FIPS PUB 199_______________________________________________________________FEDERAL INFORMATION PROCESSING STANDARDS PUBLICATION

Standards for Security Categorization ofFederal Information and Information Systems_______________________________________________________________

Computer Security Division
Information Technology Laboratory
National Institute of Standards and Technology
Gaithersburg, MD 20899-8900

February 2004

U.S. DEPARTMENT OF COMMERCE
Donald L. Evans, Secretary
TECHNOLOGY ADMINISTRATION
Phillip J. Bond, Under Secretary for Technology
NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY
Arden L. Bement, Jr., Director

FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________FOREWORD
The Federal Information Processing Standards Publication Series of the National Institute ofStandards and Technology (NIST) is the official series of publications relating to standards andguidelines adopted and promulgated under the provisions of Section 5131 of the Information
Technology Management Reform Act of 1996 (Public Law 104-106) and the Federal Information
Security Management Act of 2002 (Public Law 107-347). These mandates have given the Secretaryof Commerce and NIST important responsibilities for improving the utilization and management ofcomputer and related telecommunications systems in the federal government. The NIST, through its
Information Technology Laboratory, provides leadership, technical guidance, and coordination of
government efforts in the development of standards and guidelines in these areas.
Comments concerning Federal Information Processing Standards Publications are welcomed andshould be addressed to the Director, Information Technology Laboratory, National Institute ofStandards and Technology, 100 Bureau Drive, Stop 8900, Gaithersburg, MD 20899-8900.
-- SUSAN ZEVIN, ACTING DIRECTORINFORMATION TECHNOLOGY LABORATORY

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________AUTHORITY
Federal Information Processing Standards Publications (FIPS PUBS) are issued by the National
Institute of Standards and Technology (NIST) after approval by the Secretary of Commerce pursuant
to Section 5131 of the Information Technology Management Reform Act of 1996 (Public Law 104106) and the Federal Information Security Management Act of 2002 (Public Law 107-347).

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________TABLE OF CONTENTSSECTION 1

PURPOSE..................................................................................................... 1

SECTION 2

APPLICABILITY.............................................................................................. 1

SECTION 3

CATEGORIZATION OF INFORMATION AND INFORMATION SYSTEMS ................... 1

APPENDIX ATERMS AND DEFINITIONS ............................................................................... 7

APPENDIX BREFERENCES ............................................................................................... 9iv

FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________1

PURPOSEThe E-Government Act of 2002 (Public Law 107-347), passed by the one hundred and seventh
Congress and signed into law by the President in December 2002, recognized the importance of
information security to the economic and national security interests of the United States. Title III of
the E-Government Act, entitled the Federal Information Security Management Act of 2002 (FISMA),
tasked NIST with responsibilities for standards and guidelines, including the development of:•Standards to be used by all federal agencies to categorize all information and information systems
collected or maintained by or on behalf of each agency based on the objectives of providing
appropriate levels of information security according to a range of risk levels;•

Guidelines recommending the types of information and information systems to be included ineach category; and•Minimum information security requirements (i.e., management, operational, and technicalcontrols), for information and information systems in each such category.

FIPS Publication 199 addresses the first task cited—to develop standards for categorizing informationand information systems. Security categorization standards for information and information systems
provide a common framework and understanding for expressing security that, for the federal
government, promotes: (i) effective management and oversight of information security programs,
including the coordination of information security efforts throughout the civilian, national security,
emergency preparedness, homeland security, and law enforcement communities; and (ii) consistentreporting to the Office of Management and Budget (OMB) and Congress on the adequacy andeffectiveness of information security policies, procedures, and practices. Subsequent NIST standards
and guidelines will address the second and third tasks cited.

