Withdrawn NIST Technical Series Publication
Warning Notice
The attached publication has been withdrawn (archived), and is provided solely for historical purposes.
It may have been superseded by another publication (indicated below).

Withdrawn Publication
Series/Number
Title
Publication Date(s)Withdrawal Date
Withdrawal Note

NIST Special Publication 800-171 Revision 1
Protecting Controlled Unclassified Information in Nonfederal Systems andOrganizations
December 2016 (includes updates as of 06-07-2018)
February 21, 2021
SP 800-171 Rev. 1 (6/7/18 update) is superseded in its entirety by the
publication of SP 800-171 Rev. 2 (1/28/21 update).

Superseding Publication(s) (if applicable)
The attached publication has been superseded by the following publication(s):Series/Number
Title
Author(s)Publication Date(s)URL/DOINIST Special Publication 800-171 Revision 2
Protecting Controlled Unclassified Information in Nonfederal Systems andOrganizations
Ron Ross; Victoria Pillitteri; Kelley Dempsey; Mark Riddle; Gary Guissanie
February 2020 (includes updates as of 01-28-2021
https://doi.org/10.6028/NIST.SP.800-171r2

Additional Information (if applicable)
Contact
Latest revision of theattached publication
Related Information
Withdrawal
Announcement Link

Computer Security Division (Information Technology Laboratory)
https://csrc.nist.gov/projects/protecting-cui
https://csrc.nist.gov/publications/detail/sp/800-171/rev-2/final

Date updated: February 22, 2021

NIST Special Publication 800-171
Revision 1

Protecting Controlled Unclassified
Information in Nonfederal Systems
and Organizations

RON ROSSPATRICK VISCUSOGARY GUISSANIEKELLEY DEMPSEYMARK RIDDLEThis publication is available free of charge from:https://doi.org/10.6028/NIST.SP.800-171r1

NIST Special Publication 800-171
Revision 1

Protecting Controlled Unclassified
Information in Nonfederal Systems
and Organizations
RON ROSSKELLEY DEMPSEY
Computer Security Division
National Institute of Standards and Technology

PATRICK VISCUSOMARK RIDDLE
Information Security Oversight Office
National Archives and Records Administration

GARY GUISSANIE
Institute for Defense Analyses
Supporting the Department of Defense

This publication is available free of charge from:https://doi.org/10.6028/NIST.SP.800-171r1

December 2016
INCLUDES UPDATES AS OF 06-07-2018

U.S. Department of Commerce
Penny Pritzker, Secretary

National Institute of Standards and Technology
Willie May, Under Secretary of Commerce for Standards and Technology and Director

SPECIAL PUBLICATION 800-171
REVISION 1

PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

Authority
This publication has been developed by NIST to further its statutory responsibilities under theFederal Information Security Modernization Act (FISMA) of 2014, 44 U.S.C. § 3551 et seq.,
Public Law (P.L.) 113-283. NIST is responsible for developing information security standards
and guidelines, including minimum requirements for federal information systems, but suchstandards and guidelines shall not apply to national security systems without the express approvalof appropriate federal officials exercising policy authority over such systems. This guideline isconsistent with the requirements of the Office of Management and Budget (OMB) Circular A130.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Nothing in this publication should be taken to contradict the standards and guidelines mademandatory and binding on federal agencies by the Secretary of Commerce under statutory
authority. Nor should these guidelines be interpreted as altering or superseding the existing
authorities of the Secretary of Commerce, Director of the OMB, or any other federal official. Thispublication may be used by nongovernmental organizations on a voluntary basis and is not
subject to copyright in the United States. Attribution would, however, be appreciated by NIST.
National Institute of Standards and Technology Special Publication 800-171
Natl. Inst. Stand. Technol. Spec. Publ. 800-171, 125 pages (December 2016)
CODEN: NSPUE2This publication is available free of charge from:https://doi.org/10.6028/NIST.SP.800-171r1

Certain commercial entities, equipment, or materials may be identified in this document in orderto describe an experimental procedure or concept adequately. Such identification is notintended to imply recommendation or endorsement by NIST, nor is it intended to imply that theentities, materials, or equipment are necessarily the best available for the purpose.
There may be references in this publication to other publications currently under development
by NIST in accordance with its assigned statutory responsibilities. The information in thispublication, including concepts, practices, and methodologies, may be used by federal agencies
even before the completion of such companion publications. Thus, until each publication iscompleted, current requirements, guidelines, and procedures, where they exist, remain
operative. For planning and transition purposes, federal agencies may wish to closely follow thedevelopment of these new publications by NIST.
Organizations are encouraged to review draft publications during the designated publiccomment periods and provide feedback to NIST. Many NIST cybersecurity publications, otherthan the ones noted above, are available at http://csrc.nist.gov/publications.

Comments on this publication may be submitted to:
National Institute of Standards and Technology
Attn: Computer Security Division, Information Technology Laboratory
100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930
Electronic Mail: sec-cert@nist.gov
All comments are subject to release under the Freedom of Information Act.

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

Reports on Computer Systems Technology

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

The Information Technology Laboratory (ITL) at the National Institute of Standards andTechnology (NIST) promotes the U.S. economy and public welfare by providing technicalleadership for the Nation’s measurement and standards infrastructure. ITL develops tests, test
methods, reference data, proof of concept implementations, and technical analyses to advance thedevelopment and productive use of information technology (IT). ITL’s responsibilities include
the development of management, administrative, technical, and physical standards and guidelines
for the cost-effective security and privacy of other than national security-related information infederal information systems. The Special Publication 800-series reports on ITL’s research,guidelines, and outreach efforts in information systems security and its collaborative activities
with industry, government, and academic organizations.

Abstract
The protection of Controlled Unclassified Information (CUI) resident in nonfederal systems andorganizations is of paramount importance to federal agencies and can directly impact the abilityof the federal government to successfully conduct its assigned missions and business operations.
This publication provides federal agencies with a set of recommended security requirements forprotecting the confidentiality of CUI when such information is resident in nonfederal systems andorganizations; when the nonfederal organization is not collecting or maintaining information on
behalf of a federal agency or using or operating a system on behalf of an agency; and where there
are no specific safeguarding requirements for protecting the confidentiality of CUI prescribed by
the authorizing law, regulation, or governmentwide policy for the CUI category or subcategory
listed in the CUI Registry. The security requirements apply to all components of nonfederal
systems and organizations that process, store, or transmit CUI, or that provide security protection
for such components. The requirements are intended for use by federal agencies in contractual
vehicles or other agreements established between those agencies and nonfederal organizations.

Keywords
Contractor Systems; Controlled Unclassified Information; CUI Registry; Derived Security
Requirement; Executive Order 13556; FIPS Publication 199; FIPS Publication 200; FISMA;NIST Special Publication 800-53; Nonfederal Systems; Security Assessment; Security Control;
Security Requirement.

PAGE ii

SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

Acknowledgements
The authors gratefully acknowledge and appreciate the contributions from Carol Bales, Matt
Barrett, Jon Boyens, Devin Casey, Chris Enloe, Jim Foti, Rob Glenn, Rich Graubart, Vicki
Michetti, Victoria Pillitteri, Pat O’Reilly, Karen Quigg, Mary Thomas, Matt Scholl, Murugiah
Souppaya, and Pat Toth, whose thoughtful and constructive comments improved the overall
quality, thoroughness, and usefulness of this publication. A special note of thanks goes to Peggy
Himes and Elizabeth Lennon for their superb administrative and technical editing support.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1
PAGE iii

SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________CAUTIONARY NOTEThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

The Federal Information Security Modernization Act (FISMA) of 2014 requires federal agencies
to identify and provide information security protections commensurate with the risk resulting
from the unauthorized access, use, disclosure, disruption, modification, or destruction of
information collected or maintained by or on behalf of an agency; or information systems used
or operated by an agency or by a contractor of an agency or other organization on behalf of anagency. This publication focuses on protecting the confidentiality of Controlled Unclassified
Information (CUI) in nonfederal systems and organizations, and recommends specific security
requirements to achieve that objective. It does not change the information security
requirements set forth in FISMA, nor does it alter the responsibility of federal agencies to comply
with the full provisions of the statute, the policies established by OMB, and the supporting
security standards and guidelines developed by NIST.
The requirements recommended for use in this publication are derived from FIPS Publication
200 and the moderate security control baseline in NIST Special Publication 800-53 and are basedon the CUI regulation (32 CFR Part 2002, Controlled Unclassified Information). The requirements
and security controls have been determined over time to provide the necessary protection forfederal information and systems that are covered under FISMA. The tailoring criteria applied to
the FIPS Publication 200 security requirements and the NIST Special Publication 800-53 security
controls is not an endorsement for the elimination of those requirements and controls—rather,
the tailoring criteria focuses on the protection of CUI from unauthorized disclosure in nonfederal
systems and organizations. Moreover, since the security requirements are derivative from the
NIST publications listed above, organizations should not assume that satisfying those particularrequirements will automatically satisfy the security requirements and controls in FIPS Publication
200 and Special Publication 800-53.
In addition to the security objective of confidentiality, the objectives of integrity and availability
remain a high priority for organizations that are concerned with establishing and maintaining acomprehensive information security program. While the primary purpose of this publication isto define requirements to protect the confidentiality of CUI, there is a close relationship between
confidentiality and integrity since many of the underlying security mechanisms at the systemlevel support both security objectives. Organizations that are interested in or required to comply
with the recommendations in this publication are strongly advised to review the complete listingof security controls in the moderate baseline in Appendix E to ensure that their individual
security plans and security control deployments provide the necessary and sufficient protection
to address the cyber and kinetic threats to organizational missions and business operations.
Addressing such threats is important because of the dependence these organizations have on
their information technology infrastructures for their mission and business success.

PAGE iv

SPECIAL PUBLICATION 800-171
REVISION 1

PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________EXPECTATIONS FOR THIS PUBLICATIONThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Executive Order 13556, Controlled Unclassified Information, November 4, 2010, establishes that
the Controlled Unclassified Information (CUI) Executive Agent designated as the National
Archives and Records Administration (NARA), shall develop and issue such directives as arenecessary to implement the CUI Program. Consistent with this tasking and with the CUIProgram’s mission to establish uniform policies and practices across the federal government,
NARA is issuing a final federal regulation in 2016 to establish the required controls and markings
for CUI government-wide. This federal regulation, once enacted, will bind agencies throughout
the executive branch to uniformly apply the standard safeguards, markings, dissemination, anddecontrol requirements established by the CUI Program.
Regarding federal information systems, requirements in the federal regulation for protecting CUI
at the moderate confidentiality impact level will be based on applicable policies established by
OMB and applicable governmentwide standards and guidelines issued by NIST. The regulation
will not create these policies, standards, and guidelines which are already established by OMB
and NIST. The regulation will, however, require adherence to the policies and use of thestandards and guidelines in a consistent manner throughout the executive branch, thereby
reducing current complexity for federal agencies and their nonfederal partners, including
contractors.
In addition to defining safeguarding requirements for CUI within the federal government, NARA
has taken steps to alleviate the potential impact of such requirements on nonfederal
organizations by jointly developing with NIST, Special Publication 800-171 — and defining
security requirements for protecting CUI in nonfederal systems and organizations. This approach
will help nonfederal entities, including contractors, to comply with the security requirements
using the systems and practices they already have in place, rather than trying to use governmentspecific approaches. It will also provide a standardized and uniform set of requirements for all
CUI security needs, tailored to nonfederal systems, allowing nonfederal organizations to comply
with statutory and regulatory requirements, and to consistently implement safeguards for theprotection of CUI.
Finally, NARA, in its capacity as the CUI Executive Agent, also plans to sponsor in 2017, a single
Federal Acquisition Regulation (FAR) clause that will apply the requirements contained in thefederal CUI regulation and Special Publication 800-171 to contractors. This will further promote
standardization to benefit a substantial number of nonfederal organizations that are attempting
to meet the current range and type of contract clauses, where differing requirements andconflicting guidance from federal agencies for the same information gives rise to confusion andinefficiencies. The CUI FAR clause will also address verification and compliance requirements forthe security requirements in NIST Special Publication 800-171. Until the formal process ofestablishing such a FAR clause takes place, the requirements in NIST Special Publication 800-171
may be referenced in federal contracts consistent with federal law and regulatory requirements.
If necessary, Special Publication 800-171 will be updated to remain consistent with the federal
CUI regulation and the FAR clause.

PAGE v

SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

DEFINITION AND USAGE OF THE TERM INFORMATION SYSTEM

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Unless otherwise specified by legislation, regulation, or governmentwide policy, the use of theterm information system in this publication is replaced by the term system. This change reflectsa more broad-based, holistic definition of information systems that includes, for example:
general purpose information systems; industrial and process control systems; cyber-physicalsystems; and individual devices that are part of the Internet of Things. As computing platforms
and technologies are increasingly deployed ubiquitously worldwide and systems andcomponents are connected through wired and wireless networks, the susceptibility of Controlled
Unclassified Information to loss or compromise grows—as does the potential for adverse
consequences resulting from such occurrences.

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

FRAMEWORK FOR IMPROVING CRITICAL INFRASTRUCTURE CYBERSECURITY

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Organizations that have implemented or plan to implement the NIST Framework for Improving
Critical Infrastructure Cybersecurity can find in Appendix D of this publication, a direct mappingof the Controlled Unclassified Information (CUI) security requirements to the security controls in
NIST Special Publication 800-53 and ISO/IEC 27001. These controls are also mapped to thespecific Categories and Subcategories associated with Cybersecurity Framework Core Functions:
Identify, Protect, Detect, Respond, and Recover. The security control mapping information canbe useful to organizations that wish to demonstrate compliance to the security requirements inthe context of their established information security programs, when such programs have been
built around the NIST or ISO/IEC security controls.
ADDITIONAL RESOURCES

Mapping NIST Special Publication 800-53 security controls to the Cybersecurity Framework:https://www.nist.gov/file/372651.
Mapping NIST Special Publication 800-171 requirements to the Cybersecurity Framework:https://csrc.nist.gov/publications/detail/sp/800-171/rev-1/final.

PAGE vii

SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

Table of Contents
CHAPTER ONE INTRODUCTION .......................................................................................... 1

1.1 PURPOSE AND APPLICABILITY .................................................................................................. 2
1.2 TARGET AUDIENCE.................................................................................................................. 4
1.3 ORGANIZATION OF THIS SPECIAL PUBLICATION.......................................................................... 4
CHAPTER TWO THE FUNDAMENTALS .................................................................................. 5

2.1 BASIC ASSUMPTIONS............................................................................................................... 5
2.2 DEVELOPMENT OF SECURITY REQUIREMENTS ........................................................................... 6
CHAPTER THREE THE REQUIREMENTS ............................................................................... 8This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.1 ACCESS CONTROL .................................................................................................................. 9
3.2 AWARENESS AND TRAINING ................................................................................................... 10
3.3 AUDIT AND ACCOUNTABILITY.................................................................................................. 10
3.4 CONFIGURATION MANAGEMENT ............................................................................................. 11
3.5 IDENTIFICATION AND AUTHENTICATION ................................................................................... 11
3.6 INCIDENT RESPONSE............................................................................................................. 12
3.7 MAINTENANCE ...................................................................................................................... 12
3.8 MEDIA PROTECTION .............................................................................................................. 13
3.9 PERSONNEL SECURITY .......................................................................................................... 13
3.10 PHYSICAL PROTECTION ....................................................................................................... 13
3.11 RISK ASSESSMENT .............................................................................................................. 14
3.12 SECURITY ASSESSMENT ...................................................................................................... 14
3.13 SYSTEM AND COMMUNICATIONS PROTECTION....................................................................... 14
3.14 SYSTEM AND INFORMATION INTEGRITY ................................................................................. 15
APPENDIX A REFERENCES .............................................................................................. 17
APPENDIX B GLOSSARY .................................................................................................. 19
APPENDIX C ACRONYMS ................................................................................................. 27
APPENDIX D MAPPING TABLES ........................................................................................ 28
APPENDIX E TAILORING CRITERIA .................................................................................... 51
APPENDIX F DISCUSSION ................................................................................................ 69

PAGE viii

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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

ErrataThis table contains changes that have been incorporated into Special Publication 800-171. Errata
updates can include corrections, clarifications, or other minor changes in the publication that areeither editorial or substantive in nature.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

DATE

TYPE

CHANGE

11-28-2017

Editorial

CAUTIONARY NOTE call out box, third paragraph: Change“publications” to “publication”

iv

11-28-2017

Editorial

EXPECTATIONS FOR THIS PUBLICATION call out box, third paragraph:
Change “in compliance” to “comply”

v

11-28-2017

Editorial

FRAMEWORK FOR IMPROVING CRITICAL INFRASTRUCTURECYBERSECURITY call out box:
Delete “See http://www.nist.gov/cyberframework.”vii

11-28-2017

Editorial

FRAMEWORK FOR IMPROVING CRITICAL INFRASTRUCTURECYBERSECURITY call out box: Change “Once identified, those controls
can be located in” to “These controls are also mapped to”

vii

11-28-2017

Substantive

FRAMEWORK FOR IMPROVING CRITICAL INFRASTRUCTURECYBERSECURITY call out box: Add “Additional Resources – Mapping
NIST Special Publication 800-53 security controls to the Cybersecurity
Framework: https://www.nist.gov/file/372651. Mapping NIST Special
Publication 800-171 requirements to the Cybersecurity Framework:https://www.nist.gov/cyberframework/industry-resources”

vii

11-28-2017

Editorial

Chapter One, Section 1.1, second paragraph, first bullet: Change“moderate confidentiality impact” to “moderate confidentiality”

211-28-2017

Editorial

Chapter One, Section 1.1: Replace Footnote 10 with “NIST Special
Publication 800-171A provides assessment procedures to helporganizations determine compliance to the security requirements in
Chapter Three”

211-28-2017

Editorial

Chapter One, Section 1.1, fourth paragraph: Change “particularspecified” to “specified”

3

11-28-2017

Editorial

Chapter One, Section 1.1, fifth paragraph: Change “as long as” to “if”

3

11-28-2017

Editorial

Chapter One, Section 1.1, fifth paragraph: Delete “all of”

311-28-2017

Editorial

Chapter Three, first paragraph: Change “through the use of” to“using”

8

11-28-2017

Editorial

Chapter Three, third paragraph: Change “whether or not” to“whether”

8

11-28-2017

Substantive

Chapter Three, after fourth paragraph: Add call out box “THE
MEANING OF ORGANIZATIONAL SYSTEMS”

911-28-2017

Substantive

Chapter Three, Section 3.1, Basic Security Requirement 3.1.1: Change“or” to “and”

9

11-28-2017

Substantive

Chapter Three, Section 3.3, Basic Security Requirement 3.3.1: Delete“, protect,”1011-28-2017

Substantive

Chapter Three, Section 3.4, Derived Security Requirement 3.4.3:
Change “approve/disapprove” to “approve or disapprove”

1111-28-2017

Substantive

Chapter Three, Section 3.4, Derived Security Requirement 3.4.7:
Change “and” to “or”

11

11-28-2017

Substantive

Chapter Three, Section 3.5, Basic Security Requirement 3.5.1: Change“or” to “and”

11

11-28-2017

Substantive

Chapter Three, Section 3.6, Basic Security Requirement 3.6.1: Delete“adequate”

12

PAGE ix

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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
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DATE

TYPE

CHANGE

PAGE

11-28-2017

Substantive

Chapter Three, Section 3.7, Basic Security Requirement 3.7.2: Delete“effective”

12

11-28-2017

Substantive

Chapter Three, Section 3.9, Basic Security Requirement 3.9.2: Delete“CUI and”

13

11-28-2017

Editorial

Chapter Three, Section 3.10, Derived Security Requirement 3.10.6:
Delete “(e.g., telework sites)”

13

11-28-2017

Substantive

Chapter Three, Section 3.14, Basic Security Requirement 3.14.1:
Delete “information and”

15

11-28-2017

Substantive

Chapter Three, Section 3.14, Basic Security Requirement 3.14.3:
Delete “appropriate”

15

11-28-2017

Editorial

Chapter Three, Section 3.14, Basic Security Requirement 3.14.3:
Change “actions” to “action”

15

11-28-2017

Editorial

Appendix A, References: Add URL to 32 CFR Part 2002, Controlled
Unclassified Information

17

11-28-2017

Substantive

Appendix A, References (Standards, Guidelines, and Instructions):
Add “National Institute of Standards and Technology Special
Publication 800-171A (Draft), Assessing Security Requirements forControlled Unclassified Information”

17

11-28-2017

Substantive

Appendix D, Table D-1, Basic Security Requirement 3.1.1: Change“or” to “and”

29

11-28-2017

Substantive

Appendix D, Table D-3, Basic Security Requirement 3.3.1: Delete “,protect,”

33

11-28-2017

Editorial

Appendix D, Table D-3, Basic Security Requirement 3.3.1: Add AU-11
to SP 800-53 mapping33

11-28-2017

Substantive

Appendix D, Table D-4, Derived Security Requirement 3.4.3: Change“approve/disapprove” to “approve or disapprove”

35

11-28-2017

Substantive

Appendix D, Table D-4, Derived Security Requirement 3.4.7: Change“and” to “or”

36

11-28-2017

Editorial

Appendix D, Table D-4, Derived Security Requirement 3.4.7: Add“programs”

36

11-28-2017

Editorial

Appendix D, Table D-5, Basic Security Requirement 3.5.1: Add IA-3 to
SP 800-53 mapping37

11-28-2017

Substantive

Appendix D, Table D-5, Basic Security Requirement 3.5.1: Change“or” to “and”

37

11-28-2017

Substantive

Appendix D, Table D-6, Basic Security Requirement 3.6.1: Delete“adequate”

39

11-28-2017

Substantive

Appendix D, Table D-6, Derived Security Requirement 3.6.3: Delete
IR-3(2) from SP 800-53 mapping39

11-28-2017

Substantive

Appendix D, Table D-7, Basic Security Requirement 3.7.2: Delete“effective”

40

11-28-2017

Substantive

Appendix D, Table D-8, Derived Security Requirement 3.8.6: Change“information” to “CUI”

41

11-28-2017

Substantive

Appendix D, Table D-9, Basic Security Requirement 3.9.2: Delete “CUI
and”

43

11-28-2017

Editorial

Appendix D, Table D-10, Basic Security Requirement 3.10.2: Add PE-4
to SP 800-53 mapping44

11-28-2017

Editorial

Appendix D, Table D-10, Derived Security Requirement 3.10.6: Delete“(e.g., telework sites)”

44

11-28-2017

Substantive

Appendix D, Table D-14, Basic Security Requirement 3.14.1: Delete“information and”

50

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DATE

TYPE

CHANGE

PAGE

11-28-2017

Substantive

Appendix D, Table D-14, Basic Security Requirement 3.14.3: Delete“appropriate”

50

11-28-2017

Editorial

Appendix D, Table D-14, Basic Security Requirement 3.14.3: Change“actions” to “action”

50

11-28-2017

Editorial

Appendix E, Table E-7, IA-3: Change “NCO” to “CUI”

58

11-28-2017

Editorial

Appendix E, Table E-8, IR-3(2): Change “CUI” to “NCO”

59

11-28-2017

Editorial

Appendix E, Table E-11, PE-4: Change “NFO” to “CUI”

62

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

02-20-2018

Editorial

02-20-2018

Editorial

02-20-2018

Editorial

02-20-2018

Editorial

EXPECTATIONS FOR THIS PUBLICATION call out box, second
paragraph: Change “With regard to” to “Regarding”
Chapter Two, Section 2.2, Derived Security Requirements, sixth
bullet: Change “blacklist” to “blacklisting”
Chapter Three, THE MEANING OF ORGANIZATIONAL SYSTEMS callout box: Change “is intended to have” to “has”
Chapter Three, THE MEANING OF ORGANIZATIONAL SYSTEMS callout box: Change “security requirements” to “CUI security
requirements.”

v
7
9
9

02-20-2018

Substantive

Chapter Three, THE MEANING OF ORGANIZATIONAL SYSTEMS callout box: Change: “—that is, the requirements are applied only to thesystems or system components that process, store, or transmit CUI”
to “The requirements apply only to components of nonfederal
systems that process, store, or transmit CUI, or that provide security
protection for such components”

02-20-2018

Substantive

Chapter Three, Section 3.1, Derived Security Requirement 3.1.7:
Change “audit” to “capture”

902-20-2018

Substantive

Chapter Three, Section 3.1, Derived Security Requirement 3.1.7: Add“in audit logs” after “functions”

902-20-2018

Editorial

Chapter Three, Section 3.1, Derived Security Requirement 3.1.10:
Add “a” before “period”

902-20-2018

Substantive

Chapter Three, Section 3.3, Basic Security Requirement 3.3.1: Add“logs and” after “audit”

10

02-20-2018

Substantive

Chapter Three, Section 3.3, Basic Security Requirement 3.3.1: Change“unlawful, unauthorized, or inappropriate” to “unlawful or
unauthorized”

10

02-20-2018

Substantive

Chapter Three, Section 3.3, Derived Security Requirement 3.3.3:
Change “audited” to “logged”

10

02-20-2018

Substantive

Chapter Three, Section 3.3, Derived Security Requirement 3.3.4: Add“logging” after “audit”

10

02-20-2018

Substantive

Chapter Three, Section 3.3, Derived Security Requirement 3.3.5: Add“record” after “audit”

10

02-20-2018

Substantive

Chapter Three, Section 3.3, Derived Security Requirement 3.3.5:
Change “inappropriate” to “unlawful, unauthorized”

10

02-20-2018

Substantive

Chapter Three, Section 3.3, Derived Security Requirement 3.3.6: Add“record” after “audit”

10

02-20-2018

Substantive

Chapter Three, Section 3.3, Derived Security Requirement 3.3.8: Add“logging” before “tools”

1002-20-2018

Substantive

Chapter Three, Section 3.3, Derived Security Requirement 3.3.9: Add“logging” after “audit”

10

02-20-2018

Substantive

Chapter Three, Section 3.4, Derived Security Requirement 3.4.3:
Change “audit” to “log”

1102-20-2018

Editorial

Chapter Three, Section 3.4, Derived Security Requirement 3.4.8:
Change “blacklist” to “blacklisting”

11

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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
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DATE

TYPE

CHANGE

PAGE

02-20-2018

Editorial

Chapter Three, Section 3.5, Basic Security Requirement 3.5.2: Delete“those”

11

02-20-2018

Substantive

Chapter Three, Section 3.6, Basic Security Requirement 3.6.2: Change“appropriate” to “designated”

1202-20-2018

Editorial

Chapter Three, Section 3.11, Derived Security Requirement 3.11.3:
Change “assessments of risk” to “risk assessments”

14

02-20-2018

Editorial

Footnote 26: Delete “must” and “appropriately”

14

02-20-2018

Substantive

Chapter Three, Section 3.14, Basic Security Requirement 3.14.2:
Change “appropriate” to “designated”

15

02-20-2018

Editorial

Chapter Three, Section 3.14, Derived Security Requirement 3.14.6:
Add “,” after “systems”

15

02-20-2018

Substantive

Appendix D: Add call out box “CONSISTENCY IN PUBLICATIONCONTENT”

28

02-20-2018

Substantive

Appendix D, Table D-1, Derived Security Requirement 3.1.7: Change“audit” to “capture”

30

02-20-2018

Substantive

Appendix D, Table D-1, Derived Security Requirement 3.1.7: Add “inaudit logs” after “functions”

30

02-20-2018

Substantive

Appendix D, Table D-1, Derived Security Requirement 3.1.7, SP 80053 Security Control Mapping for AC-6(9): Change “Auditing” to “Log”

30

02-20-2018

Editorial

Appendix D, Table D-1, Derived Security Requirement 3.1.10: Add “a”
before “period”

30

02-20-2018

Substantive

Appendix D, Table D-3, Basic Security Requirement 3.3.1: Add “logsand” after “audit”

33

02-20-2018

Substantive

Appendix D, Table D-3, Basic Security Requirement 3.3.1: Change“unlawful, unauthorized, or inappropriate” to “unlawful or
unauthorized”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.1, SP 80053 Security Control Mapping for AU-2: Change “Audit Events” to“Event Logging”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.2, SP 80053 Security Control Mapping for AU-6: Add “Record” after “Audit”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.2, SP 80053 Security Control Mapping for AU-12: Add “Record” after “Audit”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.3: Change“audited” to “logged”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.3, SP 80053 Security Control Mapping for AU-2(3): Change “Audit Events” to“Event Logging”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.4: Add“logging” after “audit”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.4, SP 80053 Security Control Mapping for AU-5: Add “Logging” after “Audit”

33

02-20-2018

Editorial

Appendix D, Table D-3, Derived Security Requirement 3.3.4, SP 80053 Security Control Mapping for AU-5: Change “Processing” to“Process”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.5: Add“record” after “audit”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.5: Change“inappropriate” to “unlawful, unauthorized”

33

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SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

DATE

TYPE

CHANGE

PAGE

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.5, SP 80053 Security Control Mapping for AU-6(3): Add “Record” after “Audit”(two instances)

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.6: Add“record” after “audit”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.6, SP 80053 Security Control Mapping for AU-7: Add “Record” after “Audit”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.8: Add“logging” before “tools”

33

02-20-2018

Substantive

Appendix D, Table D-3, Derived Security Requirement 3.3.9: Add“logging” after “audit”

34

02-20-2018

Substantive

Appendix D, Table D-4, Derived Security Requirement 3.4.3: Change“audit” to “log”

34

02-20-2018

Editorial

Appendix D, Table D-4, Derived Security Requirement 3.4.8: Change“blacklist” to “blacklisting”

36

02-20-2018

Editorial

Appendix D, Table D-5, Basic Security Requirement 3.5.2: Delete“those”37

02-20-2018

Substantive

Appendix D, Table D-6, Basic Security Requirement 3.6.2: Change“appropriate” to “designated”

39

02-20-2018

Substantive

Appendix D, Table D-6, Basic Security Requirement 3.6.2: Delete“organizational”

39

02-20-2018

Substantive

Appendix D, Table D-6, Basic Security Requirement 3.6.2: Add “bothinternal and external to the organization” after “authorities”

39

02-20-2018

Substantive

Appendix D, Table D-8, Derived Security Requirement 3.8.6: Delete“outside of controlled areas”

41

02-20-2018

Editorial

Appendix D, Table D-11, Derived Security Requirement 3.11.3:
Change “assessments of risk” to “risk assessments”

45

02-20-2018

Substantive

Appendix D, Table D-14, Basic Security Requirement 3.14.2: Change“appropriate” to “designated”

50

02-20-2018

Editorial

Appendix D, Table D-14, Derived Security Requirement 3.14.6: Add“,” after “systems”

50

02-20-2018

Substantive

Appendix E, Table E-3, Security Control AU-5: Add “Logging” after“Audit”

54

02-20-2018

Editorial

Appendix E, Table E-3, Security Control AU-5: Change “Processing” to“Process”

54

06-07-2018

Editorial

Chapter One, Section 1.2, first paragraph, first sentence: Change “isintended to serve” to “serves”

4

06-07-2018

Editorial

Chapter One, Section 1.2, first paragraph, first sentence: Change “:”
to “individuals with:”

406-07-2018

Editorial

Chapter One, Section 1.2, first paragraph, all four bullets: Delete“Individuals with”

4

06-07-2018

Editorial

Chapter One, Section 1.3, third bullet: Change “and an explanation of
the tailoring actions employed on the moderate security control
baseline.” to “an explanation of the tailoring actions applied to themoderate security control baseline;”

406-07-2018

Substantive

Chapter One, Section 1.3, third bullet: Add “and an expandeddiscussion about each security requirement.”

