NIST Special Publication 800-53 

 Revision 1 Recommended Security Controls 

for Federal Information Systems

Ron Ross

Stu Katzke 

Arnold Johnson 

Marianne Swanson 

George Rogers

I N F O R M A T I O N S E C U R I T Y

March 2006

U.S. Department of Commerce

Carlos M. Gutierrez, Secretary 

National Institute of Standards and Technology

William Jeffrey, Director 

PUBLIC DRAFT 

Computer Security Division 

Information Technology Laboratory

National Institute of Standards and Technology

Gaithersburg, MD 20899-8930
Special Publication 800-53, Revision 1 Recommended Security Controls for Federal Information Systems 

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Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and 

Technology (NIST) promotes the U.S. economy and public welfare by providing technical 

leadership for the Nation’s measurement and standards infrastructure. ITL develops tests, test 

methods, reference data, proof of concept implementations, and technical analyses to advance the 

development and productive use of information technology. 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 in 

federal information systems. The Special Publication 800-series reports on ITL’s research, 

guidelines, and outreach efforts in information system security, and its collaborative activities 

with industry, government, and academic organizations. 

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Authority

This document has been developed by the National Institute of Standards and Technology (NIST) 

to further its statutory responsibilities under the Federal Information Security Management Act 

(FISMA) of 2002, P.L. 107-347. 

NIST is responsible for developing standards and guidelines, including minimum requirements, 

for providing adequate information security for all agency operations and assets, but such 

standards and guidelines shall not apply to national security systems. This guideline is consistent 

with the requirements of the Office of Management and Budget (OMB) Circular A-130, Section 

8b(3), Securing Agency Information Systems, as analyzed in A-130, Appendix IV: Analysis of

Key Sections. Supplemental information is provided A-130, Appendix III. 

This guideline has been prepared for use by federal agencies. It may also be used by

nongovernmental organizations on a voluntary basis and is not subject to copyright. (Attribution 

would be appreciated by NIST.) 

Nothing in this document should be taken to contradict standards and guidelines made mandatory

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.

NIST Special Publication 800-53, Revision 1, 120 pages 

(March 2006) CODEN: NSPUE2 

 

 

Certain commercial entities, equipment, or materials m ay be identified in this document in order to

describe an experimental procedure or concept adequately. Such identification is not intended to imply 

recommendation or endorsement by the National Institute of Standards and Technology, nor is it 

intended to imply that the entities, materials, or equipment are necessarily the best available for the 

purpose. 

There are references in this publication to documents currently under development by NIST in

accordance with responsibilities assigned to NIST under the Federal Information Security Management 

Act of 2002. The methodologies in this document may be used even before the completion of such

companion documents. Thus, until such time as each document is completed, current requirements, 

guidelines, and procedures (where they exist) remain operative. For planning and transition purposes,

agencies may wish to closely follow the development of these new documents by NIST. Individuals

are also encouraged to review the public draft documents and offer their comments to NIST. All NIST 

documents mentioned in this publication other than the ones noted above, are available at:

http://csrc.nist.gov/publications. 

THE PUBLIC COMMENT PERIOD FOR THIS DOCUMENT IS MARCH 1-31, 2006. 

COMMENTS MAY BE SUBMITTED TO THE COMPUTER SECURITY DIVISION, INFORMATION TECHNOLOGY 

LABORATORY, NIST VIA ELECTRONIC MAIL AT SEC-CERT@NIST.GOV OR VIA REGULAR MAIL AT

100 BUREAU DRIVE (MAIL STOP 8930) GAITHERSBURG, MD 20899-8930 

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Acknowledgements 

The authors, Ron Ross, Stu Katzke, Arnold Johnson, Marianne Swanson, and George Rogers, 

wish to thank their colleagues who reviewed drafts of this document and contributed to its 

development. A special note of thanks also goes to Peggy Himes and Elizabeth Lennon for their 

superb technical editing and administrative support, to Murugiah Souppaya and the NIST 

information security operations group for their review of the security controls and insightful 

recommendations, and to Gary Stoneburner and Annabelle Lee for their contributions to earlier 

versions of the document. The authors also gratefully acknowledge and appreciate the many

contributions from the public and private sectors whose thoughtful and constructive comments 

improved the quality and usefulness of this publication. 