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APPLICABILITY

These standards shall apply to: (i) all information within the federal government other than that
information that has been determined pursuant to Executive Order 12958, as amended by Executive
Order 13292, or any predecessor order, or by the Atomic Energy Act of 1954, as amended, to require
protection against unauthorized disclosure and is marked to indicate its classified status; and (ii) all
federal information systems other than those information systems designated as national security
systems as defined in 44 United States Code Section 3542(b)(2). Agency officials shall use thesecurity categorizations described in FIPS Publication 199 whenever there is a federal requirement toprovide such a categorization of information or information systems. Additional security designators
may be developed and used at agency discretion. State, local, and tribal governments as well asprivate sector organizations comprising the critical infrastructure of the United States may consider
the use of these standards as appropriate. These standards are effective upon approval by the
Secretary of Commerce.

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CATEGORIZATION OF INFORMATION AND INFORMATION SYSTEMSThis publication establishes security categories for both information 1 and information systems. The
security categories are based on the potential impact on an organization should certain events occur
which jeopardize the information and information systems needed by the organization to accomplish
its assigned mission, protect its assets, fulfill its legal responsibilities, maintain its day-to-day
functions, and protect individuals. Security categories are to be used in conjunction with vulnerability
and threat information in assessing the risk to an organization.
1
Information is categorized according to its information type. An information type is a specific category of information(e.g., privacy, medical, proprietary, financial, investigative, contractor sensitive, security management) defined by anorganization or, in some instances, by a specific law, Executive Order, directive, policy, or regulation.

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________

Security Objectives
The FISMA defines three security objectives for information and information systems:
CONFIDENTIALITY“Preserving authorized restrictions on information access and disclosure, including means forprotecting personal privacy and proprietary information…” [44 U.S.C., Sec. 3542]
A loss of confidentiality is the unauthorized disclosure of information.
INTEGRITY“Guarding against improper information modification or destruction, and includes ensuring
information non-repudiation and authenticity…” [44 U.S.C., Sec. 3542]
A loss of integrity is the unauthorized modification or destruction of information.
AVAILABILITY“Ensuring timely and reliable access to and use of information…” [44 U.S.C., SEC. 3542]
A loss of availability is the disruption of access to or use of information or an information system.

Potential Impact on Organizations and Individuals
FIPS Publication 199 defines three levels of potential impact on organizations or individuals should
there be a breach of security (i.e., a loss of confidentiality, integrity, or availability). The applicationof these definitions must take place within the context of each organization and the overall national
interest.
The potential impact is LOW if—− The loss of confidentiality, integrity, or availability could be expected to have a limited adverse
effect on organizational operations, organizational assets, or individuals. 2
AMPLIFICATION: A limited adverse effect means that, for example, the loss of confidentiality,
integrity, or availability might: (i) cause a degradation in mission capability to an extent and durationthat the organization is able to perform its primary functions, but the effectiveness of the functions is
noticeably reduced; (ii) result in minor damage to organizational assets; (iii) result in minor financial
loss; or (iv) result in minor harm to individuals.
The potential impact is MODERATE if—− The loss of confidentiality, integrity, or availability could be expected to have a serious adverse
effect on organizational operations, organizational assets, or individuals.
AMPLIFICATION: A serious adverse effect means that, for example, the loss of confidentiality,
integrity, or availability might: (i) cause a significant degradation in mission capability to an extent
and duration that the organization is able to perform its primary functions, but the effectiveness of thefunctions is significantly reduced; (ii) result in significant damage to organizational assets; (iii) resultin significant financial loss; or (iv) result in significant harm to individuals that does not involve lossof life or serious life threatening injuries.

2

Adverse effects on individuals may include, but are not limited to, loss of the privacy to which individuals are entitledunder law.

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________The potential impact is HIGH if—− The loss of confidentiality, integrity, or availability could be expected to have a severe orcatastrophic adverse effect on organizational operations, organizational assets, or individuals.
AMPLIFICATION: A severe or catastrophic adverse effect means that, for example, the loss ofconfidentiality, integrity, or availability might: (i) cause a severe degradation in or loss of mission
capability to an extent and duration that the organization is not able to perform one or more of its
primary functions; (ii) result in major damage to organizational assets; (iii) result in major financial
loss; or (iv) result in severe or catastrophic harm to individuals involving loss of life or serious life
threatening injuries.