406-07-2018

Editorial

Chapter Two, Section 2.1, second paragraph, first bullet: Delete “thepurpose of”

5

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DATE

TYPE

CHANGE

PAGE

06-07-2018

Editorial

Chapter Two, Section 2.1, second paragraph, fourth bullet: Change“particular requirement” to “requirement”

506-07-2018

Editorial

Chapter Two, Section 2.2, fifth paragraph, fourth sentence: Delete“aforementioned”

7

06-07-2018

Editorial

Chapter Three, first paragraph, change “particular requirement” to“requirement”

806-07-2018

Substantive

Chapter Three, Introduction section after fourth paragraph: Add“Appendix F provides expanded information on the CUI security
requirements. Hyperlinks in the CUI requirements below provide
direct accessibility to the discussion section in the appendix.”

906-07-2018

Editorial

Chapter Three, Section 3.1, Derived Security Requirement 3.1.21:
Delete “organizational”

1006-07-2018

Editorial

Chapter Three, Section 3.2, Basic Security Requirement 3.2.2: Delete“organizational” and “adequately”

10

06-07-2018

Substantive

Appendix A, References (Legislation, Executive Orders, andRegulations): Add “Executive Order 13526, Classified National
Security Information, December 2009.
https://www.archives.gov/isoo/policy-documents/cnsi-eo.html”

1706-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Federal Information
Processing Standards Publication 199: Delete “(as amended)”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Federal Information
Processing Standards Publication 199: Add “February 2004”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Federal Information
Processing Standards Publication 200: Delete “(as amended)”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Federal Information
Processing Standards Publication 200: Add “March 2006”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-53: Delete “(as amended)”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-53: Add “Revision 4”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-53: Add “April 2013”17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-60, Volume 1: Delete “(as amended)”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-60, Volume 1: Add “Revision 1”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-60, Volume 1: Add “August 2008”17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-60, Volume 2: Delete “(as amended)”

17

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This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

DATE

TYPE

CHANGE

PAGE

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-60, Volume 2: Add “Revision 1”

17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-60, Volume 2: Add “August 2008”17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-171A: Delete “(Draft)”17

06-07-2018

Editorial

Appendix A, References (Standards, Guidelines, and Instructions),
National Institute of Standards and Technology Special Publication
800-171A: Add “, June 2018”17

06-07-2018

Substantive

Appendix B, Glossary: Add “security domain” and “A domain that
implements a security policy and is administered by a single
authority.”

25

06-07-2018

Editorial

Appendix D, Table D-1, Derived Security Requirement 3.1.21: Delete“organizational”

31

06-07-2018

Editorial

Appendix D, Table D-2, Basic Security Requirement 3.2.2: Delete“organizational” and “adequately”

32

06-07-2018

Substantive

Add Appendix F, “Discussion”

PAGE xv

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SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

CHAPTER ONE

INTRODUCTION
THE NEED TO PROTECT CONTROLLED UNCLASSIFIED INFORMATION

TThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

oday, more than at any time in history, the federal government is relying on external
service providers to help carry out a wide range of federal missions and business functions
using state-of-the-practice information systems. 1 Many federal contractors, for example,
routinely process, store, and transmit sensitive federal information in their systems to support thedelivery of essential products and services to federal agencies (e.g., providing credit card andother financial services; providing Web and electronic mail services; conducting backgroundinvestigations for security clearances; processing healthcare data; providing cloud services; anddeveloping communications, satellite, and weapons systems). Additionally, federal information isfrequently provided to or shared with entities such as State and local governments, colleges anduniversities, and independent research organizations. The protection of sensitive federal
information while residing in nonfederal systems 2 and organizations is of paramount importanceto federal agencies and can directly impact the ability of the federal government to successfully
carry out its designated missions and business operations, including those missions and functions
related to the critical infrastructure.
The protection of unclassified federal information in nonfederal systems and organizations isdependent on the federal government providing a disciplined and structured process for
identifying the different types of information that are routinely used by federal agencies. On
November 4, 2010, the President signed Executive Order 13556, Controlled Unclassified
Information. The Executive Order established a governmentwide Controlled Unclassified
Information (CUI) 3 Program to standardize the way the executive branch handles unclassified
information that requires protection and designated the National Archives and Records
Administration (NARA) as the Executive Agent 4 to implement that program. Only informationthat requires safeguarding or dissemination controls pursuant to federal law, regulation, or
governmentwide policy may be designated as CUI.
The CUI Program is designed to address several deficiencies in managing and protecting
unclassified information to include inconsistent markings, inadequate safeguarding, and needless
restrictions, both by standardizing procedures and by providing common definitions through a
CUI Registry. The CUI Registry is the online repository for information, guidance, policy, andrequirements on handling CUI, including issuances by the CUI Executive Agent. Among otherinformation, the CUI Registry identifies approved CUI categories and subcategories, provides
1 An information system is a discrete set of information resources organized expressly for the collection, processing,maintenance, use, sharing, dissemination, or disposition of information. Information systems also include specialized
systems for example, industrial/process control systems, cyber-physical systems, embedded systems, and devices. The
term system is used throughout this publication to represent all types of computing platforms that can process, store, ortransmit CUI.
2 A federal information system is a system that is used or operated by an executive agency, by a contractor of an
executive agency, or by another organization on behalf of an executive agency. A system that does not meet such
criteria is a nonfederal system.
3 Controlled Unclassified Information is any information that law, regulation, or governmentwide policy requires tohave safeguarding or disseminating controls, excluding information that is classified under Executive Order 13526,
Classified National Security Information, December 29, 2009, or any predecessor or successor order, or the Atomic
Energy Act of 1954, as amended.
4 NARA has delegated this authority to the Information Security Oversight Office, which is a component of NARA.

CHAPTER ONE

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

general descriptions for each, identifies the basis for controls, and sets out procedures for the useof CUI, including but not limited to marking, safeguarding, transporting, disseminating, reusing,and disposing of the information.
Executive Order 13556 also required that the CUI Program emphasize openness, transparency,
and uniformity of governmentwide practices, and that the implementation of the program takeplace in a manner consistent with applicable policies established by the Office of Management
and Budget (OMB) and federal standards and guidelines issued by the National Institute ofStandards and Technology (NIST). The federal CUI regulation, 5 developed by the CUI Executive
Agent, provides guidance to federal agencies on the designation, safeguarding, dissemination,
marking, decontrolling, and disposition of CUI, establishes self-inspection and oversightrequirements, and delineates other facets of the program.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

1.1 PURPOSE AND APPLICABILITY
The purpose of this publication is to provide federal agencies with recommended security
requirements for protecting the confidentiality of CUI when the CUI is resident in a nonfederal
system and organization; when the nonfederal organization is not collecting or maintaining
information on behalf of a federal agency or using or operating a system on behalf of an agency; 6
and where there are no specific safeguarding requirements for protecting the confidentiality of
CUI prescribed by the authorizing law, regulation, or governmentwide policy for the CUI
category or subcategory listed in the CUI Registry. 7 The security requirements apply only tocomponents of nonfederal systems that process, store, or transmit CUI, or that provide security
protection for such components. 8 The security requirements are intended for use by federal
agencies in appropriate contractual vehicles or other agreements established between thoseagencies and nonfederal organizations. In CUI guidance and the CUI Federal Acquisition
Regulation (FAR), 9 the CUI Executive Agent will address determining compliance with security
requirements. 10
In accordance with the federal CUI regulation, federal agencies using federal systems to process,store, or transmit CUI, as a minimum, must comply with:•

Federal Information Processing Standards (FIPS) Publication 199, Standards for Security
Categorization of Federal Information and Information Systems (moderate confidentiality); 11

5 32 CFR Part 2002, Controlled Unclassified Information, issued September 14, 2016; effective November 14, 2016.
6 Nonfederal organizations that collect or maintain information on behalf of a federal agency or that use or operate asystem on behalf of an agency, must comply with the requirements in FISMA, including the requirements in FIPS
Publication 200 and the security controls in NIST Special Publication 800-53 (See 44 USC 3554(a)(1)(A)).
7 The requirements in this publication can be used to comply with the FISMA requirement for senior agency officials toprovide information security for the information that supports the operations and assets under their control, including
CUI that is resident in nonfederal systems and organizations (See 44 USC 3554(a)(1)(A) and 3554(a)(2)).
8 System components include, for example: mainframes, workstations, servers; input and output devices; network
components; operating systems; virtual machines; and applications.
9 NARA, in its capacity as the CUI Executive Agent, plans to sponsor in 2017, a single FAR clause that will apply therequirements of the federal CUI regulation and NIST Special Publication 800-171 to contractors. Until the formal
process of establishing such a single FAR clause takes place, the security requirements in NIST Special Publication
800-171 may be referenced in federal contracts consistent with federal law and regulatory requirements.
10
NIST Special Publication 800-171A provides assessment procedures to help organizations determine compliance tothe security requirements in Chapter Three.
11 FIPS Publication 199 defines three values of potential impact (i.e., low, moderate, high) on organizations, assets, orindividuals should there be a breach of security (e.g., a loss of confidentiality). The potential impact is moderate if theloss of confidentiality could be expected to have a serious adverse effect on organizational operations, organizational
assets, or individuals.

CHAPTER ONE

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SPECIAL PUBLICATION 800-171
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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________•

Federal Information Processing Standards (FIPS) Publication 200, Minimum Security
Requirements for Federal Information and Information Systems;•

NIST Special Publication 800-53, Security and Privacy Controls for Federal Information
Systems and Organizations; and•NIST Special Publication 800-60, Guide for Mapping Types of Information and Information
Systems to Security Categories. 12This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

The responsibility of federal agencies to protect and ensure the control of CUI does not change
when such information is shared with nonfederal partners. Therefore, a similar level of protection
is needed when CUI is processed, stored, or transmitted by nonfederal organizations using
nonfederal systems. 13 The specific requirements for safeguarding CUI in nonfederal systems andorganizations are derived from the above authoritative federal standards and guidelines tomaintain a consistent level of protection. However, recognizing that the scope of the safeguarding
requirements in the federal CUI regulation is limited to the security objective of confidentiality(i.e., not directly addressing integrity and availability) and that some of the security requirements
expressed in the NIST standards and guidelines are uniquely federal, the requirements in thispublication have been tailored for nonfederal entities.
The tailoring criteria, described in Chapter Two, are not intended to reduce or minimize thefederal requirements for the safeguarding of CUI as expressed in the federal CUI regulation.
Rather, the intent is to express the requirements in a manner that allows for and facilitates theequivalent safeguarding measures within nonfederal systems and organizations and does notdiminish the level of protection of CUI required for moderate confidentiality. Additional ordiffering requirements other than those requirements described in this publication may be applied
only when such requirements are based on law, regulation, or governmentwide policy and whenindicated in the CUI Registry as CUI-specified. The provision of safeguarding requirements for
CUI in a specified category will be addressed by NARA in its CUI guidance and in the CUI FAR,
and reflected as specific requirements in contracts or other agreements.
If nonfederal organizations entrusted with protecting CUI designate systems or components forthe processing, storage, or transmission of CUI, those organizations may limit the scope of the
security requirements to only those systems or components. Isolating CUI into its own security
domain by applying architectural design concepts (e.g., implementing subnetworks with firewalls
or other boundary protection devices) may be the most cost-effective and efficient approach for
nonfederal organizations to satisfy the security requirements and protect the confidentiality of
CUI. Security domains may employ physical separation, logical separation, or a combination of
both. This approach can reasonably provide adequate security for the CUI and avoid increasing
the organization’s security posture to a level beyond which it typically requires for protecting its
missions, operations, and assets. Nonfederal organizations may choose to use the same CUI
infrastructure for multiple government contracts or agreements, if the CUI infrastructure meetsthe safeguarding requirements for the organization’s CUI-related contracts and/or agreements
including any specific safeguarding required or permitted by the authorizing law, regulation, or
governmentwide policy.

12 NIST Special Publication 800-60 is under revision to align with the CUI categories and subcategories in the CUIRegistry.
13 A nonfederal organization is any entity that owns, operates, or maintains a nonfederal system. Examples include:
State, local, and tribal governments; colleges and universities; and contractors.

CHAPTER ONE

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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

1.2 TARGET AUDIENCEThis publication serves a diverse group of individuals and organizations in both the public andprivate sectors including, but not limited to individuals with:This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1•

System development life cycle responsibilities (e.g., program managers, mission/businessowners, information owners/stewards, system designers and developers, system/security
engineers, systems integrators);•

Acquisition or procurement responsibilities (e.g., contracting officers);•

System, security, or risk management and oversight responsibilities (e.g., authorizing
officials, chief information officers, chief information security officers, system owners,
information security managers); and•Security assessment and monitoring responsibilities (e.g., auditors, system evaluators,
assessors, independent verifiers/validators, analysts).

The above roles and responsibilities can be viewed from two distinct perspectives: the federal
perspective as the entity establishing and conveying the security requirements in contractual
vehicles or other types of inter-organizational agreements; and the nonfederal perspective as theentity responding to and complying with the security requirements set forth in contracts oragreements.

1.3 ORGANIZATION OF THIS SPECIAL PUBLICATIONThe remainder of this special publication is organized as follows:•

Chapter Two describes the fundamental assumptions and methodology used to develop thesecurity requirements for protecting the confidentiality of CUI; the format and structure of therequirements; and the tailoring criteria applied to the NIST standards and guidelines to obtain
the requirements.

•

Chapter Three describes the fourteen families of security requirements for protecting theconfidentiality of CUI in nonfederal systems and organizations.

•Supporting appendices provide additional information related to the protection of CUI in
nonfederal systems and organizations including: general references; definitions and terms;
acronyms; mapping tables relating security requirements to the security controls in NIST
Special Publication 800-53 and ISO/IEC 27001; an explanation of the tailoring actions
applied to the moderate security control baseline; and an expanded discussion about eachsecurity requirement.

CHAPTER ONE

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SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

CHAPTER TWO

THE FUNDAMENTALSASSUMPTIONS AND METHODOLOGY FOR DEVELOPING SECURITY REQUIREMENTS

T

his chapter describes the assumptions and methodology used to develop the security
requirements to protect CUI in nonfederal systems and organizations; the structure of thebasic and derived security requirements; and the tailoring criteria applied to the federal
information security requirements and controls.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

2.1 BASIC ASSUMPTIONSThe security requirements described in this publication have been developed based on threefundamental assumptions:•

Statutory and regulatory requirements for the protection of CUI are consistent, whether suchinformation resides in federal systems or nonfederal systems including the environments inwhich those systems operate;•

Safeguards implemented to protect CUI are consistent in both federal and nonfederal systems
and organizations; and•The confidentiality impact value for CUI is no less than moderate 14 in accordance with
Federal Information Processing Standards (FIPS) Publication 199. 15

The above assumptions reinforce the concept that federal information designated as CUI has thesame intrinsic value and potential adverse impact if compromised—whether such information
resides in a federal or a nonfederal organization. Thus, protecting the confidentiality of CUI is
critical to the mission and business success of federal agencies and the economic and national
security interests of the nation. Additional assumptions also impacting the development of the
security requirements and the expectation of federal agencies in working with nonfederal entities
include:•Nonfederal organizations have information technology infrastructures in place, and are notnecessarily developing or acquiring systems specifically for processing, storing, ortransmitting CUI;•

Nonfederal organizations have specific safeguarding measures in place to protect theirinformation which may also be sufficient to satisfy the security requirements;•

Nonfederal organizations can implement a variety of potential security solutions either
directly or through the use of managed services, to satisfy security requirements; and•Nonfederal organizations may not have the necessary organizational structure or resources tosatisfy every security requirement and may implement alternative, but equally effective,
security measures to compensate for the inability to satisfy a requirement.

14 The moderate impact value defined in FIPS Publication 199 may become part of a moderate impact system in FIPS

Publication 200, which in turn, requires the use of the moderate security control baseline in NIST Special Publication
800-53 as the starting point for tailoring actions.
15 In accordance with 32 CFR 2002(g), CUI is categorized at no less than the moderate confidentiality impact value.
However, when federal law, regulation, or govenmentwide policy establishing the control of the CUI specifies controlsthat differ from those of the moderate confidentiality baseline, then these will be followed.

CHAPTER TWO

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SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

IMPLEMENTING A SINGLE STATE SECURITY SOLUTION FOR CUI
Controlled Unclassified Information has the same value, whether such information is resident ina federal system that is part of a federal agency or a nonfederal system that is part of anonfederal organization. Accordingly, the security requirements contained in this publication are
consistent with and complementary to the standards and guidelines used by federal agencies toprotect CUI.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

2.2 DEVELOPMENT OF SECURITY REQUIREMENTS
The security requirements for protecting the confidentiality of CUI in nonfederal systems andorganizations have a well-defined structure that consists of a basic security requirements section
and a derived security requirements section. The basic security requirements are obtained from
FIPS Publication 200, which provides the high-level and fundamental security requirements forfederal information and systems. The derived security requirements, which supplement the basic
security requirements, are taken from the security controls in NIST Special Publication 800-53.
Starting with the FIPS Publication 200 security requirements and the security controls in themoderate baseline (i.e., the minimum level of protection required for CUI in federal systems andorganizations), the requirements and controls are tailored to eliminate requirements, controls, orparts of controls that are:•

Uniquely federal (i.e., primarily the responsibility of the federal government);•

Not directly related to protecting the confidentiality of CUI; or•Expected to be routinely satisfied by nonfederal organizations without specification. 16

Appendix E provides a complete listing of security controls that support the CUI derived security
requirements and those controls that have been eliminated from the NIST Special Publication
800-53 moderate baseline based on the CUI tailoring criteria described above.
The combination of the basic and derived security requirements captures the intent of FIPS
Publication 200 and NIST Special Publication 800-53, with respect to the protection of theconfidentiality of CUI in nonfederal systems and organizations. Appendix D provides informal
mappings of the security requirements to the relevant security controls in NIST Special
Publication 800-53 and ISO/IEC 27001. The mappings promote a better understanding of the
security requirements and are not intended to impose additional requirements on nonfederal
organizations.

16 The security requirements developed from the tailored FIPS Publication 200 security requirements and the NIST

Special Publication 800-53 moderate security control baseline represent a subset of the safeguarding measures that arenecessary for a comprehensive information security program. The strength and quality of such programs in nonfederal
organizations depend on the degree to which the organizations implement the security requirements and controls thatare expected to be routinely satisfied without specification by the federal government. This includes implementing
security policies, procedures, and practices that support an effective risk-based information security program.
Nonfederal organizations are encouraged to refer to Appendix E and Special Publication 800-53 for a complete listingof security controls in the moderate baseline deemed out of scope for the security requirements in Chapter Three.

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The following example taken from the Configuration Management family illustrates the structureof a typical security requirement:
Basic Security Requirements-

Establish and maintain baseline configurations and inventories of organizational systems (including
hardware, software, firmware, and documentation) throughout the respective system development life
cycles.

-Establish and enforce security configuration settings for information technology products employed inorganizational systems.

Derived Security Requirements
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1-

Track, review, approve or disapprove, and audit changes to systems.

-

Analyze the security impact of changes prior to implementation.

-

Define, document, approve, and enforce physical and logical access restrictions associated with changes
to systems.

-

Employ the principle of least functionality by configuring systems to provide only essential capabilities.

-

Restrict, disable, and prevent the use of nonessential programs, functions, ports, protocols, and services.

-

Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or deny-all,permit-by-exception (whitelisting) policy to allow the execution of authorized software.

-Control and monitor user-installed software.

For ease of use, the security requirements are organized into fourteen families. Each family
contains the requirements related to the general security topic of the family. The families areclosely aligned with the minimum-security requirements for federal information and systems
described in FIPS Publication 200. The contingency planning, system and services acquisition,and planning requirements are not included within the scope of this publication due to thetailoring criteria. 17 Table 1 lists the security requirement families addressed in this publication.
TABLE 1: SECURITY REQUIREMENT FAMILIESFAMILYFAMILY

Access Control

Media Protection

Awareness and Training

Personnel Security

Audit and Accountability

Physical Protection

Configuration Management

Risk Assessment

Identification and Authentication

Security Assessment

Incident Response

System and Communications Protection

Maintenance

System and Information Integrity

17 Three exceptions include: a requirement to protect the confidentiality of system backups (derived from CP-9) fromthe contingency planning family; a requirement to develop and implement a system security plan (derived from PL-2)
from the planning family; and a requirement to implement system security engineering principles (derived from SA-8)
from the system and services acquisition family. For convenience, these requirements are included with the CUI media
protection, security assessment, and system and communications protection requirements families, respectively.

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CHAPTER THREE

THE REQUIREMENTS
SECURITY REQUIREMENTS FOR PROTECTING THE CONFIDENTIALITY OF CUITThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

his chapter describes fourteen families of security requirements (including basic andderived requirements) for protecting the confidentiality of CUI in nonfederal systems andorganizations. 18 The security controls from NIST Special Publication 800-53 associatedwith the basic and derived requirements are also listed in Appendix D. 19 Organizations can use
Special Publication 800-53 to obtain additional, non-prescriptive information related to thesecurity requirements (e.g., supplemental guidance related to each of the referenced security
controls, mapping tables to ISO/IEC security controls, and a catalog of optional controls that canbe used to help specify additional security requirements if needed). This information can help
clarify or interpret the requirements in the context of mission and business requirements,
operational environments, or assessments of risk. Nonfederal organizations can implement avariety of potential security solutions either directly or using managed services, to satisfy the
security requirements and may implement alternative, but equally effective, security measures tocompensate for the inability to satisfy a requirement. 20
Nonfederal organizations should describe in a system security plan, how the specified security
requirements are met or how organizations plan to meet the requirements. The plan describes thesystem boundary; the operational environment; how the security requirements are implemented;
and the relationships with or connections to other systems. Nonfederal organizations should
develop plans of action that describe how any unimplemented security requirements will be met
and how any planned mitigations will be implemented. Organizations can document the systemsecurity plan and plan of action as separate or combined documents and in any chosen format.

THE MEANING OF ORGANIZATIONAL SYSTEMSThe term organizational system is used in many of the CUI security requirements in NIST Special
Publication 800-171. This term has a specific meaning regarding the scope of applicability for
the CUI security requirements. The requirements apply only to components of nonfederal
systems that process, store, or transmit CUI, or that provide security protection for suchcomponents. The appropriate scoping for the security requirements is an important factor in
determining protection-related investment decisions and managing security risk for nonfederal
organizations that have the responsibility of safeguarding CUI.

18 While the purpose of this publication is to define requirements to protect the confidentiality of CUI, there is a close

relationship between confidentiality and integrity since many of the underlying security mechanisms at the system levelsupport both security objectives. Thus, the integrity requirements (either basic or derived) may have a significant, albeit
indirect, effect on the ability of an organization to protect the confidentiality of CUI.
19 The security control references in Appendix D are included to promote a better understanding of the security
requirements. The control references are not intended to impose additional requirements on nonfederal organizations.
Moreover, because the security controls were developed for federal agencies, the supplemental guidance associatedwith those controls may not be applicable to nonfederal organizations.
20 To promote consistency, transparency, and comparability, compensatory security measures selected by organizations
should be based on or derived from existing and recognized security standards and control sets, including, for example:
ISO/IEC 27001 or NIST Special Publication 800-53.