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PAGE v 

FEDERAL INFORMATION SECURITY MANAGEMENT ACT

In accordance with the Federal Information Security Management Act of 2002, FIPS 200, Minimum 

Security Requirements for Federal Information and Information Systems, is a mandatory, nonwaiverable standard. To comply with the federal standard, agencies must first determine the security 

category of their information system in accordance with the provisions of FIPS 199, Standards for 

Security Categorization of Federal Information and Information Systems, and then apply the 

appropriate set of minimum (baseline) security controls in NIST Special Publication 800-53. Agencies 

have flexibility in applying the minimum security controls based on the tailoring guidance provided in

Special Publication 800-53. This allows agencies to adjust the security controls to more closely fit 

their mission requirements and operational environments. 

If a NIST Special Publication is referenced in the Supplemental Guidance for a particular security 

control in Special Publication 800-53, agencies are required to follow that guidance when developing, 

implementing, and assessing that control. NIST guidance documents are traditionally written with a 

degree of flexibility in mind so agencies can apply the basic concepts in the guidance while 

maintaining the needed flexibility for specific operational environments and unique conditions within

their organizations. This is consistent with OMB policy as articulated in the annual FISMA Reporting 

Guidance. 

The combination of FIPS 200 and NIST Special Publication 800-53 requires a foundational level of

security for all federal information and information systems (non national security-related) and

establishes a level of “security due diligence” for federal agencies and their support contractors. The 

agency's risk assessment should validate the minimum security control set and determine if any 

additional controls are needed to protect the agency's operations and assets including mission, 

functions, image, or reputation.

See http://csrc.nist.gov/sec-cert/ca-compliance.html for additional information on compliance. 
Special Publication 800-53, Revision 1 Recommended Security Controls for Federal Information Systems 

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Notes to Reviewers

With the imminent approval and publication of FIPS 200, Minimum Security Requirements for 

Federal Information and Information Systems, we begin the annual review and update cycle for NIST 

Special Publication 800-53. This annual review and update cycle is important to ensure that the 

security controls listed in the control catalog and the minimum security controls populating the control

baselines represent the current state-of-the-practice in safeguards and countermeasures for information 

systems. During the past year, we have received many insightful comments from our customers on 

the format, structure, and content of the Special Publication 800-53. The recommendations for 

modifications reflect: (i) customer experience gained from employing the security controls and 

security control baselines; (ii) changing security requirements within organizations; and (iii) new

technologies that are available and can impact information security. In addition to proposing 

necessary changes to Special Publication 800-53, it is also important to maintain a degree of stability 

within the publication as customers gain a better understanding of the requirements and begin to

employ the security controls and security control baselines within their organizational information

systems. We believe that the annual update and review cycle for Special Publication 800-53 strikes

the appropriate balance and achieves the objectives described above. 

NIST Special Publication 800-53, Revision 1, contains relatively minor changes in a few notable 

areas. First, there have been several additions to the security control catalog, reflecting new controls 

that will provide customers with greater choices in supplementing their security control baselines. 

Security controls have also been added to the catalog in an effort to harmonize Special Publication 

800-53 with ISO/IEC 17799 and ISO/IEC 27001. Second, there have been some minor adjustments to

the security control baselines to better align the minimum security control requirements with current

recommended security practices. Third, there have been some modest changes to the tailoring

guidance for security control baselines reflecting advancements in technology and providing an

additional category of considerations for security controls affected by federal laws, directives, 

policies, or regulations. And finally, there have been some minor modifications to the organization of 

the material in Special Publication 800-53 to more clearly convey important concepts to our 

customers. 

The relationship of NIST Special Publication 800-53 to FIPS 200 (i.e., specifying mandatory

minimum security requirements and controls) makes the annual review and update cycle critically

important to federal agencies and contractors providing support to those agencies. The proposed

modifications to the catalog of security controls and security control baselines will go through a 

rigorous, public review process to obtain government and private sector feedback and to build 

consensus for the changes. Comments will be accepted through March 31, 2006. Comments should 

be forwarded to the Computer Security Division, Information Technology Laboratory at NIST or 

submitted via email to sec-cert@nist.gov. General information about the FISMA Implementation

Project, including all of the FISMA-related security standards and guidelines, how the FISMA 

publications can be used to manage enterprise risk and build a comprehensive information security

program, and the organizational accreditation program under development as part of Phase II, can be 

found on the main web site at http://csrc.nist.gov/sec-cert. 