Security Categorization Applied to Information Types
The security category of an information type can be associated with both user information and system
information 3 and can be applicable to information in either electronic or non-electronic form. It canalso be used as input in considering the appropriate security category of an information system (seedescription of security categories for information systems below). Establishing an appropriate
security category of an information type essentially requires determining the potential impact for eachsecurity objective associated with the particular information type.
The generalized format for expressing the security category, SC, of an information type is:
SC information type = {(confidentiality, impact), (integrity, impact), (availability, impact)},
where the acceptable values for potential impact are LOW, MODERATE, HIGH, or NOT APPLICABLE. 4
EXAMPLE 1: An organization managing public information on its web server determines that there isno potential impact from a loss of confidentiality (i.e., confidentiality requirements are not applicable),a moderate potential impact from a loss of integrity, and a moderate potential impact from a loss ofavailability. The resulting security category, SC, of this information type is expressed as:
SC public information = {(confidentiality, NA), (integrity, MODERATE), (availability, MODERATE)}.
EXAMPLE 2: A law enforcement organization managing extremely sensitive investigative information

determines that the potential impact from a loss of confidentiality is high, the potential impact from aloss of integrity is moderate, and the potential impact from a loss of availability is moderate. The
resulting security category, SC, of this information type is expressed as:
SC investigative information = {(confidentiality, HIGH), (integrity, MODERATE), (availability, MODERATE)}.
EXAMPLE 3: A financial organization managing routine administrative information (not privacy-related
information) determines that the potential impact from a loss of confidentiality is low, the potential
impact from a loss of integrity is low, and the potential impact from a loss of availability is low. The
resulting security category, SC, of this information type is expressed as:

SC administrative information = {(confidentiality, LOW), (integrity, LOW), (availability, LOW)}.

3

System information (e.g., network routing tables, password files, and cryptographic key management information)must be protected at a level commensurate with the most critical or sensitive user information being processed, stored,
or transmitted by the information system to ensure confidentiality, integrity, and availability.
4

The potential impact value of not applicable only applies to the security objective of confidentiality.

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________

Security Categorization Applied to Information Systems
Determining the security category of an information system requires slightly more analysis and must
consider the security categories of all information types resident on the information system. For an
information system, the potential impact values assigned to the respective security objectives(confidentiality, integrity, availability) shall be the highest values (i.e., high water mark) from among
those security categories that have been determined for each type of information resident on theinformation system. 5
The generalized format for expressing the security category, SC, of an information system is:
SC information system = {(confidentiality, impact), (integrity, impact), (availability, impact)},
where the acceptable values for potential impact are LOW, MODERATE, or HIGH.

Note that the value of not applicable cannot be assigned to any security objective in the context ofestablishing a security category for an information system. This is in recognition that there is a low
minimum potential impact (i.e., low water mark) on the loss of confidentiality, integrity, andavailability for an information system due to the fundamental requirement to protect the system-levelprocessing functions and information critical to the operation of the information system.
EXAMPLE 4: An information system used for large acquisitions in a contracting organization contains

both sensitive, pre-solicitation phase contract information and routine administrative information. The
management within the contracting organization determines that: (i) for the sensitive contract
information, the potential impact from a loss of confidentiality is moderate, the potential impact froma loss of integrity is moderate, and the potential impact from a loss of availability is low; and (ii) for
the routine administrative information (non-privacy-related information), the potential impact from aloss of confidentiality is low, the potential impact from a loss of integrity is low, and the potential
impact from a loss of availability is low. The resulting security categories, SC, of these information
types are expressed as:
SC contract information = {(confidentiality, MODERATE), (integrity, MODERATE), (availability, LOW)},andSC administrative information = {(confidentiality, LOW), (integrity, LOW), (availability, LOW)}.

The resulting security category of the information system is expressed as:
SC acquisition system = {(confidentiality, MODERATE), (integrity, MODERATE), (availability, LOW)},

representing the high water mark or maximum potential impact values for each security objective fromthe information types resident on the acquisition system.