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When requested, the system security plan and any associated plans of action for any planned
implementations or mitigations should be submitted to the responsible federal agency/contracting
officer to demonstrate the nonfederal organization’s implementation or planned implementationof the security requirements. Federal agencies may consider the submitted system security plansand plans of action as critical inputs to an overall risk management decision to process, store, ortransmit CUI on a system hosted by a nonfederal organization and whether it is advisable topursue an agreement or contract with the nonfederal organization.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

The security requirements in this publication should be applied to the nonfederal organization’s
internal systems processing, storing, or transmitting CUI. Some systems, including specialized
systems (e.g., industrial/process control systems, Computer Numerical Control machines, medical
devices), may have restrictions or limitations on the application of certain security requirements.
To accommodate such issues, the system security plan, as reflected in Requirement 3.12.4, should
be used to describe any enduring exceptions to the security requirements. Individual, isolated, or
temporary deficiencies should be managed though plans of action, as reflected in Requirement
3.12.2.
Appendix F provides expanded information on the CUI security requirements. Hyperlinks in the
CUI requirements below provide direct accessibility to the discussion section in the appendix.

3.1 ACCESS CONTROL
Basic Security Requirements

3.1.1

Limit system access to authorized users, processes acting on behalf of authorized users, anddevices (including other systems).

3.1.2

Limit system access to the types of transactions and functions that authorized users are permitted
to execute.

Derived Security Requirements

3.1.3

Control the flow of CUI in accordance with approved authorizations.

3.1.4

Separate the duties of individuals to reduce the risk of malevolent activity without collusion.

3.1.5

Employ the principle of least privilege, including for specific security functions and privileged
accounts.

3.1.6

Use non-privileged accounts or roles when accessing nonsecurity functions.

3.1.7

Prevent non-privileged users from executing privileged functions and capture the execution ofsuch functions in audit logs.

3.1.8

Limit unsuccessful logon attempts.

3.1.9

Provide privacy and security notices consistent with applicable CUI rules.

3.1.10Use session lock with pattern-hiding displays to prevent access and viewing of data after a period
of inactivity.

3.1.11

Terminate (automatically) a user session after a defined condition.

3.1.12

Monitor and control remote access sessions.

3.1.13

Employ cryptographic mechanisms to protect the confidentiality of remote access sessions.

3.1.14

Route remote access via managed access control points.

3.1.15

Authorize remote execution of privileged commands and remote access to security-relevant
information.

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3.1.16

Authorize wireless access prior to allowing such connections.

3.1.17

Protect wireless access using authentication and encryption.

3.1.18Control connection of mobile devices.

3.1.19

Encrypt CUI on mobile devices and mobile computing platforms. 21

3.1.20

Verify and control/limit connections to and use of external systems.

3.1.21

Limit use of portable storage devices on external systems.

3.1.22Control CUI posted or processed on publicly accessible systems.

Mapping access control requirements to controls
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.2 AWARENESS AND TRAINING
Basic Security Requirements

3.2.1

Ensure that managers, systems administrators, and users of organizational systems are made awareof the security risks associated with their activities and of the applicable policies, standards, andprocedures related to the security of those systems.

3.2.2

Ensure that personnel are trained to carry out their assigned information security-related duties andresponsibilities.

Derived Security Requirements

3.2.3

Provide security awareness training on recognizing and reporting potential indicators of insider
threat.

Mapping awareness and training requirements to controls

3.3 AUDIT AND ACCOUNTABILITY
Basic Security Requirements

3.3.1

Create and retain system audit logs and records to the extent needed to enable the monitoring,
analysis, investigation, and reporting of unlawful or unauthorized system activity.

3.3.2

Ensure that the actions of individual system users can be uniquely traced to those users so they canbe held accountable for their actions.

Derived Security Requirements

3.3.3

Review and update logged events.

3.3.4

Alert in the event of an audit logging process failure.

3.3.5

Correlate audit record review, analysis, and reporting processes for investigation and response toindications of unlawful, unauthorized, suspicious, or unusual activity.

3.3.6

Provide audit record reduction and report generation to support on-demand analysis and reporting.

3.3.7

Provide a system capability that compares and synchronizes internal system clocks with anauthoritative source to generate time stamps for audit records.

3.3.8

Protect audit information and audit logging tools from unauthorized access, modification, anddeletion.

21 Mobile devices and mobile computing platforms include, for example, smartphones, tablets, E-readers, and notebook

computers.

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3.3.9

Limit management of audit logging functionality to a subset of privileged users.

Mapping audit and accountability requirements to controls

3.4 CONFIGURATION MANAGEMENT
Basic Security Requirements

3.4.1

Establish and maintain baseline configurations and inventories of organizational systems(including hardware, software, firmware, and documentation) throughout the respective systemdevelopment life cycles.

3.4.2

Establish and enforce security configuration settings for information technology products
employed in organizational systems.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Derived Security Requirements

3.4.3

Track, review, approve or disapprove, and log changes to organizational systems.

3.4.4

Analyze the security impact of changes prior to implementation.

3.4.5

Define, document, approve, and enforce physical and logical access restrictions associated withchanges to organizational systems.

3.4.6

Employ the principle of least functionality by configuring organizational systems to provide only
essential capabilities.

3.4.7

Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols, andservices.

3.4.8

Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized software or
deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorized software.

3.4.9

Control and monitor user-installed software.

Mapping configuration management requirements to controls

3.5 IDENTIFICATION AND AUTHENTICATION
Basic Security Requirements

3.5.1

Identify system users, processes acting on behalf of users, and devices.

3.5.2

Authenticate (or verify) the identities of users, processes, or devices, as a prerequisite to allowing
access to organizational systems.

Derived Security Requirements

3.5.3
3.5.4

Use multifactor authentication 22 for local and network access 23 to privileged accounts and for
network access to non-privileged accounts.
Employ replay-resistant authentication mechanisms for network access to privileged and nonprivileged accounts.

22 Multifactor authentication requires two or more different factors to achieve authentication. The factors include:something you know (e.g., password/PIN); something you have (e.g., cryptographic identification device, token); or
something you are (e.g., biometric). The requirement for multifactor authentication should not be interpreted as
requiring federal Personal Identity Verification (PIV) card or Department of Defense Common Access Card (CAC)like solutions. A variety of multifactor solutions (including those with replay resistance) using tokens and biometrics
are commercially available. Such solutions may employ hard tokens (e.g., smartcards, key fobs, or dongles) or soft
tokens to store user credentials.
23 Local access is any access to a system by a user (or process acting on behalf of a user) communicating through a
direct connection without the use of a network. Network access is any access to a system by a user (or a process acting
on behalf of a user) communicating through a network (e.g., local area network, wide area network, Internet).

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3.5.5

Prevent reuse of identifiers for a defined period.

3.5.6

Disable identifiers after a defined period of inactivity.

3.5.7

Enforce a minimum password complexity and change of characters when new passwords are
created.

3.5.8

Prohibit password reuse for a specified number of generations.

3.5.9

Allow temporary password use for system logons with an immediate change to a permanent
password.

3.5.10Store and transmit only cryptographically-protected passwords.

3.5.11

Obscure feedback of authentication information.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Mapping identification and authentication requirements to controls

3.6 INCIDENT RESPONSE
Basic Security Requirements

3.6.1

Establish an operational incident-handling capability for organizational systems that includes
preparation, detection, analysis, containment, recovery, and user response activities.

3.6.2

Track, document, and report incidents to designated officials and/or authorities both internal andexternal to the organization.

Derived Security Requirements

3.6.3

Test the organizational incident response capability.

Mapping incident response requirements to controls

3.7 MAINTENANCE
Basic Security Requirements

3.7.1

Perform maintenance on organizational systems. 24

3.7.2

Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system
maintenance.

Derived Security Requirements

3.7.3

Ensure equipment removed for off-site maintenance is sanitized of any CUI.

3.7.4

Check media containing diagnostic and test programs for malicious code before the media areused in organizational systems.

3.7.5

Require multifactor authentication to establish nonlocal maintenance sessions via external network
connections and terminate such connections when nonlocal maintenance is complete.

3.7.6

Supervise the maintenance activities of maintenance personnel without required accessauthorization.

Mapping maintenance requirements to controls

24 In general, system maintenance requirements tend to support the security objective of availability. However,improper system maintenance or a failure to perform maintenance can result in the unauthorized disclosure of CUI,
thus compromising confidentiality of that information.

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3.8 MEDIA PROTECTION
Basic Security Requirements

3.8.1

Protect (i.e., physically control and securely store) system media containing CUI, both paper anddigital.

3.8.2

Limit access to CUI on system media to authorized users.

3.8.3

Sanitize or destroy system media containing CUI before disposal or release for reuse.

Derived Security Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.8.4

Mark media with necessary CUI markings and distribution limitations. 25

3.8.5

Control access to media containing CUI and maintain accountability for media during transport
outside of controlled areas.

3.8.6

Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media
during transport unless otherwise protected by alternative physical safeguards.

3.8.7

Control the use of removable media on system components.

3.8.8

Prohibit the use of portable storage devices when such devices have no identifiable owner.

3.8.9

Protect the confidentiality of backup CUI at storage locations.

Mapping media protection requirements to controls

3.9 PERSONNEL SECURITY
Basic Security Requirements

3.9.1

Screen individuals prior to authorizing access to organizational systems containing CUI.

3.9.2

Ensure that organizational systems containing CUI are protected during and after personnel
actions such as terminations and transfers.

Derived Security Requirements

None.
Mapping personnel security requirements to controls

3.10 PHYSICAL PROTECTION
Basic Security Requirements

3.10.1

Limit physical access to organizational systems, equipment, and the respective operating
environments to authorized individuals.

3.10.2

Protect and monitor the physical facility and support infrastructure for organizational systems.

Derived Security Requirements

3.10.3

Escort visitors and monitor visitor activity.

3.10.4Maintain audit logs of physical access.

3.10.5Control and manage physical access devices.

3.10.6

Enforce safeguarding measures for CUI at alternate work sites.

Mapping physical protection requirements to controls
25 The implementation of this requirement is per marking guidance in the 32 CFR, Part 2002, and the CUI Registry.

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3.11 RISK ASSESSMENT
Basic Security Requirements

3.11.1

Periodically assess the risk to organizational operations (including mission, functions, image, or
reputation), organizational assets, and individuals, resulting from the operation of organizational
systems and the associated processing, storage, or transmission of CUI.

Derived Security Requirements

3.11.2

Scan for vulnerabilities in organizational systems and applications periodically and when newvulnerabilities affecting those systems and applications are identified.

3.11.3Remediate vulnerabilities in accordance with risk assessments.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Mapping risk assessment requirements to controls

3.12 SECURITY ASSESSMENT
Basic Security Requirements

3.12.1

Periodically assess the security controls in organizational systems to determine if the controls are
effective in their application.

3.12.2Develop and implement plans of action designed to correct deficiencies and reduce or eliminate
vulnerabilities in organizational systems.

3.12.3

Monitor security controls on an ongoing basis to ensure the continued effectiveness of thecontrols.

3.12.4Develop, document, and periodically update system security plans that describe systemboundaries, system environments of operation, how security requirements are implemented, andthe relationships with or connections to other systems. 26

Derived Security Requirements

None.
Mapping security assessment requirements to controls

3.13 SYSTEM AND COMMUNICATIONS PROTECTION
Basic Security Requirements

3.13.1

Monitor, control, and protect communications (i.e., information transmitted or received byorganizational systems) at the external boundaries and key internal boundaries of organizational
systems.

3.13.2

Employ architectural designs, software development techniques, and systems engineering
principles that promote effective information security within organizational systems.

Derived Security Requirements

3.13.3

Separate user functionality from system management functionality.

3.13.4

Prevent unauthorized and unintended information transfer via shared system resources.

3.13.5

Implement subnetworks for publicly accessible system components that are physically or
logically separated from internal networks.

26 There is no prescribed format or specified level of detail for system security plans. However, organizations ensurethat the required information in 3.12.4 is conveyed in those plans.

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3.13.6

Deny network communications traffic by default and allow network communications traffic byexception (i.e., deny all, permit by exception).

3.13.7

Prevent remote devices from simultaneously establishing non-remote connections withorganizational systems and communicating via some other connection to resources in external
networks (i.e., split tunneling).

3.13.8Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI duringtransmission unless otherwise protected by alternative physical safeguards.

3.13.9Terminate network connections associated with communications sessions at the end of thesessions or after a defined period of inactivity.

3.13.10

Establish and manage cryptographic keys for cryptography employed in organizational systems.

3.13.11

Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.

3.13.12

Prohibit remote activation 27 of collaborative computing devices and provide indication ofdevices in use to users present at the device.

3.13.13

Control and monitor the use of mobile code.

3.13.14

Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.

3.13.15

Protect the authenticity of communications sessions.

3.13.16

Protect the confidentiality of CUI at rest.

Mapping system and communications protection requirements to controls

3.14 SYSTEM AND INFORMATION INTEGRITY
Basic Security Requirements

3.14.1

Identify, report, and correct system flaws in a timely manner.

3.14.2

Provide protection from malicious code at designated locations within organizational systems.

3.14.3

Monitor system security alerts and advisories and take action in response.

Derived Security Requirements

3.14.4

Update malicious code protection mechanisms when new releases are available.

3.14.5

Perform periodic scans of organizational systems and real-time scans of files from externalsources as files are downloaded, opened, or executed.

3.14.6

Monitor organizational systems, including inbound and outbound communications traffic, todetect attacks and indicators of potential attacks.

3.14.7

Identify unauthorized use of organizational systems.

Mapping system and information integrity requirements to controls

27 Dedicated video conferencing systems, which rely on one of the participants calling or connecting to the other party

to activate the video conference, are excluded.

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NARA, SECURITY REQUIREMENTS, AND THE FAR CLAUSE

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Executive Order 13556, Controlled Unclassified Information, November 4, 2010, established the
CUI Program and designated the National Archives and Record Administration (NARA) as its
Executive Agent to implement the Order and to oversee agency actions to ensure compliancewith the Order. The CUI Executive Agent anticipates establishing a single Federal Acquisition
Regulation (FAR) clause in 2017 to apply the security requirements of NIST Special Publication
800-171 to contractor environments as well as to determine oversight responsibilities andrequirements. The Executive Agent also addresses its oversight of federal agencies in the 32 CFRPart 2002. The approaches to federal oversight will be determined through the uniform CUI FAR
clause, future understandings, and any agreements between federal agencies and theirnonfederal information-sharing partners.

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APPENDIX AREFERENCES
LAWS, EXECUTIVE ORDERS, REGULATIONS, INSTRUCTIONS, STANDARDS, AND GUIDELINES 28
LEGISLATION, EXECUTIVE ORDERS, AND REGULATIONS

1.

Federal Information Security Modernization Act of 2014 (P.L. 113-283), December
2014.
http://www.gpo.gov/fdsys/pkg/PLAW-113publ283/pdf/PLAW-113publ283.pdf

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

2.

Executive Order 13526, Classified National Security Information, December 2009.
https://www.archives.gov/isoo/policy-documents/cnsi-eo.html

3.

Executive Order 13556, Controlled Unclassified Information, November 2010.
http://www.gpo.gov/fdsys/pkg/FR-2010-11-09/pdf/2010-28360.pdf

4.

Executive Order 13636, Improving Critical Infrastructure Cybersecurity, February 2013.
http://www.gpo.gov/fdsys/pkg/FR-2013-02-19/pdf/2013-03915.pdf

5.

32 CFR Part 2002, Controlled Unclassified Information, September 2016.
https://www.gpo.gov/fdsys/pkg/CFR-2017-title32-vol6/pdf/CFR-2017-title32-vol6-part2002.pdf
STANDARDS, GUIDELINES, AND INSTRUCTIONS

1.

National Institute of Standards and Technology Federal Information Processing
Standards Publication 199, Standards for Security Categorization of Federal Information
and Information Systems, February 2004.
https://doi.org/10.6028/NIST.FIPS.199

2.

National Institute of Standards and Technology Federal Information Processing
Standards Publication 200, Minimum Security Requirements for Federal Information andInformation Systems, March 2006.
https://doi.org/10.6028/NIST.FIPS.200

3.

National Institute of Standards and Technology Special Publication 800-53, Revision 4,
Security and Privacy Controls for Federal Information Systems and Organizations, April
2013.
https://doi.org/10.6028/NIST.SP.800-53r4

4.

National Institute of Standards and Technology Special Publication 800-60, Revision 1,
Guide for Mapping Types of Information and Information Systems to Security Categories,
Volume 1, August 2008.
https://doi.org/10.6028/NIST.SP.800-60v1r1

5.

National Institute of Standards and Technology Special Publication 800-60, Revision 1,
Guide for Mapping Types of Information and Information Systems to Security Categories,
Volume 2, August 2008.
https://doi.org/10.6028/NIST.SP.800-60v2r1

28 References in this section without specific publication dates or revision numbers are assumed to refer to the mostrecent updates to those publications.

APPENDIX A

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6.

National Institute of Standards and Technology Special Publication 800-171A, Assessing
Security Requirements for Controlled Unclassified Information, June 2018.
https://doi.org/10.6028/NIST.SP.800-171A

7.

National Institute of Standards and Technology Framework for Improving Critical
Infrastructure Cybersecurity (as amended).
https://www.nist.gov/cyberframework

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8.

International Organization for Standardization/International Electrotechnical Commission(ISO/IEC) 27001:2013, Information technology -- Security techniques -- Information
security management systems -- Requirements, September 2013.

9.

International Organization for Standardization/International Electrotechnical Commission(ISO/IEC) 27002:2013, Information technology -- Security techniques -- Code of practicefor information security controls, September 2013.

10.

Committee on National Security Systems Instruction 4009 (as amended), National
Information Assurance Glossary.
https://www.cnss.gov
OTHER RESOURCES

1.

National Archives and Records Administration, Controlled Unclassified Information
Registry.
https://www.archives.gov/cui/registry/category-list

APPENDIX A

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APPENDIX BGLOSSARYCOMMON TERMS AND DEFINITIONSA

ppendix B provides definitions for security terminology used within Special Publication
800-171. Unless specifically defined in this glossary, all terms used in this publication are
consistent with the definitions contained in CNSS Instruction 4009, National Information
Assurance Glossary.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

agencySee executive agency.

assessment

See Security Control Assessment.

assessor

See Security Control Assessor.

audit log

A chronological record of system activities, including records ofsystem accesses and operations performed in a given period.

audit record

An individual entry in an audit log related to an audited event.

authentication[FIPS 200, Adapted]

Verifying the identity of a user, process, or device, often as aprerequisite to allowing access to resources in a system.

availability

Ensuring timely and reliable access to and use of information.

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

baseline configuration

A documented set of specifications for a system, or aconfiguration item within a system, that has been formallyreviewed and agreed on at a given point in time, and which can bechanged only through change control procedures.

blacklisting

A process used to identify software programs that are notauthorized to execute on a system or prohibited Universal
Resource Locators (URL)/websites.

confidentiality

Preserving authorized restrictions on information access anddisclosure, including means for protecting personal privacy andproprietary information.

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

configuration
management

A collection of activities focused on establishing and maintaining
the integrity of information technology products and systems,
through control of processes for initializing, changing, andmonitoring the configurations of those products and systems
throughout the system development life cycle.

configuration settings

The set of parameters that can be changed in hardware, software,or firmware that affect the security posture and/or functionality ofthe system.

controlled area

Any area or space for which the organization has confidence thatthe physical and procedural protections provided are sufficient tomeet the requirements established for protecting the informationor system.

APPENDIX B

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controlled unclassified
information[E.O. 13556]

CUI categories orsubcategories[Title 32 CFR, Part 2002]

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CUI Executive Agent[Title 32 CFR, Part 2002]

CUI program[Title 32 CFR, Part 2002]

CUI registry[Title 32 CFR, Part 2002]

environment of operation[NIST SP 800-37, Adapted]

executive agency[41 U.S.C., Sec. 403]

Information that law, regulation, or governmentwide policy
requires to have safeguarding or disseminating controls,
excluding information that is classified under Executive Order
13526, Classified National Security Information, December 29,
2009, or any predecessor or successor order, or the Atomic
Energy Act of 1954, as amended.
Those types of information for which laws, regulations, orgovernmentwide policies require or permit agencies to exercise
safeguarding or dissemination controls, and which the CUI
Executive Agent has approved and listed in the CUI Registry.
The National Archives and Records Administration (NARA),
which implements the executive branch-wide CUI Program andoversees federal agency actions to comply with Executive Order
13556. NARA has delegated this authority to the Director of theInformation Security Oversight Office (ISOO).
The executive branch-wide program to standardize CUI handlingby all federal agencies. The program includes the rules,
organization, and procedures for CUI, established by Executive
Order 13556, 32 CFR Part 2002, and the CUI Registry.
The online repository for all information, guidance, policy, andrequirements on handling CUI, including everything issued by the
CUI Executive Agent other than 32 CFR Part 2002. Among otherinformation, the CUI Registry identifies all approved CUI
categories and subcategories, provides general descriptions for
each, identifies the basis for controls, establishes markings, andincludes guidance on handling procedures.
The physical surroundings in which a system processes, stores,
and transmits information.
An executive department specified in 5 U.S.C., Sec. 105; amilitary department specified in 5 U.S.C., Sec. 102; anindependent establishment as defined in 5 U.S.C., Sec. 104(1);and a wholly owned Government corporation fully subject to theprovisions of 31 U.S.C., Chapter 91.

external system (orcomponent)

A system or component of a system that is outside of theauthorization boundary established by the organization and forwhich the organization typically has no direct control over theapplication of required security controls or the assessment of
security control effectiveness.

external system service

A system service that is implemented outside of the authorization
boundary of the organizational system (i.e., a service that is used
by, but not a part of, the organizational system) and for which theorganization typically has no direct control over the application ofrequired security controls or the assessment of security control
effectiveness.

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external system service
providerA provider of external system services to an organization througha variety of consumer-producer relationships including but notlimited to: joint ventures; business partnerships; outsourcing
arrangements (i.e., through contracts, interagency agreements,
lines of business arrangements); licensing agreements; and/or
supply chain exchanges.

external network

A network not controlled by the organization.

federal agency

See executive agency.

federal information
systemAn information system used or operated by an executive agency,
by a contractor of an executive agency, or by anotherorganization on behalf of an executive agency.

[40 U.S.C., Sec. 11331]

FIPS-validated
cryptography

A cryptographic module validated by the Cryptographic Module
Validation Program (CMVP) to meet requirements specified in
FIPS Publication 140-2 (as amended). As a prerequisite to CMVP
validation, the cryptographic module is required to employ acryptographic algorithm implementation that has successfully
passed validation testing by the Cryptographic Algorithm
Validation Program (CAVP). See NSA-Approved Cryptography.

firmware

Computer programs and data stored in hardware - typically inread-only memory (ROM) or programmable read-only memory(PROM) - such that the programs and data cannot be dynamically
written or modified during execution of the programs.

hardware

The physical components of a system. See Software andFirmware.

identifier

Unique data used to represent a person’s identity and associatedattributes. A name or a card number are examples of identifiers.
A unique label used by a system to indicate a specific entity,
object, or group.

impact

The effect on organizational operations, organizational assets,
individuals, other organizations, or the Nation (including thenational security interests of the United States) of a loss ofconfidentiality, integrity, or availability of information or asystem.

impact value

The assessed potential impact resulting from a compromise of theconfidentiality of information (e.g., CUI) expressed as a value oflow, moderate, or high.

incident

An occurrence that actually or potentially jeopardizes theconfidentiality, integrity, or availability of a system or the
information the system processes, stores, or transmits or that
constitutes a violation or imminent threat of violation of security
policies, security procedures, or acceptable use policies.

[FIPS 200, Adapted]

information

APPENDIX B

Any communication or representation of knowledge such as facts,
data, or opinions in any medium or form, including textual,numerical, graphic, cartographic, narrative, or audiovisual.

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information flow control

Procedure to ensure that information transfers within a system are
not made in violation of the security policy.

information resources

Information and related resources, such as personnel, equipment,
funds, and information technology.

[44 U.S.C., Sec. 3502]

information security[44 U.S.C., Sec. 3542]

information system[44 U.S.C., Sec. 3502]
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information technology[40 U.S.C., Sec. 1401]

The protection of information and information systems fromunauthorized access, use, disclosure, disruption, modification, or
destruction in order to provide confidentiality, integrity, andavailability.
A discrete set of information resources organized for thecollection, processing, maintenance, use, sharing, dissemination,or disposition of information.
Any equipment or interconnected system or subsystem ofequipment that 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 thepreceding sentence, equipment is used by an executive agency if
the equipment is used by the executive agency directly or is usedby a contractor under a contract with the executive agency which:(i) requires the use of such equipment; or (ii) requires the use, to asignificant extent, of such equipment in the performance of aservice 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.

insider threat

The threat that an insider will use her/his authorized access,wittingly or unwittingly, to do harm to the security of the UnitedStates. This threat can include damage to the United States
through espionage, terrorism, unauthorized disclosure, or throughthe loss or degradation of departmental resources or capabilities.

integrity

Guarding against improper information modification or
destruction, and includes ensuring information non-repudiation
and authenticity.

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

internal network

A network where establishment, maintenance, and provisioningof security controls are under the direct control of organizational
employees or contractors; or the cryptographic encapsulation orsimilar security technology implemented between organizationcontrolled endpoints, provides the same effect (with regard to
confidentiality and integrity). An internal network is typicallyorganization-owned, yet may be organization-controlled while
not being organization-owned.

least privilege

The principle that a security architecture should be designed sothat each entity is granted the minimum system resources andauthorizations that the entity needs to perform its function.

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local access

Access to an organizational system by a user (or process acting
on behalf of a user) communicating through a direct connection
without the use of a network.

malicious code

Software or firmware intended to perform an unauthorizedprocess that will have adverse impact on the confidentiality,
integrity, or availability of a system. A virus, worm, Trojan horse,
or other code-based entity that infects a host. Spyware and someforms of adware are also examples of malicious code.

media

Physical devices or writing surfaces including, but not limited to,magnetic tapes, optical disks, magnetic disks, Large-Scale
Integration (LSI) memory chips, and printouts (but not including
display media) onto which information is recorded, stored, or
printed within a system.

[FIPS 200]
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mobile code

Software programs or parts of programs obtained from remotesystems, transmitted across a network, and executed on a local
system without explicit installation or execution by the recipient.

mobile device

A portable computing device that has a small form factor suchthat it can easily be carried by a single individual; is designed tooperate without a physical connection (e.g., wirelessly transmit orreceive information); possesses local, non-removable/removabledata storage; and includes a self-contained power source. Mobile
devices may also include voice communication capabilities, onboard sensors that allow the devices to capture information, or
built-in features that synchronize local data with remote locations.
Examples include smartphones, tablets, and E-readers.

multifactor
authentication

Authentication using two or more different factors to achieveauthentication. Factors include something you know (e.g., PIN,
password); something you have (e.g., cryptographic identification
device, token); or something you are (e.g., biometric). See also
Authenticator.

nonfederal organization

An entity that owns, operates, or maintains a nonfederal system.

nonfederal system

A system that does not meet the criteria for a federal system.

network

A system implemented with a collection of interconnectedcomponents. Such components may include routers, hubs,
cabling, telecommunications controllers, key distribution centers,
and technical control devices.

network access

Access to a system by a user (or a process acting on behalf of auser) communicating through a network (e.g., local area network,
wide area network, Internet).

nonlocal maintenance

Maintenance activities conducted by individuals communicating
through a network, either an external network (e.g., the Internet)
or an internal network.

APPENDIX B

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on behalf of(an agency)[32 CFR Part 2002]

organization[FIPS 200, Adapted]

A situation that occurs when: (i) a non-executive branch entity
uses or operates an information system or maintains or collects
information for the purpose of processing, storing, or transmittingFederal information; and (ii) those activities are not incidental toproviding a service or product to the government.
An entity of any size, complexity, or positioning within an
organizational structure.