We have attempted to provide improvements in Special Publication 800-53, Revision 1, that will help

our customers effectively select and specify security controls for their information systems—and to do 

so, using a risk-based approach that facilitates cost-effective information security. Your feedback to

us, as always, is critical in the security standards and guidelines development process to ensure that

the work products produced by NIST are meeting the security needs of the federal government and the 

constituencies in the private sector who voluntarily use those products.

-- RON ROSS

 PROJECT LEADER, FISMA IMPLEMENTATION PROJECT

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Table of Contents 

CHAPTER ONE INTRODUCTION............................................................................................1

1.1 PURPOSE AND APPLICABILITY .................................................................................................. 2

1.2 TARGET AUDIENCE.................................................................................................................. 3

1.3 RELATIONSHIP TO OTHER SECURITY CONTROL PUBLICATIONS.................................................... 3

1.4 ORGANIZATIONAL RESPONSIBILITIES ........................................................................................ 4

1.5 ORGANIZATION OF THIS SPECIAL PUBLICATION.......................................................................... 5

CHAPTER TWO THE FUNDAMENTALS ...................................................................................6

2.1 SECURITY CONTROL ORGANIZATION AND STRUCTURE............................................................... 6

2.2 COMMON SECURITY CONTROLS ............................................................................................... 8

2.3 SECURITY CONTROL BASELINES............................................................................................... 9

2.4 SECURITY CONTROL ASSURANCE........................................................................................... 10

2.5 REVISIONS AND EXTENSIONS................................................................................................. 11

CHAPTER THREE THE PROCESS........................................................................................12

3.1 MANAGING ORGANIZATIONAL RISK ......................................................................................... 12

3.2 SECURITY CATEGORIZATION AND BASELINE SELECTION........................................................... 13

3.3 TAILORING THE INITIAL BASELINE ........................................................................................... 14

APPENDIX A REFERENCES................................................................................................18

APPENDIX B GLOSSARY ...................................................................................................22

APPENDIX C ACRONYMS...................................................................................................31

APPENDIX D MINIMUM SECURITY CONTROLS – SUMMARY...................................................32

APPENDIX E MINIMUM ASSURANCE REQUIREMENTS...........................................................39

APPENDIX F SECURITY CONTROL CATALOG .......................................................................41

APPENDIX G SECURITY CONTROL MAPPINGS ...................................................................108

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CHAPTER ONE

INTRODUCTION

THE NEED FOR SECURITY CONTROLS TO PROTECT INFORMATION SYSTEMS 

he selection and employment of appropriate security controls for an information system1 is 

an important task that can have major implications on the operations2

 and assets of an 

organization. Security controls are the management, operational, and technical safeguards 

or countermeasures prescribed for an information system to protect the confidentiality, integrity, 

and availability of the system and its information. There are several important questions that 

should be answered by organizational officials when addressing the security considerations for 

their information systems: 

T 

• What security controls are needed to adequately protect the information systems that support

the operations and assets of the organization in order to accomplish its assigned mission, 

protect its assets, fulfill its legal responsibilities, maintain its day-to-day functions, and 

protect individuals? 

• Have the selected security controls been implemented or is there a realistic plan for their 

implementation? 

• What is the desired or required level of assurance (i.e., grounds for confidence) that the 

selected security controls, as implemented, are effective

3 in their application? 

The answers to these questions are not given in isolation but rather in the context of an effective 

information security program for the organization that identifies, controls, and mitigates risks to 

its information and information systems.4

 The security controls defined in Special Publication 

800-53 and recommended for use by organizations in protecting their information systems should 

be employed in conjunction with and as part of a well-defined information security program. An 

effective information security program should include: 

• Periodic assessments of risk, including the magnitude of harm that could result from the 

unauthorized access, use, disclosure, disruption, modification, or destruction of information 

and information systems that support the operations and assets of the organization; 

• Policies and procedures that are based on risk assessments, cost-effectively reduce 

information security risks to an acceptable level, and ensure that information security is 

addressed throughout the life cycle of each organizational information system; 

• Subordinate plans for providing adequate information security for networks, facilities, 

information systems, or groups of information systems, as appropriate; 

 

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. 

