tools, or system components are defined;","uuid":"8064cf19-6a0d-4e44-8470-bfb159ed4fc2","otherId":"sr-12_odp.02","parameterId":"SR-12-2","text":"techniques and methods","default":" [Assignment: organization-defined techniques and methods] "}],"subControls":null,"tests":[{"testId":"SR-12","test":"Assessment Objective: Determine if \n{{ insert: param, sr-12_odp.01 }} are disposed of using {{ insert: param, sr-12_odp.02 }}.<br><br><b>Potential Assessment Methods and Objects</b><br><br>Examine (Select From):<ul><li>Supply chain risk management policy and procedures.</li><li>Supply chain risk management plan.</li><li>Disposal procedures addressing supply chain protection.</li><li>Media disposal policy.</li><li>Media protection policy.</li><li>Disposal records for system components.</li><li>Documentation of the system components identified for disposal.</li><li>Documentation of the disposal techniques and methods employed for system components.</li><li>System security plan.</li><li>Other relevant documents or records.</li></ul><br>Interview (Select From):<ul><li>Organizational personnel with system component disposal responsibilities.</li><li>Organizational personnel with information security responsibilities.</li><li>Organizational personnel with supply chain protection responsibilities.</li></ul><br>Test (Select From):<ul><li>Organizational techniques and methods for system component disposal.</li><li>Mechanisms supporting and/or implementing system component disposal.</li></ul>","otherId":"sr-12_obj","defaultText":null,"uuid":"a13c176a-8a89-4891-bb43-d9a2e776af5a"}],"weight":1,"title":"SR-12 - Component Disposal","enhancements":"","otherId":"sr-12","sortId":"sr-12","relatedControls":"","ccis":[],"assessmentPlan":null,"practiceLevel":null,"references":"","mappings":null,"controlId":"SR-12"}]}}