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portable storage device

A system component that can be inserted into and removed froma system, and that is used to store data or information (e.g., text,
video, audio, and/or image data). Such components are typically
implemented on magnetic, optical, or solid state devices (e.g.,
floppy disks, compact/digital video disks, flash/thumb drives,
external hard disk drives, and flash memory cards/drives that
contain nonvolatile memory).

potential impact

The loss of confidentiality, integrity, or availability could be
expected to have: (i) a limited adverse effect (FIPS Publication
199 low); (ii) a serious adverse effect (FIPS Publication 199
moderate); or (iii) a severe or catastrophic adverse effect (FIPS
Publication 199 high) on organizational operations,organizational assets, or individuals.

[FIPS 199]

privileged accountA system account with authorizations of a privileged user.

privileged user

A user that is authorized (and therefore, trusted) to performsecurity-relevant functions that ordinary users are not authorized
to perform.

records

The recordings (automated and/or manual) of evidence ofactivities performed or results achieved (e.g., forms, reports, test
results), which serve as a basis for verifying that the organizationand the system are performing as intended. Also used to refer tounits of related data fields (i.e., groups of data fields that can beaccessed by a program and that contain the complete set of
information on particular items).

remote access

Access to an organizational system by a user (or a process acting
on behalf of a user) communicating through an external network(e.g., the Internet).

remote maintenance

Maintenance activities conducted by individuals communicating
through an external network (e.g., the Internet).

replay resistanceProtection against the capture of transmitted authentication oraccess control information and its subsequent retransmission with
the intent of producing an unauthorized effect or gaining
unauthorized access.

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________risk[FIPS 200, Adapted]

A measure of the extent to which an entity is threatened by apotential circumstance or event, and typically a function of: (i)the adverse impacts that would arise if the circumstance or event
occurs; and (ii) the likelihood of occurrence.
System-related security risks are those risks that arise from theloss of confidentiality, integrity, or availability of information orsystems. Such risks reflect the potential adverse impacts toorganizational operations, organizational assets, individuals, otherorganizations, and the Nation.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

risk assessment

The process of identifying risks to organizational operations(including mission, functions, image, reputation), organizational
assets, individuals, other organizations, and the Nation, resulting
from the operation of a system.
Part of risk management, incorporates threat and vulnerability
analyses, and considers mitigations provided by security controls
planned or in place. Synonymous with risk analysis.

sanitization

Actions taken to render data written on media unrecoverable byboth ordinary and, for some forms of sanitization, extraordinarymeans.
Process to remove information from media such that data
recovery is not possible. It includes removing all classified labels,
markings, and activity logs.

security

A condition that results from the establishment and maintenanceof protective measures that enable an enterprise to perform its
mission or critical functions despite risks posed by threats to its
use of systems. Protective measures may involve a combinationof deterrence, avoidance, prevention, detection, recovery, andcorrection that should form part of the enterprise’s risk
management approach.

security assessment

See Security Control Assessment.

security control

A safeguard or countermeasure prescribed for a system or an
organization designed to protect the confidentiality, integrity, andavailability of its information and to meet a set of defined security
requirements.

[FIPS 199, Adapted]

security control
assessment[CNSSI 4009, Adapted]

security domain[CNSSI 4009, Adapted]

security functionality

APPENDIX B

The testing or evaluation of security controls to determine theextent to which the controls are implemented correctly, operating
as intended, and producing the desired outcome with respect tomeeting the security requirements for a system or organization.
A domain that implements a security policy and is administeredby a single authority.
The security-related features, functions, mechanisms, services,
procedures, and architectures implemented within organizational
systems or the environments in which those systems operate.

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security functions

The hardware, software, or firmware of the system responsible
for enforcing the system security policy and supporting theisolation of code and data on which the protection is based.

security relevance

Functions or mechanisms that are relied upon, directly or
indirectly, to enforce a security policy that governs
confidentiality, integrity, and availability protections.

split tunneling

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 (e.g., a networked printer) at the sametime as accessing uncontrolled networks.

supplemental guidanceStatements used to provide additional explanatory information for
security controls or security control enhancements.

systemSee Information System.

system component

A discrete, identifiable information technology asset (hardware,
software, firmware) that represents a building block of a system.
System components include commercial information technology
products.

[NIST SP 800-128, Adapted]

system security plan

A document that describes how an organization meets the
security requirements for a system or how an organization plans
to meet the requirements. In particular, the system security plan
describes the system boundary; the environment in which thesystem operates; how the security requirements are implemented;
and the relationships with or connections to other systems.

system service

A capability provided by a system that facilitates information
processing, storage, or transmission.

threatAny circumstance or event with the potential to adversely impact
organizational operations, organizational assets, individuals, otherorganizations, or the Nation through a system via unauthorizedaccess, destruction, disclosure, modification of information,
and/or denial of service.

[CNSSI 4009, Adapted]

user[CNSSI 4009, Adapted]

Individual, or (system) process acting on behalf of an individual,
authorized to access a system.

whitelisting

A process used to identify software programs that are authorized
to execute on a system or authorized Universal Resource Locators(URL)/websites.

wireless technology

Technology that permits the transfer of information between
separated points without physical connection.

APPENDIX B

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APPENDIX CACRONYMS
COMMON ABBREVIATIONSThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

CFR

Code of Federal Regulations

CIO

Chief Information Officer

CNSS

Committee on National Security Systems

CUI

Controlled Unclassified Information

FIPS

Federal Information Processing Standards

FISMA

Federal Information Security Modernization Act

ISO/IEC

International Organization for Standardization/International ElectrotechnicalCommission

ISOO

Information Security Oversight Office

ITL

Information Technology Laboratory

NARA

National Archives and Records Administration

NFO

Nonfederal Organization

NIST

National Institute of Standards and Technology

OMB

Office of Management and BudgetSP

Special Publication

APPENDIX CPAGE 27

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APPENDIX D

MAPPING TABLES
MAPPING SECURITY REQUIREMENTS TO SECURITY CONTROLSTThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

ables D-1 through D-14 provide a mapping of the security requirements to the relevant
security controls in NIST Special Publication 800-53. The mapping tables are included for
informational purposes only and are not intended to convey or impart any additional
security requirements beyond those requirements defined in Chapter Three. Moreover, because
the security controls were developed for federal agencies, the supplemental guidance associatedwith those controls may not be applicable to nonfederal organizations. In some cases, the relevant
security controls include additional expectations beyond those required to protect CUI and havebeen tailored using the criteria in Chapter Two. Only the portion of the security control relevantto the security requirement is applicable. The tables also include a secondary mapping of the
security controls from Special Publication 800-53 to the relevant controls in ISO/IEC 27001,
Annex A. The NIST to ISO/IEC mapping is obtained from Special Publication 800-53, Appendix
H. An asterisk (*) indicates that the ISO/IEC control does not fully satisfy the intent of the NIST
control. It is also important to note that, due to the tailoring for CUI, satisfaction of a basic orderived security requirement does not mean that the corresponding security control or control
enhancement from NIST Special Publication 800-53 has been met, since certain elements of thecontrol or control enhancement that are not essential to protecting the confidentiality of CUI are
not reflected in those requirements.
Organizations that have implemented or plan to implement the NIST Framework for Improving
Critical Infrastructure Cybersecurity can use the mapping of the security requirements to thesecurity controls in NIST Special Publication 800-53 and ISO/IEC 27001 to locate the equivalent
controls in the categories and subcategories associated with the core functions of the Framework:
identify, protect, detect, respond, and recover. The security control mapping information can be
useful to organizations that wish to demonstrate compliance to the security requirements in thecontext of their established information security programs, when such programs have been built
around the NIST or ISO/IEC security controls.

CONSISTENCY IN PUBLICATION CONTENTNIST continues to update its publications over time to ensure that the content remains current andrelevant for the communities that it serves. Since these updates are ongoing, there may be instanceswhere the content referenced in this publication may be inconsistent with other NIST publications.
For example, the names of selected security controls and control enhancements from NIST Special
Publication 800-53 in this Appendix reflect planned updates to that publication. This inconsistency is
temporary and will be resolved when the referenced publication is finalized.

APPENDIX D

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NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.1 ACCESS CONTROL
Basic Security Requirements
3.1.1

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3.1.2

Limit system access toauthorized users, processes
acting on behalf of authorizedusers, and devices (including
other systems).

AC-2

Account Management

A.9.2.1

A.18.1.3

User registration andde-registration
User accessprovisioning
Management ofprivileged accessrights
Review of user
access rights
Removal or
adjustment of accessrightsTeleworking
Access to networks
and network services
Information access
restriction
Use of privileged
utility programs
Access control toprogram source code
Network controls
Securing application
services on public
networks
Protecting
application services
transactions
Protection of records

A.6.2.1
A.6.2.2
A.13.1.1

Mobile device policy
Teleworking
Network controls

A.13.2.1

Information transfer
policies andprocedures
Securing application
services on public
networks

A.9.2.2
A.9.2.3

Limit system access to thetypes of transactions andfunctions that authorizedusers are permitted to
execute.

A.9.2.5
A.9.2.6

AC-3

Access Enforcement

A.6.2.2
A.9.1.2
A.9.4.1
A.9.4.4
A.9.4.5
A.13.1.1
A.14.1.2

A.14.1.3

AC-17

Remote Access

A.14.1.2

Derived Security Requirements
3.1.3

Control the flow of CUI in
accordance with approved
authorizations.

APPENDIX D

AC-4

Information Flow
Enforcement

A.13.1.3
A.13.2.1

Segregation in
networks
Information transfer
policies andprocedures

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SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

A.14.1.2

A.14.1.3

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3.1.4

Separate the duties ofindividuals to reduce the riskof malevolent activity without
collusion.

AC-5

Separation of Duties

A.6.1.2

3.1.5

Employ the principle of leastprivilege, including forspecific security functions andprivileged accounts.

AC-6

Least Privilege

A.9.1.2
A.9.2.3

A.9.4.4
A.9.4.5

Securing application
services on public
networks
Protecting
application services
transactions
Segregation of duties

Access to networks
and network services
Management ofprivileged accessrightsUse of privileged
utility programs
Access control toprogram source codeAC-6(1)

Least Privilege

No direct mapping.

AC-6(5)

Least Privilege

No direct mapping.

Authorize Access to Security
Functions
Privileged Accounts

3.1.6

Use non-privileged accounts
or roles when accessing
nonsecurity functions.

AC-6(2)

Least Privilege

No direct mapping.

3.1.7

Prevent non-privileged users
from executing privileged
functions and capture theexecution of such functions inaudit logs.

AC-6(9)

Least Privilege

No direct mapping.

AC-6(10)

Least Privilege

No direct mapping.

3.1.8

Limit unsuccessful logon
attempts.

AC-7

Unsuccessful Logon
Attempts

A.9.4.2

Secure logon
procedures

3.1.9

Provide privacy and security
notices consistent withapplicable CUI rules.

AC-8

System Use Notification

A.9.4.2

Secure logon
procedures

AC-11

Session Lock

A.11.2.8

Unattended user
equipment
Clear desk and clear
screen policy

3.1.10 Use session lock with patternhiding displays to prevent
access and viewing of data
after a period of inactivity.

Non-Privileged Access forNonsecurity Functions
Log Use of Privileged
Functions
Prohibit Non-Privileged
Users from Executing
Privileged Functions

A.11.2.9
AC-11(1)Session Lock

No direct mapping.

3.1.11 Terminate (automatically) auser session after a definedcondition.

AC-12

Session Termination

No direct mapping.

3.1.12 Monitor and control remote
access sessions.

AC-17(1)Remote AccessNo direct mapping.

APPENDIX D

Pattern-Hiding Displays

Automated Monitoring /Control

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SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

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3.1.13 Employ cryptographic
mechanisms to protect theconfidentiality of remote
access sessions.

AC-17(2)Remote AccessNo direct mapping.

3.1.14 Route remote access via
managed access control
points.

AC-17(3)Remote AccessNo direct mapping.

3.1.15 Authorize remote executionof privileged commands andremote access to securityrelevant information.

AC-17(4)Remote AccessNo direct mapping.

3.1.16 Authorize wireless accessprior to allowing suchconnections.

AC-18

Wireless Access

A.6.2.1
A.13.1.1

3.1.17 Protect wireless access using
authentication andencryption.

AC-18(1)Wireless AccessNo direct mapping.

3.1.18 Control connection of mobile
devices.

AC-19

Access Control for
Mobile Devices

A.6.2.1

Mobile device policy

A.11.2.6

Security ofequipment andassets off-premises
Information transfer
policies andproceduresProtection of Confidentiality/ Integrity Using Encryption

Managed Access Control
PointsPrivileged Commands /AccessA.13.2.1

Authentication andEncryption

A.13.2.1

3.1.19 Encrypt CUI on mobile
devices and mobile
computing platforms.

AC-19(5)3.1.20 Verify and control/limit
connections to and use of
external systems.

AC-20

Mobile device policy
Network controls
Information transfer
policies andprocedures

Access Control for
Mobile Devices

No direct mapping.

Use of External Systems

A.11.2.6

Full Device / ContainerBased Encryption

A.13.1.1
A.13.2.1

Security ofequipment andassets off-premises
Network controls
Information transfer
policies andproceduresAC-20(1)

Use of External Systems

No direct mapping.

3.1.21 Limit use of portable storage
devices on external systems.

AC-20(2)Use of External Systems

No direct mapping.

3.1.22 Control CUI posted orprocessed on publicly
accessible systems.

AC-22

Publicly Accessible
Content

No direct mapping.

Limits on Authorized Use

Portable Storage Devices

Shortcut to CUI Access Control Requirements

APPENDIX D

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NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.2 AWARENESS AND TRAINING
Basic Security Requirements
3.2.1

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.2.2

Ensure that managers,systems administrators, andusers of organizational
systems are made aware of
the security risks associatedwith their activities and of theapplicable policies, standards,
and procedures related to thesecurity of those systems.

AT-2

Security AwarenessTraining

A.12.2.1

Information security
awareness,
education, andtraining
Controls against
malwareInformation security
awareness,
education, andtraining

AT-3

Role-Based Security
Training

A.7.2.2*

AT-2(2)

Security AwarenessTraining

No direct mapping.

Ensure that personnel aretrained to carry out theirassigned information
security-related duties andresponsibilities.

Derived Security Requirements
3.2.3 Provide security awarenesstraining on recognizing andreporting potential indicatorsof insider threat.

A.7.2.2

Insider Threat

Shortcut to CUI Awareness and Training Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-3: MAPPING AUDIT AND ACCOUNTABILITY REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.3 AUDIT AND ACCOUNTABILITY
Basic Security Requirements
3.3.1

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.3.2

Create and retain system
audit logs and records to theextent needed to enable themonitoring, analysis,
investigation, and reportingof unlawful or unauthorized
system activity.
Ensure that the actions ofindividual system users canbe uniquely traced to thoseusers so they can be held
accountable for theiractions.

AU-2

Event Logging

No direct mapping.

AU-3

Content of Audit
Records
Content of Audit
Records

A.12.4.1*

Audit Record Review,
Analysis, and Reporting

A.12.4.1

AU-3(1)

Event logging

No direct mapping.

Additional Audit
Information

AU-6

AU-11

Audit Record Retention

A.12.4.1
A.12.4.3

AU-12

Audit Record
Generation

A.12.4.1

Event logging
Reporting information
security events
Assessment of anddecision on information
security events
Event logging
Administrator andoperator logs
Event logging

A.16.1.7

Collection of evidence

A.16.1.2
A.16.1.4

Derived Security Requirements
3.3.3

Review and update logged
events.

AU-2(3)

Event Logging

No direct mapping.

3.3.4

Alert in the event of anaudit logging process
failure.

AU-5

Response to Audit
Logging Process Failures

No direct mapping.

3.3.5

Correlate audit record
review, analysis, andreporting processes forinvestigation and response
to indications of unlawful,
unauthorized, suspicious, or
unusual activity.

AU-6(3)

Audit Record Review,
Analysis, and Reporting

No direct mapping.

3.3.6

Provide audit record
reduction and report
generation to support ondemand analysis andreporting.

AU-7

Audit Record Reduction
and Report Generation

No direct mapping.

3.3.7

Provide a system capability
that compares andsynchronizes internal
system clocks with anauthoritative source togenerate time stamps foraudit records.

AU-8

Time Stamps

A.12.4.4

AU-8(1)Time Stamps

No direct mapping.

Protect audit information
and audit logging tools from

AU-9

Protection of Audit
Information

A.12.4.2

3.3.8

APPENDIX D

Reviews and Updates

Correlate Audit Record
Repositories

Clock synchronization

Synchronization with
Authoritative Time Source

Protection of log
information

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

unauthorized access,modification, and deletion.

A.12.4.3
A.18.1.3

3.3.9

Limit management of audit
logging functionality to a
subset of privileged users.

AU-9(4)

Protection of Audit
Information

Administrator andoperator logs
Protection of records

No direct mapping.

Access by Subset ofPrivileged Users

Shortcut to CUI Audit and Accountability Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1
APPENDIX D

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SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-4: MAPPING CONFIGURATION MANAGEMENT REQUIREMENTS TO CONTROLS 29
SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.4 CONFIGURATION MANAGEMENT
Basic Security Requirements
3.4.1

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.4.2

Establish and maintainbaseline configurations andinventories of organizational
systems (including hardware,
software, firmware, anddocumentation) throughout
the respective systemdevelopment life cycles.

CM-2
CM-6

Baseline Configuration
Configuration Settings

No direct mapping.

CM-8

System Component
Inventory

A.8.1.1
A.8.1.2

CM-8(1)

System Component
Inventory

No direct mapping.

Configuration Change
Control

A.12.1.2
A.14.2.2

No direct mapping.

Inventory of assets
Ownership of assets

Updates During
Installations / Removals

Establish and enforce
security configuration
settings for information
technology products
employed in organizational
systems.

Derived Security Requirements
3.4.3

Track, review, approve ordisapprove, and log changes
to organizational systems.

CM-3

A.14.2.3

A.14.2.4
3.4.4

Analyze the security impact
of changes prior to
implementation.

CM-4

Security Impact
Analysis

A.14.2.3

3.4.5

Define, document, approve,and enforce physical andlogical access restrictions
associated with changes toorganizational systems.

CM-5

Access Restrictions for
ChangeA.9.2.3
A.9.4.5
A.12.1.2
A.12.1.4

A.12.5.1

Change management
System change control
proceduresTechnical review ofapplications after
operating platformchanges
Restrictions on changes
to software packages
Technical review ofapplications after
operating platformchangesManagement ofprivileged access rights
Access control toprogram source code
Change management
Separation ofdevelopment, testing,and operational
environments
Installation of softwareon operational systems

29 CM-7(5), the least functionality whitelisting policy, is listed as an alternative to CM-7(4), the least functionality
blacklisting policy, for organizations desiring greater protection for systems containing CUI. CM-7(5) is only requiredin federal systems at the high security control baseline in accordance with NIST Special Publication 800-53.

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.4.6

Employ the principle of least
functionality by configuringorganizational systems toprovide only essential
capabilities.

CM-7

Least Functionality

A.12.5.1*

3.4.7

Restrict, disable, or preventthe use of nonessential
programs, functions, ports,
protocols, and services.

CM-7(1)

Least Functionality

No direct mapping.

CM-7(2)

Least Functionality

No direct mapping.

Apply deny-by-exception(blacklisting) policy toprevent the use ofunauthorized software or
deny-all, permit-byexception (whitelisting)policy to allow the executionof authorized software.

CM-7(4)

Least Functionality

No direct mapping.

CM-7(5)

Least Functionality

No direct mapping.

Control and monitor userinstalled software.

CM-11

User-Installed Software

A.12.5.1

3.4.8

3.4.9

Installation of softwareon operational systems

Periodic Review

Prevent program
execution

Unauthorized Software/Blacklisting
Authorized Software/Whitelisting

A.12.6.2

Installation of softwareon operational systems
Restrictions on
software installation

Shortcut to CUI Configuration Management Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-5: MAPPING IDENTIFICATION AND AUTHENTICATION REQUIREMENTS TO CONTROLS 30
SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.5 IDENTIFICATION AND AUTHENTICATION
Basic Security Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.5.1

Identify system users,
processes acting on behalf ofusers, and devices.

IA-2

3.5.2

Authenticate (or verify) the
identities of users, processes,
or devices, as a prerequisite
to allowing access toorganizational systems.

IA-3
IA-5

Identification andAuthentication(Organizational Users)
Device Identification andAuthentication
Authenticator
Management

A.9.2.1

User registration andde-registration

No direct mapping.

A.9.2.1

User registration andde-registration

A.9.2.4

Management ofsecretauthentication
information of users
Use of secretauthentication
information
Password
management system

A.9.3.1

A.9.4.3
Derived Security Requirements
3.5.3

Use multifactor
authentication for local andnetwork access to privileged
accounts and for network
access to non-privileged
accounts.

IA-2(1)

Identification andAuthentication(Organizational Users)

No direct mapping.

Identification andAuthentication(Organizational Users)

No direct mapping.

Identification andAuthentication(Organizational Users)

No direct mapping.

Identification andAuthentication(Organizational Users)

No direct mapping.

Identification andAuthentication(Organizational Users)

No direct mapping.

Network Access toPrivileged Accounts

IA-2(2)

Network Access to NonPrivileged Accounts

IA-2(3)

Local Access to Privileged
Accounts

3.5.4

Employ replay-resistantauthentication mechanisms
for network access toprivileged and non-privileged
accounts.

IA-2(8)

Network Access toPrivileged Accounts-Replay
ResistantIA-2(9)

Network Access to NonPrivileged Accounts-Replay
Resistant

30 IA-2(9) is not currently in the NIST Special Publication 800-53 moderate security control baseline although it will be
added to the baseline in the next update. Employing multifactor authentication without a replay-resistant capability for
non-privileged accounts creates a significant vulnerability for systems transmitting CUI.

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.5.5

Prevent reuse of identifiers
for a defined period.

IA-4

Identifier Management

A.9.2.1

User registration andde-registration

3.5.6

Disable identifiers after adefined period of inactivity.

IA-4

Identifier Management

A.9.2.1

User registration andde-registration

3.5.7

Enforce a minimum password
complexity and change ofcharacters when new
passwords are created.

IA-5(1)

Authenticator
Management

No direct mapping.

Authenticator Feedback

A.9.4.2

3.5.8

Prohibit password reuse for a
specified number ofgenerations.

3.5.9

Allow temporary password
use for system logons with animmediate change to apermanent password.

Password-Based
Authentication

3.5.10 Store and transmit only
cryptographically-protectedpasswords.
3.5.11 Obscure feedback ofauthentication information.

IA-6

Secure logon
procedures

Shortcut to CUI Identification and Authentication Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-6: MAPPING INCIDENT RESPONSE REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.6 INCIDENT RESPONSE
Basic Security Requirements
3.6.1

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.6.2

Establish an operational
incident-handling capability
for organizational systems
that includes preparation,
detection, analysis,containment, recovery, anduser response activities.

IR-2

Incident Response
Training

A.7.2.2*

IR-4

Incident Handling

A.16.1.4

Track, document, and reportincidents to designatedofficials and/or authorities
both internal and external tothe organization.

A.16.1.5

A.16.1.6

IR-5
IR-6

Incident Monitoring
Incident Reporting

Information security
awareness,
education, andtraining
Assessment of anddecision on
information security
eventsResponse to
information security
incidents
Learning frominformation security
incidents

No direct mapping.

A.6.1.3
A.16.1.2

Contact withauthorities
Reportinginformation security
eventsIR-7

Incident Response
Assistance

No direct mapping.

IR-3

Incident Response
Testing

No direct mapping.

Derived Security Requirements
3.6.3

Test the organizational
incident response capability.

Shortcut to CUI Incident Response Requirements

APPENDIX D

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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-7: MAPPING MAINTENANCE REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.7 MAINTENANCE
Basic Security Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.7.1

Perform maintenance onorganizational systems.

3.7.2

Provide controls on thetools, techniques,mechanisms, and personnel
used to conduct system
maintenance.

MA-2

Controlled
Maintenance

A.11.2.4*

MA-3
MA-3(1)

Maintenance Tools
Maintenance Tools

No direct mapping.

MA-3(2)

Maintenance Tools

No direct mapping.

A.11.2.4*

Equipment
maintenance

A.11.2.5*

Removal of assets

A.11.2.5*

Equipment
maintenance
Removal of assets

No direct mapping.

Inspect Tools

Inspect media

Derived Security Requirements
3.7.3

Ensure equipment removed
for off-site maintenance issanitized of any CUI.

MA-2

Controlled
Maintenance

3.7.4

Check media containing
diagnostic and test
programs for malicious code
before the media are usedin organizational systems.

MA-3(2)

Maintenance Tools

No direct mapping.

3.7.5

Require multifactor
authentication to establish
nonlocal maintenancesessions via external
network connections andterminate such connections
when nonlocal maintenanceis complete.

MA-4

Nonlocal MaintenanceNo direct mapping.

3.7.6

Supervise the maintenanceactivities of maintenancepersonnel without required
access authorization.

MA-5

Maintenance Personnel

No direct mapping.

Shortcut to CUI Maintenance Requirements

APPENDIX D

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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-8: MAPPING MEDIA PROTECTION REQUIREMENTS TO CONTROLS 31
SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.8 MEDIA PROTECTION
Basic Security Requirements
3.8.1

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.8.2

3.8.3

Protect (i.e., physicallycontrol and securely
store) system media
containing CUI, both
paper and digital.

MP-2

Limit access to CUI on
system media toauthorized users.

MP-4

Sanitize or destroy
system media containing
CUI before disposal orrelease for reuse.

Media Access

A.8.2.3
A.8.3.1
A.11.2.9

Media Storage

A.8.2.3
A.8.3.1
A.11.2.9

MP-6Media Sanitization

A.8.2.3
A.8.3.1
A.8.3.2
A.11.2.7

Handling of Assets
Management ofremovable media
Clear desk and clear
screen policy
Handling of Assets
Management ofremovable media
Clear desk and clear
screen policy
Handling of Assets
Management ofremovable media
Disposal of media
Secure disposal or reuseof equipment

Derived Security Requirements
3.8.4

Mark media withnecessary CUI markingsand distribution
limitations.

MP-3

Media Marking

A.8.2.2

Labelling of Information

3.8.5

Control access to media
containing CUI andmaintain accountability
for media duringtransport outside ofcontrolled areas.

MP-5

Media Transport

A.8.2.3
A.8.3.1

Handling of Assets
Management ofremovable media
Physical media transfer
Removal of assets

3.8.6

Implement cryptographic
mechanisms to protect
the confidentiality of CUI
stored on digital media
during transport unlessotherwise protected byalternative physicalsafeguards.

MP-5(4)

Media Transport

No direct mapping.

3.8.7

Control the use ofremovable media on
system components.

MP-7

Media Use

A.8.2.3

Handling of Assets

A.8.3.1

Management ofremovable media

A.8.3.3
A.11.2.5
A.11.2.6

Security of equipment
and assets off-premises

Cryptographic Protection

31 CP-9, Information System Backup, is included with the Media Protection family since the Contingency Planningfamily was not included in the security requirements.

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.8.8

Prohibit the use of
portable storage devices
when such devices haveno identifiable owner.

MP-7(1)

Media Use

No direct mapping.

3.8.9

Protect theconfidentiality of backup
CUI at storage locations.

CP-9

System Backup

A.12.3.1

Information backup

A.17.1.2

Implementing
information security
continuity
Protection of records

Prohibit Use Without
Owner

A.18.1.3
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Shortcut to CUI Media Protection Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-9: MAPPING PERSONNEL SECURITY REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.9 PERSONNEL SECURITY
Basic Security Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.9.1

Screen individuals prior toauthorizing access toorganizational systems
containing CUI.

3.9.2

Ensure that organizational
systems containing CUI areprotected during and after
personnel actions such as
terminations and transfers.