2

 Organizational operations include mission, functions, image, and reputation.

3

 Security control effectiveness addresses the extent to which the controls are implemented correctly, operating as

intended, and producing the desired outcome with respect to meeting the security requirements for the system. 

4

 The E-Government Act (P.L. 107-347), passed by the one hundred and seventh Congress and signed into law by the 

President in December 2002, recognized the importance of information security to the economic and national security

interests of the United States. Title III of the E-Government Act, entitled the Federal Information Security

Management Act (FISMA), emphasizes the need for organizations to develop, document, and implement an

organization-wide program to provide information security for the information systems that support its operations and 

assets.

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• Security awareness training to inform personnel (including contractors and other users of 

information systems that support the operations and assets of the organization) of the 

information security risks associated with their activities and their responsibilities in 

complying with organizational policies and procedures designed to reduce these risks; 

• Periodic testing and evaluation of the effectiveness of information security policies, 

procedures, practices, and security controls to be performed with a frequency depending on 

risk, but no less than annually; 

• A process for planning, implementing, evaluating, and documenting remedial actions to 

address any deficiencies in the information security policies, procedures, and practices of the 

organization;

• Procedures for detecting, reporting, and responding to security incidents; and 

• Plans and procedures to ensure continuity of operations for information systems that support

the operations and assets of the organization. 

It is of paramount importance that responsible individuals within the organization understand the 

risks and other factors that could adversely affect their operations and assets. Moreover, these 

officials must understand the current status of their security programs and the security controls

planned or in place to protect their information systems in order to make informed judgments and 

investments that appropriately mitigate risks to an acceptable level. The ultimate objective is to 

conduct the day-to-day operations of the organization and to accomplish the organization’s stated 

mission(s) with what the Office of Management and Budget (OMB) Circular A-130 defines as 

adequate security, or security commensurate with risk, including the magnitude of harm resulting 

from the unauthorized access, use, disclosure, disruption, modification, or destruction of 

information. 

1.1 PURPOSE AND APPLICABILITY

The purpose of this publication is to provide guidelines for selecting and specifying security

controls for information systems supporting the executive agencies of the federal government. 

The guidelines apply to all components5

 of an information system that process, store, or transmit 

federal information. The guidelines have been developed to help achieve more secure 

information systems within the federal government by: 

• Facilitating a more consistent, comparable, and repeatable approach for selecting and 

specifying security controls for information systems; 

• Providing a recommendation for minimum security controls for information systems 

categorized in accordance with Federal Information Processing Standards (FIPS) 199,

Standards for Security Categorization of Federal Information and Information Systems;

• Promoting a dynamic, extensible catalog of security controls for information systems to meet

the demands of changing requirements and technologies; and 

• Creating a foundation for the development of assessment methods and procedures for 

determining security control effectiveness. 

 

5

 Information system components include, but are not limited to, mainframes, servers, workstations, network 

components, operating systems, middleware, and applications. Network components can include such devices as 

firewalls, switches, routers, gateways, wireless access points, and network appliances. Servers can include database

servers, authentication servers, electronic mail and web servers, proxy servers, domain name servers, and network time 

servers. Information system components are either purchased commercially off-the-shelf or are custom-developed.

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The guidelines provided in this special publication are applicable to all federal information 

systems6

 other than those systems designated as national security systems as defined in 44 U.S.C., 

Section 3542.7

 The guidelines have been broadly developed from a technical perspective to 

complement similar guidelines for national security systems. This publication is intended to 

provide guidance to federal agencies implementing FIPS 200, Minimum Security Requirements

for Federal Information and Information Systems. In addition to the agencies of the federal 

government, state, local, and tribal governments, and private sector organizations that compose 

the critical infrastructure of the United States, are encouraged to consider the use of these 

guidelines, as appropriate. 

1.2 TARGET AUDIENCE

This publication is intended to serve a diverse federal audience of information system and 

information security professionals including: (i) individuals with information system and 

information security management and oversight responsibilities (e.g., chief information officers, 

senior agency information security officers, and authorizing officials); (ii) individuals with 

information system development responsibilities (e.g., program and project managers); (iii) 

individuals with information security implementation and operational responsibilities (e.g., 

information system owners, information owners, information system security officers); and (iv) 

individuals with information system and information security assessment and monitoring 

responsibilities (e.g., auditors, inspectors general, evaluators, and certification agents). 