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It is recognized that information systems are composed of both programs and information. Programs in execution
within an information system (i.e., system processes) facilitate the processing, storage, and transmission of information
and are necessary for the organization to conduct its essential mission-related functions and operations. These systemprocessing functions also require protection and could be subject to security categorization as well. However, in theinterest of simplification, it is assumed that the security categorization of all information types associated with theinformation system provide an appropriate worst case potential impact for the overall information system—thereby
obviating the need to consider the system processes in the security categorization of the information system.

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________
EXAMPLE 5: A power plant contains a SCADA (supervisory control and data acquisition) system

controlling the distribution of electric power for a large military installation. The SCADA system
contains both real-time sensor data and routine administrative information. The management at thepower plant determines that: (i) for the sensor data being acquired by the SCADA system, there is nopotential impact from a loss of confidentiality, a high potential impact from a loss of integrity, and ahigh potential impact from a loss of availability; and (ii) for the administrative information being
processed by the system, there is a low potential impact from a loss of confidentiality, a low potential
impact from a loss of integrity, and a low potential impact from a loss of availability. The resulting
security categories, SC, of these information types are expressed as:
SC sensor data = {(confidentiality, NA), (integrity, HIGH), (availability, HIGH)},andSC administrative information = {(confidentiality, LOW), (integrity, LOW), (availability, LOW)}.

The resulting security category of the information system is initially expressed as:
SC SCADA system = {(confidentiality, LOW), (integrity, HIGH), (availability, HIGH)},

representing the high water mark or maximum potential impact values for each security objectivefrom the information types resident on the SCADA system. The management at the power plantchooses to increase the potential impact from a loss of confidentiality from low to moderate reflecting
a more realistic view of the potential impact on the information system should there be a security
breach due to the unauthorized disclosure of system-level information or processing functions. The
final security category of the information system is expressed as:
SC SCADA system = {(confidentiality, MODERATE), (integrity, HIGH), (availability, HIGH)}.

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Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________

Table 1 summarizes the potential impact definitions for each security objective—confidentiality,
integrity, and availability.
POTENTIAL IMPACT
Security Objective

Confidentiality
Preserving authorized
restrictions on information
access and disclosure,including means forprotecting personalprivacy and proprietary
information.

LOW

MODERATE

HIGH

The unauthorized
disclosure of information
could be expected to havea limited adverse effect onorganizational operations,organizational assets, orindividuals.

The unauthorized
disclosure of information
could be expected to havea serious adverse effect onorganizational operations,organizational assets, orindividuals.

The unauthorized
disclosure of information
could be expected to havea severe or catastrophic
adverse effect onorganizational operations,organizational assets, orindividuals.

The unauthorized
modification or
destruction of information
could be expected to havea limited adverse effect onorganizational operations,organizational assets, orindividuals.

The unauthorized
modification or
destruction of information
could be expected to havea serious adverse effect onorganizational operations,organizational assets, orindividuals.

The unauthorized
modification or
destruction of information
could be expected to havea severe or catastrophic
adverse effect onorganizational operations,organizational assets, orindividuals.

The disruption of access toor use of information or an
information system could
be expected to have alimited adverse effect onorganizational operations,organizational assets, orindividuals.

The disruption of access toor use of information or an
information system could
be expected to have aserious adverse effect onorganizational operations,organizational assets, orindividuals.

The disruption of access toor use of information or an
information system could
be expected to have asevere or catastrophic
adverse effect onorganizational operations,organizational assets, orindividuals.

[44 U.S.C., SEC. 3542]

Integrity
Guarding against improper
information modification
or destruction, andincludes ensuring
information nonrepudiation andauthenticity.
[44 U.S.C., SEC. 3542]

Availability
Ensuring timely andreliable access to and useof information.
[44 U.S.C., SEC. 3542]