Derived Security Requirements

PS-3
PS-4

PS-5

Personnel Screening
Personnel Termination

A.7.1.1
A.7.3.1

Personnel Transfer

A.8.1.4
A.7.3.1

A.8.1.4

Screening
Termination or changeof employment
responsibilities
Return of assets
Termination or changeof employment
responsibilities
Return of assets

None.

Shortcut to CUI Personnel Security Requirements

APPENDIX D

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SPECIAL PUBLICATION 800-171
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PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-10: MAPPING PHYSICAL PROTECTION REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.10 PHYSICAL PROTECTION
Basic Security Requirements
3.10.1 Limit physical access toorganizational systems,
equipment, and therespective operating
environments to authorizedindividuals.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.10.2 Protect and monitor thephysical facility and support
infrastructure fororganizational systems.

PE-2

Physical Access
Authorizations

A.11.1.2*

Physical entry controls

PE-4

Access Control forTransmission Medium

A.11.1.2
A.11.2.3

Physical entry controls
Cabling security

PE-5

Access Control for
Output Devices

A.11.1.2
A.11.1.3

Physical entry controls
Securing offices,rooms, and facilities

PE-6

Monitoring PhysicalAccessNo direct mapping.

PE-3

Physical Access Control

A.11.1.1

Derived Security Requirements
3.10.3 Escort visitors and monitor
visitor activity.

A.11.1.2
3.10.4 Maintain audit logs ofphysical access.

Physical security
perimeter
Physical entry controls

A.11.1.3

Securing offices,rooms, and facilities

A.6.2.2
A.11.2.6

Teleworking
Security of equipment
and assets off-premises
Information transfer
policies andprocedures

3.10.5 Control and manage
physical access devices.
3.10.6 Enforce safeguarding
measures for CUI at
alternate work sites.

PE-17

Alternate Work Site

A.13.2.1

Shortcut to CUI Physical Protection Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-11: MAPPING RISK ASSESSMENT REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.11 RISK ASSESSMENT
Basic Security Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.11.1 Periodically assess the risk
to organizational operations(including mission,functions, image, or
reputation), organizational
assets, and individuals,
resulting from the operationof organizational systems
and the associatedprocessing, storage, ortransmission of CUI.

RA-3

Risk Assessment

A.12.6.1*

Management oftechnical vulnerabilities

3.11.2 Scan for vulnerabilities inorganizational systems andapplications periodically andwhen new vulnerabilities
affecting those systems andapplications are identified.

RA-5

Vulnerability Scanning

A.12.6.1*

Management oftechnical vulnerabilities

RA-5(5)

Vulnerability Scanning

No direct mapping.

3.11.3 Remediate vulnerabilities inaccordance with risk
assessments.

RA-5

Derived Security Requirements

Privileged Access

Vulnerability Scanning

A.12.6.1*

Management oftechnical vulnerabilities

Shortcut to CUI Risk Assessment Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-12: MAPPING SECURITY ASSESSMENT REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.12 SECURITY ASSESSMENT
Basic Security Requirements
3.12.1 Periodically assess the
security controls inorganizational systems todetermine if the controls
are effective in theirapplication.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.12.2 Develop and implement
plans of action designed tocorrect deficiencies andreduce or eliminate
vulnerabilities inorganizational systems.

CA-2

Security Assessments

A.14.2.8
A.18.2.2

A.18.2.3
CA-5
CA-7
PL-2

Plan of Action andMilestones
Continuous Monitoring
System Security Plan

System security testing
Compliance withsecurity policies andstandards
Technical compliancereview

No direct mapping.
No direct mapping.

A.6.1.2

Information security
coordination

3.12.3 Monitor security controls on
an ongoing basis to ensure
the continued effectivenessof the controls.
3.12.4 Develop, document, andperiodically update systemsecurity plans that describe
system boundaries, system
environments of operation,
how security requirements
are implemented, and therelationships with orconnections to othersystems.
Derived Security Requirements

None.

Shortcut to CUI Security Assessment Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-13: MAPPING SYSTEM AND COMMUNICATIONS PROTECTION REQUIREMENTS TO CONTROLS 32
SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.13 SYSTEM AND COMMUNICATIONS PROTECTION
Basic Security Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.13.1 Monitor, control, and protect
communications (i.e.,
information transmitted or
received by organizational
systems) at the externalboundaries and key internalboundaries of organizational
systems.
3.13.2 Employ architectural designs,
software development
techniques, and systems
engineering principles that
promote effective information
security within organizational
systems.

SC-7

Boundary Protection

A.13.1.1

Network controls

A.13.1.3

Segregation in
networks
Information transfer
policies andproceduresProtecting application
services transactions
Secure systemengineering principles

A.13.2.1

A.14.1.3
SA-8

Security Engineering
Principles

A.14.2.5

3.13.3 Separate user functionality
from system management
functionality.

SC-2

Application Partitioning

No direct mapping.

3.13.4 Prevent unauthorized andunintended informationtransfer via shared system
resources.

SC-4

Information in Shared
Resources

No direct mapping.

3.13.5 Implement subnetworks for
publicly accessible systemcomponents that arephysically or logicallyseparated from internal
networks.

SC-7

Boundary Protection

A.13.1.1

Network controls

A.13.1.3

Segregation in
networks
Information transfer
policies andproceduresProtecting application
services transactions

Derived Security Requirements

A.13.2.1

A.14.1.3
3.13.6 Deny network
communications traffic bydefault and allow network
communications traffic byexception (i.e., deny all,permit by exception).

SC-7(5)Boundary Protection

No direct mapping.

Deny by Default / Allow by
Exception

32 SA-8, Security Engineering Principles, is included with the System and Communications Protection family since the

System and Services Acquisition family was not included in the security requirements.

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.13.7 Prevent remote devices fromsimultaneously establishing
non-remote connections withorganizational systems andcommunicating via someother connection to resourcesin external networks (i.e., split
tunneling).

SC-7(7)3.13.8 Implement cryptographic
mechanisms to prevent
unauthorized disclosure of CUI
during transmission unlessotherwise protected byalternative physicalsafeguards.

SC-8

Boundary Protection

No direct mapping.

Prevent Split Tunneling for
Remote Devices

Transmission
Confidentiality andIntegrity

A.8.2.3

Handling of Assets

A.13.1.1
A.13.2.1

Network controls
Information transfer
policies andproceduresElectronic messaging
Securing application
services on public
networks
Protecting application
services transactions

A.13.2.3
A.14.1.2

A.14.1.3
SC-8(1)

Transmission
Confidentiality andIntegrity

No direct mapping.

Cryptographic or Alternate
Physical Protection

3.13.9 Terminate network
connections associated with
communications sessions at
the end of the sessions orafter a defined period ofinactivity.

SC-10

Network Disconnect

A.13.1.1

Network controls

3.13.10 Establish and manage
cryptographic keys forcryptography employed inorganizational systems.

SC-12

Cryptographic Key
Establishment andManagement

A.10.1.2

Key Management

3.13.11 Employ FIPS-validated
cryptography when used toprotect the confidentiality of
CUI.

SC-13

Cryptographic
Protection

A.10.1.1

Policy on the use of
cryptographic controls
Securing application
services on public
networks
Protecting application
services transactions
Regulation of
cryptographic controls

A.14.1.2

A.14.1.3
A.18.1.5
3.13.12 Prohibit remote activation ofcollaborative computing
devices and provide
indication of devices in use
to users present at thedevice.

SC-15

Collaborative
Computing Devices

A.13.2.1*

3.13.13 Control and monitor the useof mobile code.

SC-18

Mobile Code

No direct mapping.

APPENDIX D

Information transfer
policies andprocedures

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SECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.13.14 Control and monitor the useof Voice over Internet
Protocol (VoIP) technologies.

SC-19

Voice over Internet
Protocol

No direct mapping.

3.13.15 Protect the authenticity ofcommunications sessions.

SC-23

Session Authenticity

No direct mapping.

3.13.16 Protect the confidentiality of
CUI at rest.

SC-28

Protection ofInformation at Rest

A.8.2.3*

Handling of Assets

Shortcut to CUI System and Communications Protection Requirements

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1
APPENDIX D

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SPECIAL PUBLICATION 800-171
REVISION 1

PROTECTING CONTROLLED UNCLASSIFIED INFORMATION IN
NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE D-14: MAPPING SYSTEM AND INFORMATION INTEGRITY REQUIREMENTS TO CONTROLSSECURITY REQUIREMENTS

NIST SP 800-53

ISO/IEC 27001

Relevant Security Controls

Relevant Security Controls

3.14 SYSTEM AND INFORMATION INTEGRITY
Basic Security Requirements
3.14.1 Identify, report, and correct
system flaws in a timely
manner.

SI-2

Flaw Remediation

A.12.6.1
A.14.2.2

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.14.2 Provide protection frommalicious code at
designated locations withinorganizational systems.

A.14.2.3

3.14.3 Monitor system security
alerts and advisories andtake action in response.

A.16.1.3
SI-3
SI-5

Malicious CodeProtection
Security Alerts,
Advisories, andDirectives

A.12.2.1
A.6.1.4*

Management oftechnical vulnerabilities
System change control
proceduresTechnical review ofapplications after
operating platformchanges
Reporting information
security weaknesses
Controls against
malwareContact with special
interest groups

Derived Security Requirements
3.14.4 Update malicious code
protection mechanisms
when new releases areavailable.

SI-3

Malicious Code Protection

A.12.2.1

Controls against
malware3.14.6 Monitor organizational
systems, including inboundand outboundcommunications traffic, todetect attacks andindicators of potential
attacks.

SI-4

System Monitoring

No direct mapping.

SI-4(4)

System Monitoring

No direct mapping.

3.14.7 Identify unauthorized use oforganizational systems.

SI-4

System Monitoring

No direct mapping.

3.14.5 Perform periodic scans oforganizational systems andreal-time scans of files fromexternal sources as files aredownloaded, opened, or
executed.

Inbound and Outbound
Communications Traffic

Shortcut to CUI System and Information Integrity Requirements

APPENDIX D

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________

APPENDIX ETAILORING CRITERIALISTING OF MODERATE SECURITY CONTROL BASELINE AND TAILORING ACTIONSTThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

his appendix provides a complete listing of the security controls in the NIST Special
Publication 800-53 moderate baseline, one of the sources along with FIPS Publication
200, for the security requirements described in Chapter Three. Tables E-1 through E-17
contain the tailoring actions (by family) that have been carried out on the security controls in themoderate baseline in accordance with the tailoring criteria established by NIST and NARA. 33 The
tailoring actions facilitated the development of the CUI derived security requirements which
supplement the basic security requirements obtained from the security requirements in FIPS
Publication 200. 34
There are three primary criteria for eliminating a security control or control enhancement fromthe moderate baseline including—•

The control or control enhancement is uniquely federal (i.e., primarily the responsibility of
the federal government);•

The control or control enhancement is not directly related to protecting the confidentiality of
CUI; 35 or•

The control or control enhancement is expected to be routinely satisfied by nonfederal
organizations without specification. 36

The following symbols are used in Tables E-1 through E-17 to specify the particular tailoring
actions taken or when no tailoring actions were required.
TAILORINGSYMBOLTAILORING CRITERIANCONOT DIRECTLY RELATED TO PROTECTING THE CONFIDENTIALITY OF CUI.

FEDUNIQUELY FEDERAL, PRIMARILY THE RESPONSIBILITY OF THE FEDERAL GOVERNMENT.

NFOEXPECTED TO BE ROUTINELY SATISFIED BY NONFEDERAL ORGANIZATIONS WITHOUT SPECIFICATION.

CUITHE CUI BASIC OR DERIVED SECURITY REQUIREMENT IS REFLECTED IN AND IS TRACEABLE TO THE SECURITYCONTROL, CONTROL ENHANCEMENT, OR SPECIFIC ELEMENTS OF THE CONTROL/ENHANCEMENT.

33 Organizations can use the information in Appendix E to build a CUI confidentiality overlay as defined in NIST

Special Publication 800-53, Appendix I.
34 The same tailoring criteria were applied to the security requirements in FIPS Publication 200 resulting in the CUI
basic security requirements in described in Chapter Three and Appendix D.
35 While the primary purpose of this publication is to define requirements to protect the confidentiality of CUI, there isa close relationship between the security objectives of confidentiality and integrity. Therefore, most of security controls
in the NIST Special Publication 800-53 moderate baseline that support protection against unauthorized disclosure also
support protection against unauthorized modification.
36 The security controls tailored out of the moderate baseline in Special Publication 800-53 with regard to the protectionof CUI (i.e., controls specifically marked as either NCO or NFO in Tables E-1 through E-17), are often included as partof an organization’s comprehensive security program.

APPENDIX E

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE E-1: TAILORING ACTIONS FOR ACCESS CONTROLSNIST SP 800-53

MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

AC-1

Access Control Policy and Procedures

NFO

AC-2

Account Management

CUI

AC-2(1)

ACCOUNT MANAGEMENT | AUTOMATED SYSTEM ACCOUNT MANAGEMENT

NCO

AC-2(2)

ACCOUNT MANAGEMENT | REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS

NCO

AC-2(3)

ACCOUNT MANAGEMENT | DISABLE INACTIVE ACCOUNTS

NCO

AC-2(4)

ACCOUNT MANAGEMENT | AUTOMATED AUDIT ACTIONS

NCO

AC-3

Access Enforcement

CUI

AC-4

Information Flow Enforcement

CUI

AC-5

Separation of Duties

CUI

AC-6

Least Privilege

CUI

AC-6(1)LEAST PRIVILEGE | AUTHORIZE ACCESS TO SECURITY FUNCTIONS

CUI

AC-6(2)LEAST PRIVILEGE | NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS

CUI

AC-6(5)LEAST PRIVILEGE | PRIVILEGED ACCOUNTS

CUI

AC-6(9)LEAST PRIVILEGE | AUDITING USE OF PRIVILEGED FUNCTIONS

CUI

AC-6(10)LEAST PRIVILEGE | PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS

CUI

AC-7

Unsuccessful Logon Attempts

CUI

AC-8

System Use Notification

CUI

AC-11

Session Lock

CUI

AC-11(1)

SESSION LOCK | PATTERN-HIDING DISPLAYS

CUI

AC-12

Session Termination

CUI

AC-14

Permitted Actions without Identification or Authentication

FED

AC-17

Remote Access

CUI

AC-17(1)REMOTE ACCESS | AUTOMATED MONITORING / CONTROL

CUI

AC-17(2)REMOTE ACCESS | PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION

CUI

AC-17(3)REMOTE ACCESS | MANAGED ACCESS CONTROL POINTS

CUI

AC-17(4)REMOTE ACCESS | PRIVILEGED COMMANDS / ACCESS

CUI

AC-18

Wireless Access

CUI

AC-18(1)

WIRELESS ACCESS | AUTHENTICATION AND ENCRYPTION

CUI

AC-19

Access Control for Mobile Devices

CUI

AC-19(5)ACCESS CONTROL FOR MOBILE DEVICES | FULL DEVICE / CONTAINER-BASED ENCRYPTION

CUI

AC-20

Use of External Systems

CUI

AC-20(1)USE OF EXTERNAL SYSTEMS | LIMITS ON AUTHORIZED USE

CUI

AC-20(2)USE OF EXTERNAL SYSTEMS | PORTABLE STORAGE DEVICES

CUI

AC-21

Information Sharing

FED

AC-22

Publicly Accessible Content

CUI

APPENDIX E

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE E-2: TAILORING ACTIONS FOR AWARENESS AND TRAINING CONTROLSNIST SP 800-53

MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

AT-1

Security Awareness and Training Policy and Procedures

NFO

AT-2

Security Awareness Training

CUI

AT-2(2)

SECURITY AWARENESS | INSIDER THREAT

CUI

AT-3

Role-Based Security Training

CUI

AT-4

Security Training Records

NFO

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1
APPENDIX E

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE E-3: TAILORING ACTIONS FOR AUDITING AND ACCOUNTABILITY CONTROLSNIST SP 800-53

MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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AU-1

Audit and Accountability Policy and Procedures

NFO

AU-2

Audit Events

CUI

AU-2(3)

AUDIT EVENTS | REVIEWS AND UPDATES

CUI

AU-3

Content of Audit Records

CUI

AU-3(1)

CONTENT OF AUDIT RECORDS | ADDITIONAL AUDIT INFORMATION

CUI

AU-4

Audit Storage Capacity

NCO

AU-5

Response to Audit Logging Process Failures

CUI

AU-6

Audit Review, Analysis, and Reporting

CUI

AU-6(1)

AUDIT REVIEW, ANALYSIS, AND REPORTING | PROCESS INTEGRATION

NCO

AU-6(3)

AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATE AUDIT REPOSITORIES

CUI

AU-7

Audit Reduction and Report Generation

CUI

AU-7(1)

AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC PROCESSING

NCO

AU-8

Time Stamps

CUI

AU-8(1)

TIME STAMPS | SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE

CUI

AU-9

Protection of Audit Information

CUI

AU-9(4)

PROTECTION OF AUDIT INFORMATION | ACCESS BY SUBSET OF PRIVILEGED USERS

CUI

AU-11

Audit Record Retention

NCO

AU-12

Audit Generation

CUI

APPENDIX E

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________TABLE E-4: TAILORING ACTIONS FOR SECURITY ASSESSMENT AND AUTHORIZATION CONTROLSNIST SP 800-53

MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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CA-1

Security Assessment and Authorization Policies and Procedures

NFO

CA-2

Security Assessments

CUI

CA-2(1)

SECURITY ASSESSMENTS | INDEPENDENT ASSESSORS

NFO

CA-3

System Interconnections

NFO

CA-3(5)SYSTEM INTERCONNECTIONS | RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS

NFO

CA-5

Plan of Action and Milestones

CUI

CA-6

Security Authorization

FED

CA-7

Continuous Monitoring

CUI

CA-7(1)CONTINUOUS MONITORING | INDEPENDENT ASSESSMENT

NFO

CA-9

Internal System Connections

NFO

APPENDIX E

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NIST SP 800-53

MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

CM-1

Configuration Management Policy and Procedures

NFO

CM-2

Baseline Configuration

CUI

CM-2(1)BASELINE CONFIGURATION | REVIEWS AND UPDATES

NFO

CM-2(3)

BASELINE CONFIGURATION | RETENTION OF PREVIOUS CONFIGURATIONS

NCO

CM-2(7)

BASELINE CONFIGURATION | CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS

NFO

CM-3

Configuration Change Control

CUI

CM-3(2)CONFIGURATION CHANGE CONTROL | TEST / VALIDATE / DOCUMENT CHANGES

NFO

CM-4

Security Impact Analysis

CUI

CM-5

Access Restrictions for Change

CUI

CM-6

Configuration Settings

CUI

CM-7

Least Functionality

CUI

CM-7(1)LEAST FUNCTIONALITY | PERIODIC REVIEWCUI

CM-7(2)LEAST FUNCTIONALITY | PREVENT PROGRAM EXECUTION

CUI

CM-7(4)(5)

LEAST FUNCTIONALITY | UNAUTHORIZED OR AUTHORIZED SOFTWARE / BLACKLISTING OR WHITELISTING

CUI

CM-8

System Component InventoryCUI

CM-8(1)SYSTEM COMPONENT INVENTORY | UPDATES DURING INSTALLATIONS / REMOVALS

CUI

CM-8(3)SYSTEM COMPONENT INVENTORY | AUTOMATED UNAUTHORIZED COMPONENT DETECTION

NCO

CM-8(5)SYSTEM COMPONENT INVENTORY | NO DUPLICATE ACCOUNTING OF COMPONENTS

NFO

CM-9

Configuration Management Plan

NFO

CM-10

Software Usage Restrictions

NCO

CM-11

User-Installed Software

CUI

37 CM-7(5), Least Functionality whitelisting, is not in the moderate security control baseline in accordance with NIST

Special Publication 800-53. However, it is offered as an optional and stronger policy alternative to blacklisting.

APPENDIX E

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NIST SP 800-53

MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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CP-1

Contingency Planning Policy and Procedures

NCO

CP-2

Contingency Plan

NCO

CP-2(1)CONTINGENCY PLAN | COORDINATE WITH RELATED PLANS

NCO

CP-2(3)

CONTINGENCY PLAN | RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS

NCO

CP-2(8)CONTINGENCY PLAN | IDENTIFY CRITICAL ASSETS

NCO

CP-3

Contingency Training

NCO

CP-4

Contingency Plan Testing

NCO

CP-4(1)CONTINGENCY PLAN TESTING | COORDINATE WITH RELATED PLANS

NCO

CP-6

Alternate Storage Site

NCO

CP-6(1)

ALTERNATE STORAGE SITE | SEPARATION FROM PRIMARY SITE

NCO

CP-6(3)

ALTERNATE STORAGE SITE | ACCESSIBILITY

NCO

CP-7

Alternate Processing Site

NCO

CP-7(1)

ALTERNATE PROCESSING SITE | SEPARATION FROM PRIMARY SITE

NCO

CP-7(2)

ALTERNATE PROCESSING SITE | ACCESSIBILITY

NCO

CP-7(3)

ALTERNATE PROCESSING SITE | PRIORITY OF SERVICE

NCO

CP-8

Telecommunications Services

NCO

CP-8(1)TELECOMMUNICATIONS SERVICES | PRIORITY OF SERVICE PROVISIONS

NCO

CP-8(2)TELECOMMUNICATIONS SERVICES | SINGLE POINTS OF FAILURE

NCO

CP-9

System Backup

CUI

CP-9(1)SYSTEM BACKUP | TESTING FOR RELIABILITY / INTEGRITY

NCO

CP-10

System Recovery and Reconstitution

NCO

CP-10(2)SYSTEM RECOVERY AND RECONSTITUTION | TRANSACTION RECOVERYNCO

38 CP-9 is grouped with the security controls in the Media Protection family in Appendix D since the Contingency

Planning family was not included in the security requirements.

APPENDIX E

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

IA-1

Identification and Authentication Policy and Procedures

NFO

IA-2

Identification and Authentication (Organizational Users)

CUI

IA-2(1)IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO PRIVILEGEDCUIACCOUNTS

IA-2(2)IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO NON-PRIVILEGEDCUIACCOUNTS

IA-2(3)

IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | LOCAL ACCESS TO PRIVILEGED

CUIThis publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

ACCOUNTS

IA-2(8)IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO PRIVILEGED

CUI

IA-2(9)IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO NON-PRIVILEGED

CUI

IA-2(11)

IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | REMOTE ACCESS - SEPARATE DEVICE

FED

IA-2(12)IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV CREDENTIALS

FED

IA-3

Device Identification and Authentication

CUI

IA-4

Identifier Management

CUI

IA-5

Authenticator Management

CUI

IA-5(1)

AUTHENTICATOR MANAGEMENT | PASSWORD-BASED AUTHENTICATION

CUI

IA-5(2)AUTHENTICATOR MANAGEMENT | PKI-BASED AUTHENTICATION

FED

IA-5(3)

AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION

FED

IA-5(11)AUTHENTICATOR MANAGEMENT | HARDWARE TOKEN-BASED AUTHENTICATION

FED

IA-6

Authenticator Feedback

CUI

IA-7

Cryptographic Module Authentication

FED

IA-8

Identification and Authentication (Non-Organizational Users)

FED

IA-8(1)IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV CREDENTIALSFEDACCOUNTS - REPLAY RESISTANTACCOUNTS - REPLAY RESISTANT

FROM OTHER AGENCIES

IA-8(2)IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF THIRD-PARTY

FED

CREDENTIALS

IA-8(3)

IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | USE OF FICAM-APPROVED

FED

PRODUCTS

IA-8(4)

APPENDIX EIDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | USE OF FICAM-ISSUED PROFILES

FEDPAGE 58

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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IR-1

Incident Response Policy and Procedures

NFO

IR-2

Incident Response Training

CUI

IR-3

Incident Response TestingCUI

IR-3(2)

INCIDENT RESPONSE TESTING | COORDINATION WITH RELATED PLANS

NCO

IR-4

Incident Handling

CUI

IR-4(1)

INCIDENT HANDLING | AUTOMATED INCIDENT HANDLING PROCESSES

NCO

IR-5

Incident Monitoring

CUI

IR-6

Incident ReportingCUI

IR-6(1)

INCIDENT REPORTING | AUTOMATED REPORTING

NCO

IR-7

Incident Response AssistanceCUI

IR-7(1)

INCIDENT RESPONSE ASSISTANCE | AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT

NCO

IR-8

Incident Response Plan

NFO

APPENDIX E

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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MA-1

System Maintenance Policy and Procedures

NFO

MA-2

Controlled Maintenance

CUI

MA-3

Maintenance Tools

CUI

MA-3(1)

MAINTENANCE TOOLS | INSPECT TOOLS

CUI

MA-3(2)

MAINTENANCE TOOLS | INSPECT MEDIA

CUI

MA-4

Nonlocal Maintenance

CUI

MA-4(2)NONLOCAL MAINTENANCE | DOCUMENT NONLOCAL MAINTENANCE

NFO

MA-5

Maintenance Personnel

CUI

MA-6

Timely Maintenance

NCO

APPENDIX E

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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MP-1

Media Protection Policy and Procedures

NFO

MP-2

Media Access

CUI

MP-3

Media Marking

CUI

MP-4

Media Storage

CUI

MP-5

Media Transport

CUI

MP-5(4)MEDIA TRANSPORT | CRYPTOGRAPHIC PROTECTION

CUI

MP-6

Media Sanitization

CUI

MP-7

Media Use

CUI

MP-7(1)MEDIA USE | PROHIBIT USE WITHOUT OWNER

CUIAPPENDIX E

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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PE-1

Physical and Environmental Protection Policy and Procedures

NFO

PE-2

Physical Access Authorizations

CUI

PE-3

Physical Access Control

CUI

PE-4

Access Control for Transmission Medium

CUI

PE-5

Access Control for Output Devices

CUI

PE-6

Monitoring Physical Access

CUI

PE-6(1)

MONITORING PHYSICAL ACCESS | INTRUSION ALARMS / SURVEILLANCE EQUIPMENT

NFO

PE-8

Visitor Access Records

NFO

PE-9

Power Equipment and Cabling

NCO

PE-10

Emergency Shutoff

NCO

PE-11

Emergency Power

NCO

PE-12

Emergency Lighting

NCO

PE-13

Fire Protection

NCO

PE-13(3)FIRE PROTECTION | AUTOMATIC FIRE SUPPRESSION

NCO

PE-14

Temperature and Humidity Controls

NCO

PE-15

Water Damage Protection

NCO

PE-16

Delivery and Removal

NFO

PE-17

Alternate Work SiteCUI

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

PL-1

Security Planning Policy and Procedures

NFO

PL-2

System Security Plan

CUI

PL-2(3)SYSTEM SECURITY PLAN | PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES

NFO

PL-4

Rules of Behavior

NFO

PL-4(1)

RULES OF BEHAVIOR | SOCIAL MEDIA AND NETWORKING RESTRICTIONS

NFO

PL-8

Information Security Architecture

NFO

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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PS-1

Personnel Security Policy and Procedures

NFO

PS-2

Position Risk Designation

FED

PS-3

Personnel Screening

CUI

PS-4

Personnel Termination

CUI

PS-5

Personnel Transfer

CUI

PS-6

Access Agreements

NFO

PS-7

Third-Party Personnel Security

NFO

PS-8

Personnel Sanctions

NFO

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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RA-1

Risk Assessment Policy and Procedures

NFO

RA-2

Security Categorization

FED

RA-3

Risk Assessment

CUI

RA-5

Vulnerability Scanning

CUI

RA-5(1)

VULNERABILITY SCANNING | UPDATE TOOL CAPABILITY

NFO

RA-5(2)

VULNERABILITY SCANNING | UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED

NFO

RA-5(5)

VULNERABILITY SCANNING | PRIVILEGED ACCESS

CUI

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NIST SP 800-53

MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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SA-1

System and Services Acquisition Policy and Procedures

NFO

SA-2

Allocation of Resources

NFO

SA-3

System Development Life Cycle

NFO

SA-4

Acquisition Process

NFO

SA-4(1)ACQUISITION PROCESS | FUNCTIONAL PROPERTIES OF SECURITY CONTROLS

NFO

SA-4(2)ACQUISITION PROCESS | DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS

NFO

SA-4(9)ACQUISITION PROCESS | FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE

NFO

SA-4(10)ACQUISITION PROCESS | USE OF APPROVED PIV PRODUCTS

NFO

SA-5

System Documentation

NFO

SA-8

Security Engineering Principles

CUI

SA-9

External System Services

NFO

SA-9(2)EXTERNAL SYSTEMS | IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES

NFO

SA-10

Developer Configuration Management

NFO

SA-11

Developer Security Testing and Evaluation

NFO

39 SA-8 is grouped with the security controls in the System and Communications Protection family in Appendix D since

the System and Services Acquisition family was not included in the security requirements.