Commercial companies producing information technology products and systems, creating 

information security-related technologies, and providing information security services can also

benefit from the information in this publication. 

1.3 RELATIONSHIP TO OTHER SECURITY CONTROL PUBLICATIONS

To create the most technically sound and broadly applicable set of security controls for 

information systems, a variety of sources were considered during the development of this special 

publication. The sources included security controls from the defense, audit, financial, healthcare, 

and intelligence communities as well as controls defined by national and international standards 

organizations.8

 The objective of NIST Special Publication 800-53 is to provide a sufficiently rich 

set of security controls that satisfy the breadth and depth of security requirements9

 levied on 

information systems and that are consistent with and complementary to other established security 

standards. 

 

6 A federal information system is an information system used or operated by an executive agency, by a contractor of an 

executive agency, or by another organization on behalf of an executive agency.

7

 NIST Special Publication 800-59 provides guidance on identifying an information system as a national security

system.

8 Security controls from the audit, defense, healthcare, intelligence, and standards communities are contained in the

following publications: (i) Government Accountability Office, Federal Information System Controls Audit Manual; (ii)

Department of Defense Instruction 8500.2, Information Assurance Implementation; (iii) Department of Health and 

Human Services Centers for Medicare and Medicaid Services, Core Security Requirements; (iv) Director of Central 

Intelligence Directive 6/3 Manual, Protecting Sensitive Compartmented Information within Information Systems; (v) 

NIST Special Publication 800-26, Security Self-Assessment Guide for Information Technology Systems; and (vi) 

International Organization for Standardization/International Electrotechnical Commission 17799:2000, Code of 

Practice for Information Security Management. 

9

 Security requirements are those requirements levied on an information system that are derived from laws, Executive

orders, directives, policies, instructions, regulations, or organizational (mission) needs to ensure the confidentiality,

integrity, and availability of the information being processed, stored, or transmitted. 

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The catalog of security controls provided in Special Publication 800-53 can be effectively used to 

demonstrate compliance with a variety of governmental, organizational, or institutional security 

requirements. It is the responsibility of organizations to select the appropriate security controls,10

to implement the controls correctly, and to demonstrate the effectiveness of the controls in 

satisfying their stated security requirements. The security controls in the catalog facilitate the 

development of assessment methods and proceduresthat can be used to demonstrate control 

effectiveness in a consistent and repeatable manner—thus contributing to the organization’s 

confidence that there is ongoing compliance with its stated security requirements.11

1.4 ORGANIZATIONAL RESPONSIBILITIES

Organizations should use FIPS 199 to define security categories for their information systems. 

This publication associates recommended minimum security controls with FIPS 199 low-impact, 

moderate-impact, and high-impact security categories. The recommendations for minimum

security controls from Special Publication 800-53 can subsequently be used as a starting point for 

and input to the organization’s risk assessment process.12 The risk assessment process refines the 

initial set of minimum security controls with the resulting set of agreed-upon controls 

documented in the security plans for those information systems. While the FIPS 199 security 

categorization associates the operation of the information system with the potential impact on an 

organization’s operations and assets, the incorporation of refined threat and vulnerability

information during the risk assessment process facilitates the tailoring of the baseline security

controls to address organizational needs and tolerance for risk. Deviations from the 

recommended baseline security controls should be made in accordance with the scoping guidance 

provided in this special publication and documented with appropriate justification and supporting 

rationale in the security plan for the information system. The use of security controls from

Special Publication 800-53 and the incorporation of baseline (minimum) controls as a starting 

point in the control selection process, facilitates a more consistent level of security in an 

organizational information system. It also offers the needed flexibility to tailor the controls based 

on specific organizational policy and requirements documents, particular conditions and 

circumstances, known threat and vulnerability information, or tolerance for risk to the 

organization’s operations and assets. 