TABLE 1: POTENTIAL IMPACT DEFINITIONS FOR SECURITY OBJECTIVES

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________

APPENDIX ATERMS AND DEFINITIONSAVAILABILITY: Ensuring timely and reliable access to and use of information. [44 U.S.C., SEC. 3542]
CONFIDENTIALITY: Preserving authorized restrictions on information access and disclosure,including means for protecting personal privacy and proprietary information. [44 U.S.C., SEC. 3542]
EXECUTIVE AGENCY: An executive department specified in 5 U.S.C., SEC. 101; a military department
specified in 5 U.S.C., SEC. 102; an independent establishment as defined in 5 U.S.C., SEC. 104(1); and awholly owned Government corporation fully subject to the provisions of 31 U.S.C., CHAPTER 91. [41
U.S.C., SEC. 403]
FEDERAL INFORMATION SYSTEM: An information system used or operated by an executive agency,
by a contractor of an executive agency, or by another organization on behalf of an executive agency.
[40 U.S.C., SEC. 11331]
INFORMATION: An instance of an information type.
INFORMATION RESOURCES: Information and related resources, such as personnel, equipment, funds,
and information technology. [44 U.S.C., SEC. 3502]
INFORMATION SECURITY: The protection of information and information systems from unauthorizedaccess, use, disclosure, disruption, modification, or destruction in order to provide confidentiality,
integrity, and availability. [44 U.S.C., SEC. 3542]
INFORMATION SYSTEM: A discrete set of information resources organized for the collection,
processing, maintenance, use, sharing, dissemination, or disposition of information. [44 U.S.C., SEC.
3502]
INFORMATION TECHNOLOGY: Any equipment or interconnected system or subsystem of equipmentthat is used in the automatic acquisition, storage, manipulation, management, movement, control,
display, switching, interchange, transmission, or reception of data or information by the executive
agency. For purposes of the preceding sentence, equipment is used by an executive agency if theequipment is used by the executive agency directly or is used by a contractor under a contract with theexecutive agency which: (i) requires the use of such equipment; or (ii) requires the use, to a significant
extent, of such equipment in the performance of a service or the furnishing of a product. The term
information technology includes computers, ancillary equipment, software, firmware and similar
procedures, services (including support services), and related resources. [40 U.S.C., SEC. 1401]
INFORMATION TYPE: A specific category of information (e.g., privacy, medical, proprietary,financial, investigative, contractor sensitive, security management), defined by an organization, or insome instances, by a specific law, Executive Order, directive, policy, or regulation.
INTEGRITY: Guarding against improper information modification or destruction, and includes
ensuring information non-repudiation and authenticity. [44 U.S.C., SEC. 3542]
NATIONAL SECURITY SYSTEM: Any information system (including any telecommunications system)
used or operated by an agency or by a contractor of an agency, or other organization on behalf of anagency— (i) the function, operation, or use of which involves intelligence activities; involves
cryptologic activities related to national security; involves command and control of military forces;
involves equipment that is an integral part of a weapon or weapons system; or is critical to the direct
fulfillment of military or intelligence missions (excluding a system that is to be used for routine
administrative and business applications, for example, payroll, finance, logistics, and personnel
management applications); or, (ii) is protected at all times by procedures established for informationthat have been specifically authorized under criteria established by an Executive Order or an Act ofCongress to be kept classified in the interest of national defense or foreign policy. [44 U.S.C., SEC.
3542]

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________

SECURITY CATEGORY: The characterization of information or an information system based on anassessment of the potential impact that a loss of confidentiality, integrity, or availability of suchinformation or information system would have on organizational operations, organizational assets, orindividuals.
SECURITY CONTROLS: The management, operational, and technical controls (i.e., safeguards orcountermeasures) prescribed for an information system to protect the confidentiality, integrity, andavailability of the system and its information.
SECURITY OBJECTIVE: Confidentiality, integrity, or availability.

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FIPS Publication 199

Standards for Security Categorization of Federal Information and Information Systems________________________________________________________________________________________________

APPENDIX BREFERENCES[1]

Privacy Act of 1974 (Public Law 93-579), September 1975.

[2]

Paperwork Reduction Act of 1995 (Public Law 104-13), May 1995.

[3]

OMB Circular A-130, Transmittal Memorandum #4, Management of Federal Information
Resources, November 2000.

[4]

Information Technology Management Reform Act of 1996 (Public Law 104-106), August
1996.

[5]

Federal Information Security Management Act of 2002 (Public Law 107-347), December
2002.

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