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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SC-1

System and Communications Protection Policy and Procedures

NFO

SC-2

Application Partitioning

CUI

SC-4

Information in Shared Resources

CUI

SC-5

Denial of Service Protection

NCO

SC-7

Boundary Protection

CUI

SC-7(3)

BOUNDARY PROTECTION | ACCESS POINTS

NFO

SC-7(4)

BOUNDARY PROTECTION | EXTERNAL TELECOMMUNICATIONS SERVICES

NFO

SC-7(5)

BOUNDARY PROTECTION | DENY BY DEFAULT / ALLOW BY EXCEPTION

CUI

SC-7(7)

BOUNDARY PROTECTION | PREVENT SPLIT TUNNELING FOR REMOTE DEVICES

CUI

SC-8

Transmission Confidentiality and Integrity

CUI

SC-8(1)

TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION

CUI

SC-10

Network Disconnect

CUI

SC-12

Cryptographic Key Establishment and Management

CUI

SC-13

Cryptographic Protection

CUI

SC-15

Collaborative Computing Devices

CUI

SC-17

Public Key Infrastructure Certificates

FED

SC-18

Mobile Code

CUI

SC-19

Voice over Internet Protocol

CUI

SC-20

Secure Name /Address Resolution Service (Authoritative Source)

NFO

SC-21

Secure Name /Address Resolution Service (Recursive or Caching Resolver)

NFO

SC-22

Architecture and Provisioning for Name/Address Resolution Service

NFO

SC-23

Session Authenticity

CUI

SC-28

Protection of Information at Rest

CUI

SC-39

Process Isolation

NFO

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MODERATE BASELINE SECURITY CONTROLSTAILORINGACTION

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SI-1

System and Information Integrity Policy and Procedures

NFO

SI-2

Flaw Remediation

CUI

SI-2(2)FLAW REMEDIATION | AUTOMATED FLAW REMEDIATION STATUS

NCO

SI-3

Malicious Code Protection

CUI

SI-3(1)MALICIOUS CODE PROTECTION | CENTRAL MANAGEMENT

NCO

SI-3(2)MALICIOUS CODE PROTECTION | AUTOMATIC UPDATES

NCO

SI-4

System Monitoring

CUI

SI-4(2)SYSTEM MONITORING | AUTOMATED TOOLS FOR REAL-TIME ANALYSIS

NCO

SI-4(4)SYSTEM MONITORING | INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC

CUI

SI-4(5)SYSTEM MONITORING | SYSTEM-GENERATED ALERTS

NFO

SI-5

Security Alerts, Advisories, and Directives

CUI

SI-7

Software, Firmware, and Information Integrity

NCO

SI-7(1)SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRITY CHECKS

NCO

SI-7(7)SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRATION OF DETECTION AND RESPONSE

NCO

SI-8

Spam Protection

NCO

SI-8(1)SPAM PROTECTION | CENTRAL MANAGEMENT

NCO

SI-8(2)SPAM PROTECTION | AUTOMATIC UPDATES

NCO

SI-10

Information Input Validation

NCO

SI-11

Error Handling

NCO

SI-12

Information Handling and Retention

FED

SI-16

Memory Protection

NFO

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APPENDIX FDISCUSSION
IMPLEMENTING AND ASSESSING CUI SECURITY REQUIREMENTS

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Tables F-1 through F-14 provide discussion intended to facilitate implementing and assessing the
CUI security requirements in NIST Special Publication 800-171. This information is derived
primarily from the security controls and discussion in NIST Special Publication 800-53. It isprovided to give assessors a better understanding of the mechanisms and procedures used to
implement the safeguards employed to protect CUI. The discussion is not intended to extend the
security requirements or the scope of the assessments of those requirements. NIST publications
identified in the following tables are available at https://csrc.nist.gov/publications.
TABLE F-1: DISCUSSION ON ACCESS CONTROL REQUIREMENTS

3.1.1

SECURITY REQUIREMENT

Limit system access to authorized users, processes acting on behalf of authorized users,
and devices (including other systems).
DISCUSSION
Access control policies (e.g., identity- or role-based policies, control matrices, and cryptography)
control access between active entities or subjects (i.e., users or processes acting on behalf of users)
and passive entities or objects (e.g., devices, files, records, and domains) in systems. Accessenforcement mechanisms can be employed at the application and service level to provide increased
information security. Other systems include systems internal and external to the organization. Thisrequirement focuses on account management for both systems and applications. The definition ofand enforcement of access authorizations, other than those determined by account type (e.g.,
privileged verses non-privileged) are addressed in requirement 3.1.2.

3.1.2

SECURITY REQUIREMENT

Limit system access to the types of transactions and functions that authorized users are
permitted to execute.
DISCUSSION
Organizations may choose to define access privileges or other attributes by account, by type ofaccount, or a combination of both. System account types include, for example, individual, shared,
group, system, guest/anonymous, emergency, developer/manufacturer/vendor, and temporary.
Other attributes required for authorizing access include, for example: restrictions on time-of-day,
day-of-week, and point-of-origin. In defining other account attributes, organizations may consider
system-related requirements (e.g., scheduled maintenance, system upgrades) and mission orbusiness requirements, (e.g., time zone differences, customer requirements, remote access to
support travel requirements).

3.1.3

SECURITY REQUIREMENT

Control the flow of CUI in accordance with approved authorizations.
DISCUSSION
Information flow control regulates where information can travel within a system and between
systems (as opposed to who can access the information) and without explicit regard to subsequent
accesses to that information. Flow control restrictions include, for example: keeping exportcontrolled information from being transmitted in the clear to the Internet; blocking outside trafficthat claims to be from within the organization; restricting requests to the Internet that are not from

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the internal web proxy server; and limiting information transfers between organizations based ondata structures and content.
Organizations commonly employ information flow control policies and enforcement mechanisms tocontrol the flow of information between designated sources and destinations (e.g., networks,
individuals, and devices) within systems and between interconnected systems. Flow control isbased on characteristics of the information or the information path. Enforcement occurs inboundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that
employ rule sets or establish configuration settings that restrict system services, provide a packetfiltering capability based on header information, or message-filtering capability based on message
content (e.g., implementing key word searches or using document characteristics). Organizations
also consider the trustworthiness of filtering and inspection mechanisms (i.e., hardware, firmware,and software components) that are critical to information flow enforcement.
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Transferring information between systems representing different security domains with different
security policies introduces risk that such transfers violate one or more domain security policies. In
such situations, information owners/stewards provide guidance at designated policy enforcement
points between interconnected systems. Organizations consider mandating specific architectural
solutions when required to enforce specific security policies. Enforcement includes, for example:
prohibiting information transfers between interconnected systems (i.e., allowing access only);
employing hardware mechanisms to enforce one-way information flows; and implementing
trustworthy regrading mechanisms to reassign security attributes and security labels.

3.1.4

SECURITY REQUIREMENT

Separate the duties of individuals to reduce the risk of malevolent activity without
collusion.
DISCUSSION
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, for example: dividing
mission functions and system support functions among different individuals or roles; conducting
system support functions with different individuals (e.g., system management, programming,
configuration management, quality assurance and testing, and network security); and ensuring that
security personnel administering 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 organizational systems and system components when developing policy on
separation of duties.

3.1.5

SECURITY REQUIREMENT

Employ the principle of least privilege, including for specific security functions andprivileged accounts.
DISCUSSION
Organizations employ the principle of least privilege for specific duties and authorized accesses forusers and processes. The principle of least privilege is applied with the goal of authorized privilegesno higher than necessary to accomplish required organizational missions or business functions.
Organizations consider the creation of additional processes, roles, and system accounts asnecessary, to achieve least privilege. Organizations also apply least privilege to the development,
implementation, and operation of organizational systems. Security functions include, for example,
establishing system accounts, setting events to be logged, setting intrusion detection parameters,
and configuring access authorizations (i.e., permissions, privileges).
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 tospecific personnel or roles prevents day-to-day users from having access to privileged informationor functions. Organizations may differentiate in the application of this requirement between
allowed privileges for local accounts and for domain accounts provided organizations retain the

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ability to control system configurations for key security parameters and as otherwise necessary to
sufficiently mitigate risk.

3.1.6

SECURITY REQUIREMENT

Use non-privileged accounts or roles when accessing nonsecurity functions.
DISCUSSION
This requirement limits exposure when operating from within privileged accounts or roles. The
inclusion of roles addresses situations where organizations implement access control policies suchas role-based access control and where a change of role provides the same degree of assurance inthe change of access authorizations for the user and all processes acting on behalf of the user as
would be provided by a change between a privileged and non-privileged account.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.1.7

SECURITY REQUIREMENT

Prevent non-privileged users from executing privileged functions and capture theexecution of such functions in audit logs.
DISCUSSION
Privileged functions include, for example, establishing system accounts, performing system integrity
checks, conducting patching operations, or administering cryptographic key management activities.
Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing
intrusion detection and intrusion prevention mechanisms or malicious code protection mechanisms
are examples of privileged functions that require protection from non-privileged users. Note that
this requirement represents a condition to be achieved by the definition of authorized privileges in
3.1.2.
Misuse of privileged functions, either intentionally or unintentionally by authorized users, or byunauthorized external entities that have compromised system accounts, is a serious and ongoing
concern and can have significant adverse impacts on organizations. Logging 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.

3.1.8

SECURITY REQUIREMENT

Limit unsuccessful logon attempts.
DISCUSSION
This requirement 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, in mostcases, temporary and automatically release after a predetermined period established by theorganization (i.e., a delay algorithm). If a delay algorithm is selected, organizations may employ
different algorithms for different system components based on the capabilities of the respective
components. Responses to unsuccessful logon attempts may be implemented at the operating
system and the application levels.

3.1.9

SECURITY REQUIREMENT

Provide privacy and security notices consistent with applicable CUI rules.
DISCUSSION
System use notifications can be implemented using messages or warning banners displayed before
individuals log in to organizational systems. System use notifications are used only for access via
logon interfaces with human users and are not required when such human interfaces do not exist.
Based on an assessment of risk, organizations consider whether a secondary system use notificationis needed to access applications or other system resources after the initial network logon. Where
necessary, posters or other printed materials may be used in lieu of an automated system banner.
Organizations should consult with the Office of the General Counsel for legal review and approval of
warning banner content.

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3.1.10SECURITY REQUIREMENT

Use session lock with pattern-hiding displays to prevent access and viewing of data after aperiod of inactivity.
DISCUSSION
Session locks are temporary actions taken when users stop work and move away from theimmediate vicinity of the system but do not want to log out because of the temporary nature of
their absences. Session locks are implemented where session activities can be determined, typicallyat the operating system level (but can also be at the application level). Session locks are not an
acceptable substitute for logging out of the system, for example, if organizations require users tolog out at the end of the workday.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Pattern-hiding displays can include static or dynamic images, for example, patterns used withscreen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, withthe additional caveat that none of the images convey controlled unclassified information.

3.1.11

SECURITY REQUIREMENT

Terminate (automatically) a user session after a defined condition.
DISCUSSION
This requirement addresses the termination of user-initiated logical sessions in contrast to thetermination of network connections that are associated with communications sessions (i.e.,
disconnecting from the network). 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 (and thus terminate user access) without terminating
network sessions. Session termination terminates all processes associated with a user’s logicalsession except those processes that are specifically created by the user (i.e., session owner) tocontinue after the session is terminated. Conditions or trigger events requiring automatic session
termination can include, for example, organization-defined periods of user inactivity, targeted
responses to certain types of incidents, and time-of-day restrictions on system use.

3.1.12

SECURITY REQUIREMENT

Monitor and control remote access sessions.
DISCUSSION
Remote access is access to organizational systems by users (or processes acting on behalf of users)
communicating through external networks (e.g., the Internet). Remote access methods include, forexample: dial-up, broadband, and wireless. Organizations often employ encrypted virtual private
networks (VPNs) to enhance confidentiality over remote connections. The use of encrypted VPNs
does not make the access non-remote; however, the use of VPNs, when adequately provisioned
with appropriate safeguards (e.g., employing encryption techniques for confidentiality protection),may provide sufficient assurance to the organization that it can effectively treat such connections asinternal networks. VPNs with encrypted tunnels can affect the capability to adequately monitor
network communications traffic for malicious code.
Automated monitoring and control of remote access sessions allows organizations to detect cyberattacks and help to ensure ongoing compliance with remote access policies by auditing connection
activities of remote users on a variety of system components (e.g., servers, workstations, notebook
computers, smart phones, and tablets).
NIST Special Publications 800-46, 800-77, and 800-113 provide guidance on secure remote accessand virtual private networks.

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3.1.13

SECURITY REQUIREMENT

Employ cryptographic mechanisms to protect the confidentiality of remote accesssessions.
DISCUSSION
Generally applicable cryptographic standards include FIPS-validated cryptography and NSAapproved cryptography.
See NIST Cryptographic Standards; NIST Cryptographic Module Validation Program; NIST
Cryptographic Algorithm Validation Program; NSA Cryptographic Standards.

3.1.14

SECURITY REQUIREMENT

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Route remote access via managed access control points.
DISCUSSION
Routing all remote access through managed access control points enhances explicit, organizational
control over such connections, reducing the susceptibility to unauthorized access to organizational
systems resulting in the unauthorized disclosure of CUI.

3.1.15

SECURITY REQUIREMENT

Authorize remote execution of privileged commands and remote access to securityrelevant information.
DISCUSSION
A privileged command is a human-initiated (interactively or via a process operating on behalf of thehuman) command executed on a system involving the control, monitoring, or administration of thesystem including security functions and associated security-relevant information. Security-relevant
information is any information within the system that can potentially impact the operation of
security functions or the provision of security services in a manner that could result in failure to
enforce the system security policy or maintain isolation of code and data. Privileged commands giveindividuals the ability to execute sensitive, security-critical, or security-relevant system functions.
Controlling such access from remote locations helps to ensure that unauthorized individuals are notable to execute such commands freely with the potential to do serious or catastrophic damage toorganizational systems. Note that the ability to affect the integrity of the system is consideredsecurity-relevant as that could enable the means to by-pass security functions although not directly
impacting the function itself.

3.1.16

SECURITY REQUIREMENT

Authorize wireless access prior to allowing such connections.
DISCUSSION
Establishing usage restrictions and configuration/connection requirements for wireless access tothe system provides criteria for organizations to support wireless access authorization decisions.
Such restrictions and requirements reduce the susceptibility to unauthorized access to the systemthrough wireless technologies. Wireless networks use authentication protocols which provide
credential protection and mutual authentication.
NIST Special Publications 800-48 and 800-97 provide guidance on secure wireless networks.

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3.1.17

SECURITY REQUIREMENT

Protect wireless access using authentication and encryption.
DISCUSSION
Organizations can authenticate individuals and devices to help protect wireless access to thesystem. Special attention should be given to the wide variety of devices that are part of the Internetof Things with potential wireless access to organizational systems.
See NIST Cryptographic Standards.

3.1.18SECURITY REQUIREMENT

Control connection of mobile devices.
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DISCUSSION
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 (e.g., wirelessly transmit
or receive information); possesses local, non-removable or removable data storage; and includes aself-contained power source. Mobile devices may also include voice communication capabilities,
on-board sensors that allow the device to capture information, or built-in features for synchronizing
local data with remote locations. Examples of mobile devices include smart phones, e-readers, andtablets.
Due to the large variety of mobile devices with different technical characteristics and capabilities,
organizational restrictions may vary for the different types of devices. Usage restrictions andimplementation guidance for mobile devices include, for example: configuration management;
device identification and authentication; implementation of mandatory protective software (e.g.,
malicious code detection, firewall); 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 (e.g.,
wireless, infrared). The need to provide adequate security for mobile devices goes beyond thisrequirement. Many safeguards for mobile devices are reflected in other CUI security requirements.
NIST Special Publication 800-124 provides guidance on mobile device security.

3.1.19SECURITY REQUIREMENT

Encrypt CUI on mobile devices and mobile computing platforms.
DISCUSSION
Organizations can use full-device encryption or container-based encryption to protect theconfidentiality of CUI on mobile devices and computing platforms. Container-based encryption
provides a more fine-grained approach to the encryption of data and information including, forexample, encrypting selected data structures such as files, records, or fields.
See NIST Cryptographic Standards.

3.1.20SECURITY REQUIREMENT

Verify and control/limit connections to and use of external systems.
DISCUSSION
External systems are systems or components of systems for which organizations typically have no
direct supervision and authority over the application of security requirements and controls or thedetermination of the effectiveness of implemented safeguards on those systems. External systems
include, for example, personally owned systems or devices and privately-owned computing andcommunications devices resident in commercial or public facilities. This requirement also addresses
the use of external systems for the processing, storage, or transmission of CUI, including accessing

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cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) fromorganizational systems.
Organizations establish terms and conditions for the use of external systems in accordance withorganizational security policies and procedures. Terms and conditions address as a minimum, thetypes of applications that can be accessed on organizational systems from external systems. If
terms and conditions with the owners of external systems cannot be established, organizations may
impose restrictions on organizational personnel using those external systems.

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This requirement recognizes that there are circumstances where individuals using external systems(e.g., contractors, coalition partners) need to access organizational systems. In those situations,organizations need confidence that the external systems contain the necessary safeguards so as not
to compromise, damage, or otherwise harm organizational systems. Verification that the required
safeguards have been implemented can be achieved, for example, by third-party, independent
assessments, attestations, or other means, depending on the assurance or confidence level
required by organizations.
Note that while “external” typically refers to outside of the organization’s direct supervision andauthority, that is not always the case. Regarding the protection of CUI across an organization, theorganization may have systems that process CUI and others that do not. And among the systems
that process CUI there are likely access restrictions for CUI that apply between systems. Therefore,
from the perspective of a given system, other systems within the organization may be considered“external" to that system.

3.1.21

SECURITY REQUIREMENT

Limit use of portable storage devices on external systems.
DISCUSSION
Limits on the use of organization-controlled portable storage devices in external systems include,for example, complete prohibition of the use of such devices or restrictions on how the devices may
be used and under what conditions the devices may be used. Note that while “external” typicallyrefers to outside of the organization’s direct supervision and authority, that is not always the case.
Regarding the protection of CUI across an organization, the organization may have systems thatprocess CUI and others that do not. And among the systems that process CUI there are likely access
restrictions for CUI that apply between systems. Therefore, from the perspective of a given system,other systems within the organization may be considered “external" to that system.

3.1.22

SECURITY REQUIREMENT

Control CUI posted or processed on publicly accessible systems.
DISCUSSION
In accordance with laws, Executive Orders, directives, policies, regulations, or standards, the public
is not authorized access to nonpublic information (e.g., information protected under the Privacy
Act, CUI, and proprietary information). This requirement addresses systems that are controlled by
the organization and accessible to the public, typically without identification or authentication.
Individuals authorized to post CUI onto publicly accessible systems are designated. The content of
information is reviewed prior to posting onto publicly accessible systems to ensure that nonpublic
information is not included.

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3.2.1

SECURITY REQUIREMENT

Ensure that managers, systems administrators, and users of organizational systems are
made aware of the security risks associated with their activities and of the applicablepolicies, standards, and procedures related to the security of those systems.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Organizations determine the content and frequency of security awareness training and security
awareness techniques based on the specific organizational requirements and the systems to which
personnel have authorized access. The content includes a basic understanding of the need for
information security and user actions to maintain security and to respond to suspected security
incidents. The content also addresses awareness of the need for operations security. Security
awareness techniques can include, for example, formal training, offering supplies inscribed withsecurity reminders, generating email advisories or notices from organizational officials, displaying
logon screen messages, displaying posters, and conducting information security awareness events.
NIST Special Publication 800-50 provides guidance on security awareness and training programs.

3.2.2

SECURITY REQUIREMENT

Ensure that personnel are trained to carry out their assigned information security-related
duties and responsibilities.
DISCUSSION
Organizations determine the content and frequency of security training based on the assigned
duties, roles, and responsibilities of individuals and the security requirements of organizations andthe systems to which personnel have authorized access. In addition, organizations provide systemdevelopers, enterprise architects, security architects, acquisition/procurement officials, softwaredevelopers, system developers, system or network administrators, personnel conducting
configuration management and auditing activities, personnel performing independent verificationand validation activities, security assessors, and other personnel having access to system-levelsoftware, adequate security-related technical training specifically tailored for their assigned duties.
Comprehensive role-based training addresses management, operational, and technical roles andresponsibilities covering physical, personnel, and technical safeguards. Such training can include, forexample, policies, procedures, tools, and artifacts for the organizational security roles defined.
Organizations also provide the training necessary for individuals to carry out their responsibilities
related to operations and supply chain security within the context of organizational information
security programs.
NIST Special Publication 800-181 provides guidance on role-based information security training in
the workplace.

3.2.3

SECURITY REQUIREMENT

Provide security awareness training on recognizing and reporting potential indicators of
insider threat.
DISCUSSION
Potential indicators and possible precursors of insider threat include behaviors such as: inordinate,long-term job dissatisfaction; attempts to gain access to information that is not required for job
performance; unexplained access to financial resources; bullying or sexual harassment of fellow
employees; workplace violence; and other serious violations of organizational policies, procedures,
directives, rules, or practices. Security awareness training includes how to communicate employee
and management concerns regarding potential indicators of insider threat through appropriateorganizational channels in accordance with established organizational policies and procedures.
Organizations may consider tailoring insider threat awareness topics to the role (e.g., training for
managers may be focused on specific changes in behavior of team members, while training for
employees may be focused on more general observations).

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3.3.1

SECURITY REQUIREMENT

Create and retain system audit logs and records to the extent needed to enable themonitoring, analysis, investigation, and reporting of unlawful or unauthorized system
activity.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

An event is any observable occurrence in a system, which includes unlawful or unauthorized system
activity. Organizations identify event types for which a logging functionality is needed as those
events which are significant and relevant to the security of systems and the environments in whichthose systems operate to meet specific and ongoing auditing needs. Event types can include, forexample, password changes, failed logons or failed accesses related to systems, administrative
privilege usage, or third-party credential usage. In determining event types that require logging,organizations consider the monitoring and auditing appropriate for each of the CUI security
requirements. Monitoring and auditing requirements can be balanced with other system needs. For
example, organizations may determine that systems must have the capability to log every fileaccess both successful and unsuccessful, but not activate that capability except for specificcircumstances due to the potential burden on system performance.
Audit records can be generated at various levels of abstraction, including at the packet level as
information traverses the network. Selecting the appropriate level of abstraction is a critical aspectof an audit logging capability and can facilitate the identification of root causes to problems.
Organizations consider in the definition of event types, the logging necessary to cover related
events such as the steps in distributed, transaction-based processes (e.g., processes that are
distributed across multiple organizations) and actions that occur in service-oriented or cloud-basedarchitectures.
Audit record content that may be necessary to satisfy this requirement includes, for example, timestamps, source and destination addresses, user/process identifiers, event descriptions, success/failindications, filenames involved, and access control or flow control rules invoked. Event outcomescan include indicators of event success or failure and event-specific results (e.g., the security stateof the system after the event occurred).
Detailed information that organizations may consider in audit records includes, for example, fulltext recording of privileged commands or the individual identities of group account users.
Organizations consider limiting the additional audit log information to only that information
explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs
by not including information that could potentially be misleading or could make it more difficult tolocate information of interest. Audit logs are reviewed and analyzed as often as needed to provide
important information to organizations to facilitate risk-based decision making.
NIST Special Publication 800-92 provides guidance on security log management.

3.3.2

SECURITY REQUIREMENT

Ensure that the actions of individual system users can be uniquely traced to those users
so they can be held accountable for their actions.
DISCUSSION
This requirement ensures that the contents of the audit record include the information needed tolink the audit event to the actions of an individual to the extent feasible. Organizations consider
logging for traceability including, for example, results from monitoring of account usage, remote
access, wireless connectivity, mobile device connection, configuration settings, use of maintenancetools, nonlocal maintenance, physical access, temperature and humidity, equipment delivery andremoval, system component inventory, communications at the system boundaries, use of mobile
code, and use of VoIP.

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3.3.3

SECURITY REQUIREMENT

Review and update logged events.
DISCUSSION
The intent of this requirement is to periodically re-evaluate which of the logged events will continue
to be included in the list of events to be logged. Over time, the event types that are logged byorganizations may change. Reviewing and updating the set of logged event types periodically isnecessary to ensure that the current set remains necessary and sufficient.

3.3.4

SECURITY REQUIREMENT

Alert in the event of an audit logging process failure.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

DISCUSSION
Audit logging process failures include, for example, software/hardware errors, failures in the audit
record capturing mechanisms, and audit record storage capacity being reached or exceeded. Thisrequirement applies to each audit record data storage repository (i.e., distinct system component
where audit records are stored), the total audit record storage capacity of organizations (i.e., allaudit record data storage repositories combined), or both.

3.3.5

SECURITY REQUIREMENT

Correlate audit record review, analysis, and reporting processes for investigation andresponse to indications of unlawful, unauthorized, suspicious, or unusual activity.
DISCUSSION
Correlating these processes helps to ensure that they do not operate independently, but rather
collectively. Regarding the assessment of a given organizational system, the requirement is agnostic
as to whether this correlation is applied at the system level or at the organization level across all
systems.

3.3.6

SECURITY REQUIREMENT

Provide audit record reduction and report generation to support on-demand analysis andreporting.
DISCUSSION
Audit record reduction is a process that manipulates collected audit information and organizes suchinformation in a summary format that is more meaningful to analysts. Audit record reduction andreport generation capabilities do not always emanate from the same system or organizational
entities conducting auditing activities. Audit record reduction capability can include, for example,
modern data mining techniques with advanced data filters to identify anomalous behavior in audit
records. The report generation capability provided by the system can help generate customizable
reports. Time ordering of audit records can be a significant issue if the granularity of the time stampin the record is insufficient.

3.3.7

SECURITY REQUIREMENT

Provide a system capability that compares and synchronizes internal system clocks with
an authoritative source to generate time stamps for audit records.
DISCUSSIONInternal system clocks are used to generate time stamps, which include date and time. Time isexpressed 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 thedegree of synchronization between system clocks and reference clocks, for example, clocks
synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may
define different time granularities for different system components. Time service can also be criticalto other security capabilities such as access control and identification and authentication,

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depending on the nature of the mechanisms used to support those capabilities. This requirement
provides uniformity of time stamps for systems with multiple system clocks and systems connected
over a network.
See IETF Network Time Protocol.

3.3.8

SECURITY REQUIREMENT

Protect audit information and audit logging tools from unauthorized access, modification,and deletion.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Audit information includes all information (e.g., audit records, audit log settings, and audit reports)needed to successfully audit system activity. Audit logging tools are those programs and devices
used to conduct audit and logging activities. This requirement focuses on the technical protection ofaudit information and limits the ability to access and execute audit logging tools to authorizedindividuals. Physical protection of audit information is addressed by media protection and physicaland environmental protection requirements.