Building a more secure information system is a multifaceted undertaking that involves the use of: 

(i) well-defined system-level security requirements and security specifications; (ii) well-designed 

information technology component products; (iii) sound systems/security engineering principles 

and practices to effectively integrate component products into the information system; (iv) 

appropriate methods for product/system testing and evaluation; and (v) comprehensive system

security planning and life cycle management.13 From a systems engineering viewpoint, security is 

 

10 NIST Special Publication 800-53 is the primary source of recommended security controls for federal information 

systems, replacing the security controls described in NIST Special Publications 800-18 and 800-26.

11 NIST Special Publication 800-53A, Guide for Assessing the Security Controls in Federal Information Systems

(second public draft, spring 2006), provides guidance on assessment methods and procedures for security controls 

defined in this publication. Special Publication 800-53A can also be used to conduct self-assessments of information 

systems.

12 Risk assessments can be accomplished in a variety of ways depending on the specific needs of the organization. The 

assessment of risk is a process that should be incorporated into the system development life cycle, and the process 

should be reasonable for the organization concerned. NIST Special Publication 800-30, Risk Management Guide for 

Information Technology Systems, provides guidance on the assessment of risk. 

13 Successful life cycle management depends on having qualified personnel to oversee and manage the information 

systems within an organization. The skills and knowledge of organizational personnel with information systems (and 

information security) responsibilities should be carefully evaluated (e.g., through performance, certification, etc.). 

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just one of many required capabilities for an organizational information system—capabilities that 

must be funded by the organization throughout the life cycle of the system. Realistically

assessing the risks to an organization’s operations and assets by placing the information system

into operation or continuing its operation is of utmost importance. Addressing the information 

system security requirements must be accomplished with full consideration of the risk tolerance 

of the organization and the cost, schedule, and performance issues associated with the acquisition, 

deployment, and operation of the system. 

1.5 ORGANIZATION OF THIS SPECIAL PUBLICATION

The remainder of this special publication is organized as follows: 

• Chapter Two describes the fundamental concepts associated with security control selection 

and specification including: (i) the structural components of security controls and how the 

controls are organized into families; (ii) the use of common security controls in support of 

organization-wide information security programs; (iii) minimum security (baseline) controls; 

(iv) assurance in the effectiveness of security controls; and (v) the commitment to maintain 

currency of the individual security controls and the control baselines. 

• Chapter Three describes the process of selecting and specifying security controls for an 

information system including: (i) the organization’s overall approach to managing risk; (ii) 

the security categorization of the system and the selection of minimum (baseline) security

controls; (iii) the activities associated with tailoring the baseline security controls; and (iv) the 

potential for supplementing the initial security control baselines, as necessary.

• Supporting appendices provide more detailed security control selection and specificationrelated information including: (i) general references; (ii) definitions and terms; (iii) acronyms; 

(iv) minimum security controls for low-impact, moderate-impact, and high-impact 

information systems; (v) minimum assurance requirements; (vi) a master catalog of security

controls; and (vii) mapping tables relating the security controls in this publication to other 

standards and control sets. 

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CHAPTER TWO

THE FUNDAMENTALS

SECURITY CONTROL STRUCTURE, ORGANIZATION, BASELINES, AND ASSURANCE 

his chapter presents the fundamental concepts associated with security control selection 

and specification including: (i) the structure of security controls and the organization of the 

controls in the control catalog; (ii) the identification and use of common security controls; 

(iii) the application of minimum security controls, or control baselines, to information systems 

categorized in accordance with FIPS 199; (iv) security control assurance; and (v) future revisions 

to the security controls, the control catalog, and baseline controls.

T 

2.1 SECURITY CONTROL ORGANIZATION AND STRUCTURE

Security controls in the security control catalog (Appendix F) have a well-defined organization 

and structure. The security controls are organized into classes and families for ease of use in the 

control selection and specification process. There are three general classes of security controls: 

management, operational, and technical.14 Each family contains security controls related to the 

security function of the family. A two-character identifier is assigned to uniquely identify each 

control family. Table 1 summarizes the classes and families in the security control catalog and 

the associated family identifiers. 