3.3.9

SECURITY REQUIREMENT

Limit management of audit logging functionality to a subset of privileged users.
DISCUSSION
Individuals with privileged access to a system and who are also the subject of an audit by thatsystem, may affect the reliability of audit information by inhibiting audit logging activities ormodifying audit records. This requirement specifies that privileged access be further defined
between audit-related privileges and other privileges, thus limiting the users with audit-related
privileges.

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3.4.1

SECURITY REQUIREMENT

Establish and maintain baseline configurations and inventories of organizational systems(including hardware, software, firmware, and documentation) throughout the respective
system development life cycles.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

This requirement establishes baseline configurations for systems and system components including
communications and connectivity aspects of systems. Baseline configurations are documented,
formally reviewed, and agreed-upon sets of specifications for systems or configuration items withinthose systems. Baseline configurations serve as a basis for future builds, releases, and changes tosystems. Baseline configurations include information about system components (e.g., standard
software packages installed on workstations, notebook computers, servers, network components,
or mobile devices; current version numbers and update and patch information on operating
systems and applications; and configuration settings and parameters), network topology, and thelogical placement of those components within the system architecture. Baseline configurations ofsystems reflect the current enterprise architecture. Maintaining effective baseline configurations
requires creating new baselines as organizational systems change over time. Baseline configuration
maintenance includes reviewing and updating the baseline configuration when changes are madebased on security risks and deviations from the established baseline configuration
Organizations can implement centralized system component inventories that include components
from multiple organizational systems. In such situations, organizations ensure that the resulting
inventories include system-specific information required for proper component accountability (e.g.,system association, system owner). Information deemed necessary for effective accountability ofsystem components includes, for example, hardware inventory specifications, software license
information, software version numbers, component owners, and for networked components ordevices, machine names and network addresses. Inventory specifications include, for example,
manufacturer, device type, model, serial number, and physical location.
NIST Special Publication 800-128 provides guidance on security-focused configuration management

3.4.2

SECURITY REQUIREMENT

Establish and enforce security configuration settings for information technology products
employed in organizational systems.
DISCUSSION
Configuration settings are the set of parameters that can be changed in hardware, software, or
firmware components of the system that affect the security posture or functionality of the system.
Information technology products for which security-related configuration settings can be defined
include, for example, mainframe computers, servers, workstations, input/output devices (e.g.,scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice anddata switches, devices, wireless access points, network appliances, sensors), operating systems,
middleware, and applications.
Security parameters are those parameters impacting the security state of systems including theparameters required to satisfy other security requirements. Security parameters include, forexample: registry settings; account, file, directory permission settings; and settings for functions,ports, protocols, and remote connections. Organizations establish organization-wide configuration
settings and subsequently derive specific configuration settings for systems. The establishedsettings become part of the systems configuration baseline.
Common secure configurations (also referred to as security configuration checklists, lockdown andhardening guides, security reference guides, security technical implementation guides) provide
recognized, standardized, and established benchmarks that stipulate secure configuration settings
for specific information technology platforms/products and instructions for configuring thosesystem components to meet operational requirements. Common secure configurations can be
developed by a variety of organizations including, for example, information technology product

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developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and otherorganizations in the public and private sectors.
NIST Special Publications 800-70 and 800-128 provide guidance on security configuration settings.

3.4.3

SECURITY REQUIREMENT

Track, review, approve or disapprove, and log changes to organizational systems.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Tracking, reviewing, approving/disapproving, and logging changes is called configuration change
control. Configuration change control for organizational systems involves the systematic proposal,
justification, implementation, testing, review, and disposition of changes to the systems, including
system upgrades and modifications. Configuration change control includes changes to baseline
configurations for components and configuration items of systems, changes to configuration
settings for information technology products (e.g., operating systems, applications, firewalls,routers, and mobile devices), unscheduled and unauthorized changes, and changes to remediate
vulnerabilities.
Processes for managing configuration changes to systems include, for example, Configuration
Control Boards or Change Advisory Boards that review and approve proposed changes to systems.
For new development systems or systems undergoing major upgrades, organizations consider
including representatives from development organizations on the Configuration Control Boards or
Change Advisory Boards. Audit logs of changes include activities before and after changes are madeto organizational systems and the activities required to implement such changes.
NIST Special Publication 800-128 provides guidance on configuration change control.

3.4.4

SECURITY REQUIREMENT

Analyze the security impact of changes prior to implementation.
DISCUSSION
Organizational personnel with information security responsibilities (e.g., system administrators,
system security officers, system security managers, and systems security engineers) conduct
security impact analyses. Individuals conducting security impact analyses possess the necessary
skills and technical expertise to analyze the changes to systems and the associated security
ramifications. Security impact analysis may include, for example, reviewing security plans tounderstand security requirements and reviewing system design documentation to understand theimplementation of safeguards and how specific changes might affect the safeguards. Security
impact analyses may also include risk assessments to better understand the impact of the changes
and to determine if additional safeguards are required.
NIST Special Publication 800-128 provides guidance on configuration change control and security
impact analysis.

3.4.5

SECURITY REQUIREMENT

Define, document, approve, and enforce physical and logical access restrictions
associated with changes to organizational systems.
DISCUSSION
Any changes to the hardware, software, or firmware components of systems can potentially havesignificant effects on the overall security of the systems. Therefore, organizations permit only
qualified and authorized individuals to access systems for purposes of initiating changes, including
upgrades and modifications. Access restrictions for change also include software libraries.
Access restrictions include, for example, physical and logical access control requirements, workflow
automation, media libraries, abstract layers (e.g., changes implemented into external interfaces
rather than directly into systems), and change windows (e.g., changes occur only during specified
times). In addition to security concerns, commonly-accepted due diligence for configuration

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management includes access restrictions as an essential part in ensuring the ability to effectively
manage the configuration.
NIST Special Publication 800-128 provides guidance on configuration change control.

3.4.6

SECURITY REQUIREMENT

Employ the principle of least functionality by configuring organizational systems toprovide only essential capabilities.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Systems can 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. It is sometimes convenient to provide multiple services from single systemcomponents, but doing so increases risk over limiting the services provided by any one component.
Where feasible, organizations limit component functionality to a single function per component.
Organizations review functions and services provided by systems or components of systems, todetermine which functions and services are candidates for elimination. Organizations disable
unused or unnecessary physical and logical ports and protocols to prevent unauthorized connectionof devices, transfer of information, and tunneling. Organizations can utilize network scanning tools,
intrusion detection and prevention systems, and end-point protections such as firewalls and hostbased intrusion detection systems to identify and prevent the use of prohibited functions, ports,
protocols, and services.

3.4.7

SECURITY REQUIREMENT

Restrict, disable, or prevent the use of nonessential programs, functions, ports, protocols,and services.
DISCUSSION
Restricting the use of nonessential software (programs) includes, for example, restricting the roles
allowed to approve program execution; prohibiting auto-execute; program blacklisting andwhitelisting; or restricting the number of program instances executed at the same time. The
organization makes a security-based determination which functions, ports, protocols, and/or
services are restricted. Bluetooth, FTP, and peer-to-peer networking are examples of protocols
organizations consider preventing the use of, restricting, or disabling.

3.4.8

SECURITY REQUIREMENT

Apply deny-by-exception (blacklisting) policy to prevent the use of unauthorized softwareor deny-all, permit-by-exception (whitelisting) policy to allow the execution of authorizedsoftware.
DISCUSSION
The process used to identify software programs that are not authorized to execute on systems iscommonly referred to as blacklisting. The process used to identify software programs that are
authorized to execute on systems is commonly referred to as whitelisting. Whitelisting is thestronger of the two policies for restricting software program execution. In addition to whitelisting,organizations consider verifying the integrity of whitelisted software programs using, for example,
cryptographic checksums, digital signatures, or hash functions. Verification of whitelisted software
can occur either prior to execution or at system startup.
NIST Special Publication 800-167 provides guidance on application whitelisting.

3.4.9

SECURITY REQUIREMENT

Control and monitor user-installed software.
DISCUSSION
Users can install software in organizational systems if provided the necessary privileges. To
maintain control over the software installed, organizations identify permitted and prohibited

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actions regarding software installation through policies. Permitted software installations include,for example, updates and security patches to existing software and downloading applications fromorganization-approved “app stores.” Prohibited software installations may include, for example,
software with unknown or suspect pedigrees or software that organizations consider potentiallymalicious. The policies organizations select governing user-installed software may be organizationdeveloped or provided by some external entity. Policy enforcement methods include procedural
methods, automated methods, or both.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1
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3.5.1

SECURITY REQUIREMENT

Identify system users, processes acting on behalf of users, and devices.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Common device identifiers include, for example, media access control (MAC), Internet protocol (IP)addresses, or device-unique token identifiers. Management of individual identifiers is not applicable
to shared system accounts. Typically, individual identifiers are the user names associated with thesystem accounts assigned to those individuals. Organizations may require unique identification ofindividuals in group accounts or for detailed accountability of individual activity. In addition, thisrequirement addresses individual identifiers that are not necessarily associated with system
accounts. Organizational devices requiring identification may be defined by type, by device, or by a
combination of type/device.
NIST Special Publication 800-63 provides guidance on digital identities.

3.5.2

SECURITY REQUIREMENT

Authenticate (or verify) the identities of users, processes, or devices, as a prerequisite toallowing access to organizational systems.
DISCUSSION
Individual authenticators include, for example, passwords, key cards, cryptographic devices, andone-time password devices. Initial authenticator content is the actual content of the authenticator,
for example, the initial password. In contrast, the requirements about authenticator content
include, for example, the minimum password length. Developers ship system components withfactory default authentication credentials to allow for initial installation and configuration. Default
authentication credentials are often well known, easily discoverable, and present a significant
security risk.
Systems support authenticator management by organization-defined settings and restrictions forvarious authenticator characteristics including, for example, minimum password length, validation
time window for time synchronous one-time tokens, and number of allowed rejections during theverification stage of biometric authentication. Authenticator management includes issuing andrevoking, when no longer needed, authenticators for temporary access such as that required forremote maintenance. Device authenticators include, for example, certificates and passwords.
NIST Special Publication 800-63 provides guidance on digital identities.

3.5.3

SECURITY REQUIREMENT

Use multifactor authentication for local and network access to privileged accounts and for
network access to non-privileged accounts.
DISCUSSION
Multifactor authentication requires the use of two or more different factors to authenticate. The
factors are defined as something you know (e.g., password, personal identification number [PIN]);
something you have (e.g., cryptographic identification device, token); or something you are (e.g.,biometric). Multifactor solutions that feature physical authenticators include, for example,
hardware authenticators providing time-based or challenge-response authenticators and smart
cards. In addition to authenticating users at the system level (i.e., at logon), organizations may also
employ authentication mechanisms at the application level, when necessary, to provide increased
information security.
Access to organizational systems is defined as local access or network access. Local access is any
access to organizational systems by users (or processes acting on behalf of users) where such access
is obtained by direct connections without the use of networks. Network access is access to systems
by users (or processes acting on behalf of users) where such access is obtained through network
connections (i.e., nonlocal accesses). Remote access is a type of network access that involves
communication through external networks. The use of encrypted virtual private networks for

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network connections between organization-controlled endpoints and non-organization controlled
endpoints may be treated as internal networks with regard to protecting the confidentiality of
information traversing the network.
NIST Special Publication 800-63 provides guidance on digital identities.

3.5.4

SECURITY REQUIREMENT

Employ replay-resistant authentication mechanisms for network access to privileged andnon-privileged accounts.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Authentication processes resist replay attacks if it is impractical to successfully authenticate byrecording or replaying previous authentication messages. Replay-resistant techniques include, forexample, protocols that use nonces or challenges such as time synchronous or challenge-response
one-time authenticators.
NIST Special Publication 800-63 provides guidance on digital identities.

3.5.5

SECURITY REQUIREMENT

Prevent reuse of identifiers for a defined period.
DISCUSSION
Identifiers are provided for users, processes acting on behalf of users, or devices (3.5.1). Preventing
reuse of identifiers implies preventing the assignment of previously used individual, group, role, or
device identifiers to different individuals, groups, roles, or devices.

3.5.6

SECURITY REQUIREMENTDisable identifiers after a defined period of inactivity.
DISCUSSION
Inactive identifiers pose a risk to organizational information because attackers may exploit aninactive identifier to gain undetected access to organizational devices. The owners of the inactive
accounts may not notice if unauthorized access to the account has been obtained.

3.5.7

SECURITY REQUIREMENT

Enforce a minimum password complexity and change of characters when new passwords
are created.
DISCUSSION
This requirement applies to single-factor authentication of individuals using passwords as individual
or group authenticators, and in a similar manner, when passwords are used as part of multifactor
authenticators. The number of changed characters refers to the number of changes required withrespect to the total number of positions in the current password. To mitigate certain brute force
attacks against passwords, organizations may also consider salting passwords.

3.5.8

SECURITY REQUIREMENT

Prohibit password reuse for a specified number of generations.
DISCUSSION
Password lifetime restrictions do not apply to temporary passwords.

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3.5.9

SECURITY REQUIREMENT

Allow temporary password use for system logons with an immediate change to apermanent password.
DISCUSSION
Changing temporary passwords to permanent passwords immediately after system logon ensuresthat the necessary strength of the authentication mechanism is implemented at the earliest
opportunity, reducing the susceptibility to authenticator compromises.

3.5.10SECURITY REQUIREMENTStore and transmit only cryptographically-protected passwords.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

DISCUSSION
Cryptographically-protected passwords include, for example, salted one-way cryptographic hashesof passwords.
See NIST Cryptographic Standards.

3.5.11

SECURITY REQUIREMENT

Obscure feedback of authentication information.
DISCUSSION
The feedback from systems does not provide information that would allow unauthorized individuals
to compromise authentication mechanisms. For some types of systems or system components, forexample, desktop or notebook computers with relatively large monitors, the threat (often referred
to as shoulder surfing) may be significant. For other types of systems or components, for example,
mobile devices with small displays, this threat may be less significant, and is balanced against theincreased likelihood of typographic input errors due to the small keyboards. Therefore, the meansfor obscuring the authenticator feedback is selected accordingly. Obscuring authenticator feedback
includes, for example, displaying asterisks when users type passwords into input devices, or
displaying feedback for a very limited time before fully obscuring it.

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3.6.1

SECURITY REQUIREMENT

Establish an operational incident-handling capability for organizational systems that
includes preparation, detection, analysis, containment, recovery, and user response
activities.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Organizations recognize that incident handling capability is dependent on the capabilities oforganizational systems and the mission/business processes being supported by those systems.
Organizations consider incident handling as part of the definition, design, and development of
mission/business processes and systems. Incident-related information can be obtained from avariety of sources including, for example, audit monitoring, network monitoring, physical accessmonitoring, user and administrator reports, and reported supply chain events. Effective incident
handling capability includes coordination among many organizational entities including, forexample, mission/business owners, system owners, authorizing officials, human resources offices,
physical and personnel security offices, legal departments, operations personnel, procurement
offices, and the risk executive.
As part of user response activities, incident response training is provided by organizations and islinked directly to the assigned roles and responsibilities of organizational personnel to ensure thatthe appropriate content and level of detail is included in such training. For example, regular users
may only need to know who to call or how to recognize an incident on the system; systemadministrators may require additional training on how to handle or remediate incidents; andincident responders may receive more specific training on forensics, reporting, system recovery,
and restoration. Incident response training includes user training in the identification/reporting of
suspicious activities from external and internal sources. User response activities also includes
incident response assistance which may consist of help desk support, assistance groups, and accessto forensics services or consumer redress services, when required. NIST Special Publication 800-61
provides guidance on incident handling.
NIST Special Publications 800-86 and 800-101 provide guidance on integrating forensic techniques
into incident response.

3.6.2

SECURITY REQUIREMENT

Track, document, and report incidents to designated officials and/or authorities bothinternal and external to the organization.
DISCUSSION
Tracking and documenting system security incidents includes, for example, maintaining records
about each incident, the status of the incident, and other pertinent information necessary forforensics, evaluating incident details, trends, and handling. Incident information can be obtained
from a variety of sources including, for example, incident reports, incident response teams, audit
monitoring, network monitoring, physical access monitoring, and user/administrator reports.
Reporting incidents addresses specific incident reporting requirements within an organization andthe formal incident reporting requirements for the organization. Suspected security incidents may
also be reported and include, for example, the receipt of suspicious email communications that canpotentially contain malicious code. The types of security incidents reported, the content andtimeliness of the reports, and the designated reporting authorities reflect applicable laws, Executive
Orders, directives, regulations, and policies.
NIST Special Publication 800-61 provides guidance on incident handling.

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3.6.3

SECURITY REQUIREMENT

Test the organizational incident response capability.
DISCUSSION
Organizations test incident response capabilities to determine the overall effectiveness of thecapabilities and to identify potential weaknesses or deficiencies. Incident response testing includes,for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel and fullinterrupt), and comprehensive exercises. Incident response testing can also include a determinationof the effects on organizational operations (e.g., reduction in mission capabilities), organizational
assets, and individuals due to incident response.
NIST Special Publication 800-84 provides guidance on testing programs for information technology
capabilities.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1
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3.7.1

SECURITY REQUIREMENT

Perform maintenance on organizational systems.
DISCUSSION
This requirement addresses the information security aspects of the system maintenance programand applies to all types of maintenance to any system component (including hardware, firmware,
applications) conducted by any local or nonlocal entity. System maintenance also includes thosecomponents not directly associated with information processing and data or information retention
such as scanners, copiers, and printers.

3.7.2

SECURITY REQUIREMENT

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Provide controls on the tools, techniques, mechanisms, and personnel used to conduct
system maintenance.
DISCUSSION
This requirement addresses security-related issues with maintenance tools that are not within theorganizational system boundaries that process, store, or transmit CUI, but are used specifically for
diagnostic and repair actions on those systems. Organizations have flexibility in determining thecontrols in place for maintenance tools, but can include approving, controlling, and monitoring theuse of such tools. Maintenance tools are potential vehicles for transporting malicious code, either
intentionally or unintentionally, into a facility and into organizational systems. Maintenance tools
can include hardware, software, and firmware items, for example, hardware and software
diagnostic test equipment and hardware and software packet sniffers.

3.7.3

SECURITY REQUIREMENT

Ensure equipment removed for off-site maintenance is sanitized of any CUI.
DISCUSSION
This control addresses the information security aspects of system maintenance that is performed
off-site and applies to all types of maintenance to any system component (including applications)conducted by a local or nonlocal entity (e.g., in-contract, warranty, in- house, software maintenanceagreement).
NIST Special Publication 800-88 provides guidance on media sanitization.

3.7.4

SECURITY REQUIREMENT

Check media containing diagnostic and test programs for malicious code before themedia are used in organizational systems.
DISCUSSION
If, upon inspection of media containing maintenance diagnostic and test programs, organizations
determine that the media contain malicious code, the incident is handled consistent with incident
handling policies and procedures.

3.7.5

SECURITY REQUIREMENT

Require multifactor authentication to establish nonlocal maintenance sessions via
external network connections and terminate such connections when nonlocal
maintenance is complete.
DISCUSSION
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals
communicating through an external network. Authentication techniques used in the establishmentof these nonlocal maintenance and diagnostic sessions reflect the network access requirements in
3.5.3.

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3.7.6

SECURITY REQUIREMENTSupervise the maintenance activities of maintenance personnel without required accessauthorization.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

This requirement applies to individuals performing hardware or software maintenance onorganizational systems, while 3.10.1 addresses physical access for individuals whose maintenanceduties place them within the physical protection perimeter of the systems (e.g., custodial staff,
physical plant maintenance personnel). Individuals not previously identified as authorized
maintenance personnel, such as information technology manufacturers, vendors, consultants, andsystems integrators, may require privileged access to organizational systems, for example, whenrequired to conduct maintenance activities with little or no notice. Organizations may choose toissue temporary credentials to these individuals based on organizational risk assessments.
Temporary credentials may be for one-time use or for very limited time periods.

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3.8.1

SECURITY REQUIREMENT

Protect (i.e. physically control and securely store) system media containing CUI, both
paper and digital.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

System media includes digital and non-digital media. Digital media includes, for example, diskettes,
magnetic tapes, external and removable hard disk drives, flash drives, compact disks, and digital
video disks. Non-digital media includes, for example, paper and microfilm. Protecting digital media
includes, for example, limiting access to design specifications stored on compact disks or flash
drives in the media library to the project leader and any individuals on the development team.
Physically controlling system media includes, for example, conducting inventories, maintaining
accountability for stored media, and ensuring procedures are in place to allow individuals to checkout and return media to the media library. Secure storage includes, for example, a locked drawer,
desk, or cabinet, or a controlled media library.
Access to CUI on system media can be limited by physically controlling such media, which includes,for example, conducting inventories, ensuring procedures are in place to allow individuals to checkout and return media to the media library, and maintaining accountability for all stored media.
NIST Special Publication 800-111 provides guidance on storage encryption technologies for end user
devices.

3.8.2

SECURITY REQUIREMENT

Limit access to CUI on system media to authorized users.
DISCUSSION
Access can be limited by physically controlling system media and secure storage. Physicallycontrolling system media includes, for example, conducting inventories, ensuring procedures are inplace to allow individuals to check out and return media to the media library, and maintaining
accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, orcabinet, or a controlled media library.

3.8.3

SECURITY REQUIREMENT

Sanitize or destroy system media containing CUI before disposal or release for reuse.
DISCUSSION
This requirement applies to all system media, digital and non-digital, subject to disposal or reuse,
whether or not the media is considered removable. Examples include: digital media found inscanners, copiers, printers, notebook computers, workstations, network components, and mobile
devices; and non-digital media such as paper and microfilm. The sanitization process removes
information from the media such that the information cannot be retrieved or reconstructed.
Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, preventthe disclosure of information to unauthorized individuals when such media is released for reuse ordisposal.
Organizations determine the appropriate sanitization methods, recognizing that destruction may benecessary when other methods cannot be applied to media requiring sanitization. Organizations
use discretion on the employment of approved sanitization techniques and procedures for media
containing information in the public domain or publicly releasable, or deemed to have no adverse
impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital
media includes, for example, destruction, removing CUI from a document, or redacting selected
sections or words from a document by obscuring the redacted sections or words in a mannerequivalent in effectiveness to removing the words or sections from the document. NARA policy andguidance control the sanitization process for controlled unclassified information.

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See NARA Sanitization Policy and Guidance. NIST Special Publication 800-88 provides guidance on
media sanitization.

3.8.4

SECURITY REQUIREMENTMark media with necessary CUI markings and distribution limitations.
DISCUSSION
The term security marking refers to the application or use of human-readable security attributes.
System media includes digital and non-digital media. Marking of system media reflects applicable
federal laws, Executive Orders, directives, policies, and regulations.
See NARA Marking Handbook.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

3.8.5

SECURITY REQUIREMENT

Control access to media containing CUI and maintain accountability for media duringtransport outside of controlled areas.
DISCUSSION
Controlled areas are areas or spaces for which organizations provide physical or procedural
safeguards to meet the requirements established for protecting systems and information.
Safeguards to maintain accountability for media during transport include, for example, locked
containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity
protections depending upon the mechanisms used. Activities associated with transport include theactual transport as well as those activities such as releasing media for transport and ensuring thatmedia enters the appropriate transport processes. For the actual transport, authorized transportand courier personnel may include individuals from outside the organization. Maintaining
accountability of media during transport includes, for example, restricting transport activities toauthorized personnel, and tracking and obtaining explicit records of transport activities as themedia moves through the transportation system to prevent and detect loss, destruction, or
tampering.

3.8.6

SECURITY REQUIREMENT

Implement cryptographic mechanisms to protect the confidentiality of CUI stored on
digital media during transport unless otherwise protected by alternative physicalsafeguards.
DISCUSSION
This requirement applies to portable storage devices (e.g., USB memory sticks, digital video disks,
compact disks, external or removable hard disk drives). NIST Special Publication 800-111 provides
guidance on storage encryption technologies for end user devices.
See NIST Cryptographic Standards.

3.8.7

SECURITY REQUIREMENT

Control the use of removable media on system components.
DISCUSSION
In contrast to requirement 3.8.1, which restricts user access to media, this requirement restricts theuse of certain types of media on systems, for example, restricting or prohibiting the use of flash
drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards(e.g., policies, procedures, rules of behavior) to control the use of system media. Organizations may
control the use of portable storage devices, for example, by using physical cages on workstations toprohibit 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,for example, devices provided by the organization, devices provided by other approved

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organizations, and devices that are not personally owned. Finally, organizations may control the useof portable storage devices based on the type of device, for example, prohibiting the use ofwriteable, portable storage devices, and implementing this restriction by disabling or removing thecapability to write to such devices.

3.8.8

SECURITY REQUIREMENT

Prohibit the use of portable storage devices when such devices have no identifiable
owner.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage
devices reduces the risk of using such technologies by allowing organizations to assign responsibility
and accountability for addressing known vulnerabilities in the devices (e.g., insertion of maliciouscode).

3.8.9

SECURITY REQUIREMENT

Protect the confidentiality of backup CUI at storage locations.
DISCUSSION
Organizations can employ cryptographic mechanisms or alternative physical safeguards to protect
the confidentiality of backup information at designated storage locations. Backed-up information
containing CUI may include system-level information and user-level information. System-level
information includes, for example, system-state information, operating system software andapplication software, and licenses. User-level information includes information other than systemlevel information.

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3.9.1

SECURITY REQUIREMENT

Screen individuals prior to authorizing access to organizational systems containing CUI.
DISCUSSION
Personnel screening activities reflect applicable federal laws, Executive Orders, directives, policies,
regulations, and specific criteria established for the level of access required for assigned positions.

3.9.2

SECURITY REQUIREMENT

Ensure that organizational systems containing CUI are protected during and after
personnel actions such as terminations and transfers.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

DISCUSSION
Protecting CUI during and after personnel actions may include, for example, return of systemrelated property and exit interviews. System-related property includes, for example, hardware
authentication tokens, identification cards, system administration technical manuals, keys, andbuilding passes. Exit interviews ensure that individuals who have been terminated understand the
security constraints imposed by being former employees and that proper accountability is achieved
for system-related property. Security topics of interest at exit interviews can include, for example,
reminding terminated individuals of nondisclosure agreements and potential limitations on future
employment. Exit interviews may not be possible for some terminated individuals, for example, incases related to job abandonment, illnesses, and non-availability of supervisors. For termination
actions, timely execution is essential for individuals terminated for cause. In certain situations,organizations consider disabling the system accounts of individuals that are being terminated prior
to the individuals being notified.
This requirement applies to reassignments or transfers of individuals when the personnel action ispermanent or of such extended durations as to require protection. Organizations define the CUI
protections appropriate for the types of reassignments or transfers, whether permanent or
extended. Protections that may be required for transfers or reassignments to other positions withinorganizations include, for example, returning old and issuing new keys, identification cards, andbuilding passes; closing system accounts and establishing new accounts; changing system accessauthorizations (i.e., privileges); and providing for access to official records to which individuals hadaccess at previous work locations and in previous system accounts.

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3.10.1

SECURITY REQUIREMENT

Limit physical access to organizational systems, equipment, and the respective operating
environments to authorized individuals.
DISCUSSION
This requirement applies to organizational employees, individuals with permanent physical accessauthorization credentials, and visitors. Authorized individuals have credentials which include, forexample, badges, identification cards, and smart cards. Organizations determine the strength of
authorization credentials needed consistent with applicable laws, directives, policies, regulations,standards, procedures, and guidelines. This requirement applies only to areas within facilities thathave not been designated as publicly accessible.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Limiting physical access to equipment may include, for example, placing equipment in locked rooms
or other secured areas and allowing access to authorized individuals only, and placing equipment inlocations that can be monitored by organizational personnel. Computing devices, external hard disk
drives, networking devices, monitors, printers, copiers, scanners, facsimile machines, and audio
devices are examples of equipment.

3.10.2

SECURITY REQUIREMENT

Protect and monitor the physical facility and support infrastructure for organizational
systems.
DISCUSSION
Monitoring of physical access includes publicly accessible areas within organizational facilities. Thiscan be accomplished, for example, by the employment of guards; the use of sensor devices; or theuse of video surveillance equipment such as cameras. Examples of support infrastructure include
system distribution, transmission, and power lines. Security safeguards applied to the support
infrastructure prevent accidental damage, disruption, and physical tampering. Such safeguards may
also be necessary to help prevent eavesdropping or modification of unencrypted transmissions.
Safeguards used to control physical access to support infrastructure include, for example, locked
wiring closets; disconnected or locked spare jacks; protection of cabling by conduit or cable trays;
and wiretapping sensors.

3.10.3

SECURITY REQUIREMENT

Escort visitors and monitor visitor activity.
DISCUSSION
Individuals with permanent physical access authorization credentials are not considered visitors.
Audit logs can be used to monitor visitor activity.

3.10.4

SECURITY REQUIREMENT

Maintain audit logs of physical access.
DISCUSSION
Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g.,a written log of individuals accessing the facility and when such access occurred), automated (e.g.,
capturing ID provided by a PIV card), or some combination thereof. Physical access points can
include facility access points, interior access points to systems or system components requiring
supplemental access controls, or both. Components of systems (e.g., workstations, notebook
computers) may be in areas designated as publicly accessible with organizations safeguarding
access to such devices.

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3.10.5

SECURITY REQUIREMENT

Control and manage physical access devices.
DISCUSSION
Physical access devices include, for example, keys, locks, combinations, and card readers.

3.10.6

SECURITY REQUIREMENT

Enforce safeguarding measures for CUI at alternate work sites.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Alternate work sites may include, for example, government facilities or private residences of
employees. Organizations may define different security requirements for specific alternate worksites or types of sites depending on the work-related activities conducted at those sites.
NIST Special Publications 800-46 and 800-114 provide guidance on enterprise and user security
when teleworking.

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3.11.1

SECURITY REQUIREMENT

Periodically assess the risk to organizational operations (including mission, functions,image, or reputation), organizational assets, and individuals, resulting from the operationof organizational systems and the associated processing, storage, or transmission of CUI.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Clearly defined system boundaries are a prerequisite for effective risk assessments. Such risk
assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations,organizational assets, and individuals based on the operation and use of organizational systems.
Risk assessments also consider risk from external parties (e.g., service providers, contractors
operating systems on behalf of the organization, individuals accessing organizational systems,
outsourcing entities). Risk assessments, either formal or informal, can be conducted at theorganization level, the mission or business process level, or the system level, and at any phase in
the system development life cycle.
NIST Special Publication 800-30 provides guidance on conducting risk assessments.

3.11.2

SECURITY REQUIREMENT

Scan for vulnerabilities in organizational systems and applications periodically and when
new vulnerabilities affecting those systems and applications are identified.
DISCUSSION
Organizations determine the required vulnerability scanning for all system components, ensuringthat potential sources of vulnerabilities such as networked printers, scanners, and copiers are notoverlooked. The vulnerabilities to be scanned are readily updated as new vulnerabilities are
discovered, announced, and scanning methods developed. This process ensures that potential
vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability
analyses for custom software applications may require additional approaches such as static
analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations canemploy these analysis approaches in source code reviews and in a variety of tools (e.g., static
analysis tools, web-based application scanners, binary analyzers) and in source code reviews.
Vulnerability scanning includes, for example: scanning for patch levels; scanning for functions,ports, protocols, and services that should not be accessible to users or devices; and scanning for
improperly configured or incorrectly operating information flow control mechanisms.
To facilitate interoperability, organizations consider using products that are Security Content
Automated Protocol (SCAP)-validated, scanning tools that express vulnerabilities in the Common
Vulnerabilities and Exposures (CVE) naming convention, and that use 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).
Security 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). In certain situations, thenature of the vulnerability scanning may be more intrusive or the system component that is the
subject of the scanning may contain highly sensitive information. Privileged access authorization to
selected system components facilitates thorough vulnerability scanning and protects the sensitive
nature of such scanning.
NIST Special Publication 800-40 provides guidance on vulnerability management.

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3.11.3

SECURITY REQUIREMENT

Remediate vulnerabilities in accordance with risk assessments.
DISCUSSION
Vulnerabilities discovered, for example, via the scanning conducted in response to 3.11.2, areremediated with consideration of the related assessment of risk. The consideration of risk
influences the prioritization of remediation efforts and the level of effort to be expended in theremediation for specific vulnerabilities.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1
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3.12.1

SECURITY REQUIREMENT

Periodically assess the security controls in organizational systems to determine if thecontrols are effective in their application.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Organizations assess security controls in organizational systems and the environments in whichthose systems operate as part of the system development life cycle. Security controls are thesafeguards or countermeasures organizations implement to satisfy security requirements. By
assessing the implemented security controls, organizations determine if the security safeguards orcountermeasures are in place and operating as intended. Security control assessments ensure that
information security is built into organizational systems; identify weaknesses and deficiencies earlyin the development process; provide essential information needed to make risk-based decisions;and ensure compliance to vulnerability mitigation procedures. Assessments are conducted on theimplemented security controls as documented in system security plans.
Security 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
security controls are implemented correctly, operating as intended, and producing the desired
outcome with respect to meeting security requirements. Security assessment results are provided
to the individuals or roles appropriate for the types of assessments being conducted.
Organizations ensure that security assessment results are current, relevant to the determination of
security control effectiveness, and obtained with the appropriate level of assessor independence.
Organizations can choose to use other types of assessment activities such as vulnerability scanningand system monitoring to maintain the security posture of systems during the life cycle. NIST
Special Publication 800-53A provides guidance on developing security assessment plans and for
conducting assessments.
NIST Special Publication 800-53 provides guidance on security and privacy controls for systems andorganizations.

3.12.2

SECURITY REQUIREMENT

Develop and implement plans of action designed to correct deficiencies and reduce or
eliminate vulnerabilities in organizational systems.
DISCUSSION
The plan of action is a key document in the information security program. Organizations develop
plans of action that describe how any unimplemented security requirements will be met and how
any planned mitigations will be implemented. Organizations can document the system security planand plan of action as separate or combined documents and in any chosen format.
Federal agencies may consider the submitted system security plans and plans of action as critical
inputs to an overall risk management decision to process, store, or transmit CUI on a system hosted
by a nonfederal organization and whether it is advisable to pursue an agreement or contract with
the nonfederal organization.

3.12.3

SECURITY REQUIREMENT

Monitor security controls on an ongoing basis to ensure the continued effectiveness ofthe controls.
DISCUSSION
Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, andinformation security to support organizational risk management decisions. The terms continuousand ongoing imply that organizations assess and analyze security controls and information securityrelated risks at a frequency sufficient to support risk-based decisions. The results of continuous
monitoring programs generate appropriate risk response actions by organizations. Providing access

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to security information on a continuing basis through reports or dashboards gives organizational
officials the capability to make more effective and timely risk management decisions.
Automation supports more frequent updates to hardware, software, firmware inventories, andother system information. Effectiveness is further enhanced when continuous monitoring outputs
are formatted to provide information that is specific, measurable, actionable, relevant, and timely.
Monitoring requirements, including the need for specific monitoring, may also be referenced inother requirements.
NIST Special Publication 800-137 provides guidance on continuous monitoring.

3.12.4

SECURITY REQUIREMENT

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Develop, document, and periodically update system security plans that describe systemboundaries, system environments of operation, how security requirements are
implemented, and the relationships with or connections to other systems.
DISCUSSION
System security plans relate security requirements to a set of security controls. System security
plans also describe, at a high level, how the security controls meet those security requirements, but
do not provide detailed, technical descriptions of the specific design or implementation of thecontrols. Security plans contain sufficient information to enable a design and implementation that isunambiguously compliant with the intent of the plans and subsequent determinations of risk if theplan is implemented as intended. Security plans need not be single documents; the plans can be acollection of various documents including documents that already exist. Effective security plans
make extensive use of references to policies, procedures, and additional documents (e.g., design
and implementation specifications) where more detailed information can be obtained. This reduces
the documentation requirements associated with security programs and maintains security-related
information in other established management/operational areas related to enterprise architecture,system development life cycle, systems engineering, and acquisition.
Federal agencies may consider the submitted system security plans and plans of action as critical
inputs to an overall risk management decision to process, store, or transmit CUI on a system hosted
by a nonfederal organization and whether it is advisable to pursue an agreement or contract with
the nonfederal organization.
NIST Special Publication 800-18 provides guidance on developing security plans.

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3.13.1

SECURITY REQUIREMENT

Monitor, control, and protect communications (i.e., information transmitted or received
by organizational systems) at the external boundaries and key internal boundaries oforganizational systems.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Communications can be monitored, controlled, and protected at boundary components and by
restricting or prohibiting interfaces in organizational systems. Boundary components include, forexample, gateways, routers, firewalls, guards, network-based malicious code analysis andvirtualization systems, or encrypted tunnels implemented within a system security architecture(e.g., routers protecting firewalls or application gateways residing on protected subnetworks).
Restricting or prohibiting interfaces in organizational systems includes, for example, restricting
external web traffic to designated web servers within managed interfaces and prohibiting externaltraffic that appears to be spoofing internal addresses.
Organizations consider the shared nature of commercial telecommunications services in theimplementation of security requirements associated with the use of such services. Commercial
telecommunications services are commonly based on network components and consolidated
management systems shared by all attached commercial customers, and may also include third
party-provided access lines and other service elements. Such transmission services may represent
sources of increased risk despite contract security provisions. NIST Special Publication 800-41
provides guidance on firewalls and firewall policy.
NIST Special Publication 800-125 provides guidance on security for virtualization technologies.

3.13.2

SECURITY REQUIREMENT

Employ architectural designs, software development techniques, and systems
engineering principles that promote effective information security within organizational
systems.
DISCUSSION
Organizations apply systems security engineering principles to new development systems or
systems undergoing major upgrades. For legacy systems, organizations apply systems security
engineering principles to system upgrades and modifications to the extent feasible, given thecurrent state of hardware, software, and firmware components within those systems. The
application of systems security engineering concepts and principles helps to develop trustworthy,
secure, and resilient systems and system components and reduce the susceptibility of organizations
to disruptions, hazards, and threats. Examples of these concepts and principles include developing
layered protections; establishing security policies, architecture, and controls as the foundation for
design; incorporating security requirements into the system development life cycle; delineating
physical and logical security boundaries; ensuring that developers are trained on how to build
secure software; and performing threat modeling to identify use cases, threat agents, attack vectors
and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations
that apply security engineering concepts and principles can facilitate the development oftrustworthy, secure systems, system components, and system services; reduce risk to acceptablelevels; and make informed risk-management decisions.
NIST Special Publication 800-160 provides guidance on systems security engineering.

3.13.3

SECURITY REQUIREMENT

Separate user functionality from system management functionality.
DISCUSSION
System management functionality includes, for example, functions necessary to administerdatabases, network components, workstations, or servers, and typically requires privileged user
access. The separation of user functionality from system management functionality is physical or

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logical. Organizations can implement separation of system management functionality from userfunctionality by using different computers, different central processing units, different instances ofoperating systems, or different network addresses; virtualization techniques; or combinations ofthese or other methods, as appropriate. This type of separation includes, for example, web
administrative interfaces that use separate authentication methods for users of any other system
resources. Separation of system and user functionality may include isolating administrativeinterfaces on different domains and with additional access controls.

3.13.4

SECURITY REQUIREMENT

Prevent unauthorized and unintended information transfer via shared system resources.
DISCUSSION
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

The control of information in shared system resources (e.g., registers, cache memory, main
memory, hard disks) is also commonly referred to as object reuse and residual information
protection. This requirement prevents 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 any
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.
This requirement also applies to encrypted representations of information. This requirement does
not address information remanence, which refers to residual representation of data that has been
nominally deleted; covert channels (including storage or timing channels) where shared resources
are manipulated to violate information flow restrictions; or components within systems for which
there are only single users or roles.

3.13.5

SECURITY REQUIREMENT

Implement subnetworks for publicly accessible system components that are physically or
logically separated from internal networks.
DISCUSSION
Subnetworks that are physically or logically separated from internal networks are referred to as
demilitarized zones (DMZs). DMZs are typically implemented with boundary control devices andtechniques that include, for example, routers, gateways, firewalls, virtualization, or cloud-based
technologies.
NIST Special Publication 800-41 provides guidance on firewalls and firewall policy. NIST Special
Publication 800-125 provides guidance on security for virtualization technologies.

3.13.6

SECURITY REQUIREMENT

Deny network communications traffic by default and allow network communications
traffic by exception (i.e., deny all, permit by exception).
DISCUSSION
This requirement applies to inbound and outbound network communications traffic, both at thesystem boundary and at identified points within the system. A deny-all, permit-by-exception
network communications traffic policy ensures that only those connections which are essential andapproved are allowed.

3.13.7

SECURITY REQUIREMENT

Prevent remote devices from simultaneously establishing non-remote connections withorganizational systems and communicating via some other connection to resources inexternal networks (i.e., split tunneling).
DISCUSSION
Split tunneling might be desirable by remote users to communicate with local system resources
such as printers or file servers. However, split tunneling would allow unauthorized external
connections, making the system more vulnerable to attack and to exfiltration of organizational
information. This requirement is implemented in remote devices (e.g., notebook computers,

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tablets) through configuration settings to disable split tunneling in those devices, and by preventing
configuration settings from being readily configurable by users. This requirement is implemented in
the system 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.

3.13.8SECURITY REQUIREMENT

Implement cryptographic mechanisms to prevent unauthorized disclosure of CUI duringtransmission unless otherwise protected by alternative physical safeguards.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

This requirement applies to internal and external networks and any system components that cantransmit information including, for example, servers, notebook computers, desktop computers,
mobile devices, printers, copiers, scanners, and facsimile machines. Communication paths outside
the physical protection of a controlled boundary are susceptible to interception and modification.
Organizations relying on commercial providers offering transmission services as commodity services
rather than as fully dedicated services (i.e., services which can be highly specialized to individual
customer needs), may find it difficult to obtain the necessary assurances regarding theimplementation of needed safeguards for transmission confidentiality. In such situations,organizations determine what types of confidentiality services are available in standard, commercial
telecommunication service packages. If it is infeasible or impractical to obtain the necessary
safeguards and assurances of the effectiveness of the safeguards through appropriate contracting
vehicles, organizations implement compensating safeguards or explicitly accept the additional risk.
An example of an alternative physical safeguard is a protected distribution system (PDS) where the
distribution medium is protected against electronic or physical intercept, thereby ensuring theconfidentiality of the information being transmitted.
See NIST Cryptographic Standards.

3.13.9SECURITY REQUIREMENT

Terminate network connections associated with communications sessions at the end of
the sessions or after a defined period of inactivity.
DISCUSSION
This requirement applies to internal and external networks. Terminating network connections
associated with communications sessions include, for example, de-allocating associated TCP/IP
address or port pairs at the operating system level, or de-allocating networking assignments at theapplication level if multiple application sessions are using a single, operating system-level network
connection. Time periods of user inactivity may be established by organizations and include, forexample, time periods by type of network access or for specific network accesses.

3.13.10

SECURITY REQUIREMENT

Establish and manage cryptographic keys for cryptography employed in organizational
systems.
DISCUSSION
Cryptographic key management and establishment can be performed using manual procedures ormechanisms supported by manual procedures. Organizations define key management requirementsin accordance with applicable federal laws, Executive Orders, directives, regulations, policies, andstandards, specifying appropriate options, levels, and parameters.
NIST Special Publications 800-56 and 800-57 provide guidance on cryptographic key maintenance.

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3.13.11

SECURITY REQUIREMENT

Employ FIPS-validated cryptography when used to protect the confidentiality of CUI.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Cryptography can be employed to support many security solutions including, for example, theprotection of controlled unclassified information, the provision of digital signatures, and theenforcement of information separation when authorized individuals have the necessary clearances
for such information but lack the necessary formal access approvals. Cryptography can also be used
to support random number generation and hash generation. Generally applicable cryptographic
standards include FIPS-validated cryptography and NSA-approved cryptography. This control does
not impose any requirements on organizations to use cryptography. However, if cryptography isrequired based on other security requirements, organizations define each type of cryptographic use
and the type of cryptography required (e.g., FIPS-validated cryptography).
See NIST Cryptographic Standards; NIST Cryptographic Module Validation Program; NIST
Cryptographic Algorithm Validation Program.

3.13.12SECURITY REQUIREMENT

Prohibit remote activation of collaborative computing devices and provide indication ofdevices in use to users present at the device.
DISCUSSION
Collaborative computing devices include, for example, networked white boards, cameras, andmicrophones. Indication of use includes, for example, signals to users when collaborative
computing devices are activated. Dedicated video conferencing systems, which rely on one of theparticipants calling or connecting to the other party to activate the video conference, are excluded.

3.13.13

SECURITY REQUIREMENT

Control and monitor the use of mobile code.
DISCUSSION
Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF,
Shockwave movies, Flash animations, and VBScript. Decisions regarding the use of mobile code inorganizational systems are based on the potential for the code to cause damage to the systems if
used maliciously. Usage restrictions and implementation guidance apply to the selection and use ofmobile code installed on servers and mobile code downloaded and executed on individual
workstations, notebook computers, and devices (e.g., smart phones). Mobile code policy andprocedures address controlling or preventing the development, acquisition, or introduction of
unacceptable mobile code in systems, including, for example, requiring mobile code to be digitally
signed by a trusted source.
NIST Special Publication 800-28 provides guidance on mobile code.

3.13.14

SECURITY REQUIREMENT

Control and monitor the use of Voice over Internet Protocol (VoIP) technologies.
DISCUSSIONVoIP has different requirements, features, functionality, availability, and service limitations whencompared with Plain Old Telephone Service (POTS) (i.e., the standard telephone service that mosthomes use). In contrast, other telephone services are based on high-speed, digital communicationslines, such as Integrated Services Digital Network (ISDN) and Fiber Distributed Data Interface (FDDI).
The main distinctions between POTS and non-POTS services are speed and bandwidth. To address
the threats associated with VoIP, usage restrictions and implementation guidelines are based on thepotential for the VoIP technology to cause damage to the system if it is used maliciously. Threats to
VoIP are similar to those inherent with any Internet-based application.

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NONFEDERAL SYSTEMS AND ORGANIZATIONS_________________________________________________________________________________________________NIST Special Publication 800-58 provides guidance on Voice Over IP Systems.

3.13.15

SECURITY REQUIREMENT

Protect the authenticity of communications sessions.
DISCUSSION
Authenticity protection includes, for example, protecting against man-in-the-middle attacks, session
hijacking, and the insertion of false information into communications sessions. This requirement
addresses communications protection at the session versus packet level (e.g., sessions in serviceoriented architectures providing web-based services) and establishes grounds for confidence atboth ends of communications sessions in ongoing identities of other parties and in the validity of
information transmitted.
This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

NIST Special Publications 800-52, 800-77, 800-95, and 800-113 provide guidance on securecommunications sessions.

3.13.16

SECURITY REQUIREMENT

Protect the confidentiality of CUI at rest.
DISCUSSION
Information at rest refers to the state of information when it is not in process or in transit and islocated on storage devices as specific components of systems. The focus of protection at rest is noton the type of storage device or the frequency of access but rather the state of the information.
Organizations can use different mechanisms to achieve confidentiality protections, including theuse of cryptographic mechanisms and file share scanning. Organizations may also employ othersafeguards including, for example, secure off-line storage in lieu of online storage when adequate
protection of information at rest cannot otherwise be achieved or continuous monitoring to identify
malicious code at rest.
See NIST Cryptographic Standards.

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3.14.1

SECURITY REQUIREMENT

Identify, report, and correct system flaws in a timely manner.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Organizations identify systems that are affected by announced software and firmware flaws
including potential vulnerabilities resulting from those flaws, and report this information to
designated personnel with information security responsibilities. Security-relevant updates include,for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address
flaws discovered during security assessments, continuous monitoring, incident response activities,
and system error handling. Organizations can take advantage of available resources such as theCommon Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databasesin remediating flaws discovered in organizational systems.
Organization-defined time periods for updating security-relevant software and firmware may vary
based on a variety of factors including, for example, the criticality of the update (i.e., severity of thevulnerability related to the discovered flaw). Some types of flaw remediation may require more
testing than other types of remediation. NIST Special Publication 800-40 provides guidance on patch
management technologies.

3.14.2

SECURITY REQUIREMENT

Provide protection from malicious code at designated locations within organizational
systems.
DISCUSSION
Designated locations include system entry and exit points which may include, for example, firewalls,
remote-access servers, workstations, electronic mail servers, web servers, proxy servers, notebook
computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan
horses, and spyware. Malicious code can be encoded in various formats (e.g., UUENCODE,
Unicode), contained within compressed or hidden files, or hidden in files using techniques such assteganography. Malicious code can be inserted into systems in a variety of ways including, forexample, web accesses, electronic mail, electronic mail attachments, and portable storage devices.
Malicious code insertions occur through the exploitation of system vulnerabilities.
Malicious code protection mechanisms include, for example, anti-virus signature definitions andreputation-based technologies. A variety of technologies and methods exist to limit or eliminate theeffects of malicious code. Pervasive configuration management and comprehensive software
integrity controls may be effective in preventing execution of unauthorized code. In addition tocommercial off-the-shelf software, malicious code may also be present in custom-built software.
This could include, for example, logic bombs, back doors, and other types of cyber-attacks that
could affect organizational missions/business functions. Traditional malicious code protection
mechanisms cannot always detect such code. In these situations, organizations rely instead onother safeguards including, for example, secure coding practices, configuration management andcontrol, trusted procurement processes, and monitoring practices to help ensure that software
does not perform functions other than the functions intended.
NIST Special Publication 800-83 provides guidance on malware incident prevention.

3.14.3

SECURITY REQUIREMENT

Monitor system security alerts and advisories and take action in response.
DISCUSSION
There are many publicly available sources of system security alerts and advisories. The UnitedStates Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories tomaintain situational awareness across the federal government and in nonfederal organizations.
Software vendors, subscription services, and relevant industry information sharing and analysis
centers (ISACs) may also provide security alerts and advisories. Examples of response actions

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include notifying relevant external organizations, for example, external mission/business partners,
supply chain partners, external service providers, and peer or supporting organizations.

3.14.4

SECURITY REQUIREMENT

Update malicious code protection mechanisms when new releases are available.
DISCUSSION

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Malicious code protection mechanisms include, for example, anti-virus signature definitions andreputation-based technologies. A variety of technologies and methods exist to limit or eliminate theeffects of malicious code. Pervasive configuration management and comprehensive software
integrity controls may be effective in preventing execution of unauthorized code. In addition tocommercial off-the-shelf software, malicious code may also be present in custom-built software.
This could include, for example, logic bombs, back doors, and other types of cyber-attacks that
could affect organizational missions/business functions. Traditional malicious code protection
mechanisms cannot always detect such code. In these situations, organizations rely instead onother safeguards including, for example, secure coding practices, configuration management andcontrol, trusted procurement processes, and monitoring practices to help ensure that software
does not perform functions other than the functions intended.

3.14.5

SECURITY REQUIREMENT

Perform periodic scans of organizational systems and real-time scans of files fromexternal sources as files are downloaded, opened, or executed.
DISCUSSION
Periodic scans of organizational systems and real-time scans of files from external sources candetect malicious code. Malicious code can be encoded in various formats (e.g., UUENCODE,
Unicode), contained within compressed or hidden files, or hidden in files using techniques such assteganography. Malicious code can be inserted into systems in a variety of ways including, forexample, web accesses, electronic mail, electronic mail attachments, and portable storage devices.
Malicious code insertions occur through the exploitation of system vulnerabilities.
Malicious code protection mechanisms include, for example, anti-virus signature definitions andreputation-based technologies. Many technologies and methods exist to limit or eliminate theeffects of malicious code. Pervasive configuration management and comprehensive software
integrity controls may be effective in preventing execution of unauthorized code. In addition tocommercial off-the-shelf software, malicious code may also be present in custom-built software.
This could include, for example, logic bombs, back doors, and other types of cyber-attacks that
could affect organizational missions/business functions. Traditional malicious code protection
mechanisms cannot always detect such code. In these situations, organizations rely instead onother safeguards including, for example, secure coding practices, configuration management andcontrol, trusted procurement processes, and monitoring practices to help ensure that software
does not perform functions other than the functions intended.

3.14.6

SECURITY REQUIREMENT

Monitor organizational systems, including inbound and outbound communications traffic,
to detect attacks and indicators of potential attacks.
DISCUSSION
System monitoring includes external and internal monitoring. External monitoring includes theobservation of events occurring at the system boundary (i.e., part of perimeter defense andboundary protection). Internal monitoring includes the observation of events occurring within thesystem. Organizations can monitor systems, for example, by observing audit record activities in realtime or by observing other system aspects such as access patterns, characteristics of access, andother actions. The monitoring objectives may guide determination of the events. System monitoring
capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems,
intrusion prevention systems, malicious code protection software, scanning tools, audit record
monitoring software, network monitoring software). Strategic locations for monitoring devices

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include, for example, selected perimeter locations and near server farms supporting criticalapplications, with such devices being employed at managed system interfaces. The granularity ofmonitoring information collected is based on organizational monitoring objectives and thecapability of systems to support such objectives.
System monitoring is an integral part of continuous monitoring and incident response programs.
Output from system monitoring serves as input to continuous monitoring and incident response
programs. A network connection is any connection with a device that communicates through a
network (e.g., local area network, Internet). A remote connection is any connection with a device
communicating through an external network (e.g., the Internet). Local, network, and remoteconnections can be either wired or wireless.

This publication is available free of charge from: https://doi.org/10.6028/NIST.SP.800-171r1

Unusual or unauthorized activities or conditions related to inbound and outbound communications
traffic include, for example, internal traffic that indicates the presence of malicious code in systems
or propagating among system components, the unauthorized exporting of information, or signaling
to external systems. Evidence of malicious code is used to identify potentially compromised systems
or system components. System monitoring requirements, including the need for specific types ofsystem monitoring, may be referenced in other requirements.
NIST Special Publication 800-94 provides guidance on intrusion detection and prevention systems.

3.14.7

SECURITY REQUIREMENT

Identify unauthorized use of organizational systems.
DISCUSSION
System monitoring can detect unauthorized use of organizational systems. System monitoring
includes external and internal monitoring. System monitoring is an integral part of continuous
monitoring and incident response programs; it is achieved through a variety of tools and techniques(e.g., intrusion detection systems, intrusion prevention systems, malicious code protection
software, scanning tools, audit record monitoring software, network monitoring software). Output
from system monitoring serves as input to continuous monitoring and incident response programs.
Unusual or unauthorized activities or conditions related to inbound and outbound communications
traffic include, for example, internal traffic that indicates the presence of malicious code in systems
or propagating among system components, the unauthorized exporting of information, or signaling
to external systems. Evidence of malicious code is used to identify potentially compromised systems
or system components. System monitoring requirements, including the need for specific types ofsystem monitoring, may be referenced in other requirements.
NIST Special Publication 800-94 provides guidance on intrusion detection and prevention systems.

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