CLASS FAMILY IDENTIFIER

Management Risk Assessment RA

Management Planning PL

Management System and Services Acquisition SA 

Management Certification, Accreditation, and Security Assessments CA 

Operational Personnel Security PS

Operational Physical and Environmental Protection PE 

Operational Contingency Planning CP

Operational Configuration Management CM

Operational Maintenance MA

Operational System and Information Integrity SI 

Operational Media Protection MP

Operational Incident Response IR

Operational Awareness and Training AT 

Technical Identification and Authentication IA 

Technical Access Control AC

Technical Audit and Accountability AU

Technical System and Communications Protection SC

TABLE 1: SECURITY CONTROL CLASSES, FAMILIES, AND IDENTIFIERS 

 

14 Security control families in NIST Special Publication 800-53 are associated with one of three security control classes 

(i.e., management, operational, technical). Families are assigned to their respective classes based on the dominant

characteristics of the controls in that family. Many security controls, however, can be logically associated with more

than one class. For example, CP-1, the policy and procedures control from the Contingency Planning family, is listed 

as an operational control but also has characteristics that are consistent with security management as well. 

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To uniquely identify each control, a numeric identifier is appended to the family identifier to 

indicate the number of the control within the control family. For example, CP-9 is the ninth 

control in the Contingency Planning family. 

The security control structure consists of three key components: (i) a control section; (ii) a 

supplemental guidance section; and (iii) a control enhancements section. The following example 

from the Contingency Planning family illustrates the structure of a typical security control. 

CP-9 INFORMATION SYSTEM BACKUP 

Control: The organization conducts [Assignment: organization-defined frequency] backups of userlevel and system-level information (including system state information) contained in the 

information system and stores backup information at an appropriately secured location.

Supplemental Guidance: The frequency of information system backups and the transfer rate of

backup information to alternate storage sites (if so designated) are consistent with the 

organization’s recovery time objectives and recovery point objectives. 

Control Enhancements: 

(1) The organization tests backup information [Assignment: organization-defined frequency] to ensure 

media reliability and information integrity.

(2) The organization selectively uses backup information in the restoration of information system

functions as part of contingency plan testing. 

(3) The organization stores backup copies of the operating system and other critical information

system software in a separate facility or in a fire-rated container that is not co-located with the 

operational software. 

(4) The organization encrypts backup information.

The control section provides a concise statement of the specific security capability needed to 

protect a particular aspect of an information system. The control statement describes specific 

security-related activities or actions to be carried out by the organization or by the information 

system. For some controls in the control catalog, a degree of flexibility is provided by allowing 

organizations to selectively define input values for certain parameters associated with the 

controls. This flexibility is achieved through the use of assignment and selection operations 

within the main body of the control. Assignment and selection operations provide an opportunity 

for an organization to tailor the security controls to support specific mission, business, or 

operational needs. For example, an organization can specify how often it intends to conduct 

information system backups or how frequently it intends to test its contingency plan. Once 

specified, the organization-defined value becomes part of the control, and the organization is 

assessed against the completed control statement. Some assignment operations may specify

minimum or maximum values that constrain the values that may be input by the organization. 

Selection statements also narrow the potential input values by providing a specific list of items 

from which the organization must choose.

The supplemental guidance section provides additional information related to a specific security

control. Organizations should consider supplemental guidance when defining, developing, and

implementing security controls. Applicable federal legislation, Executive, directives, policies, 

regulations, standards, and guidance documents (e.g., OMB Circulars, FIPS, and NIST Special 

Publications) are listed in the supplemental guidance section, when appropriate, for the particular 

security control. 

The control enhancements section provides statements of security capability to: (i) build in 

additional, but related, functionality to a basic control; and/or (ii) increase the strength of a basic 

control. In both cases, the control enhancements are used in an information system requiring 

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greater protection due to the potential impact of loss or when organizations seek additions to a 

basic control’s functionality based on the results of a risk assessment. Control enhancements are 

numbered sequentially within each control so that the enhancements can be easily identified when 

selected to supplement the basic control. In the example above, if two of the three control 

enhancements are selected, the control designation subsequently becomes CP-9 (1) (2).

2.2 COMMON SECURITY CONTROLS

An organization-wide view of an information security program facilitates the identification of 

common security controls that can be applied to one or more organizational information systems. 

Common security controls can apply to: (i) all organizational information systems; (ii) a group of 

information systems at a specific site; or (iii) common information systems, subsystems, or 

applications (i.e., common hardware, software, and/or firmware) deployed at multiple operational 

sites. Common security controls have the following properties: 

• The development, implementation, and assessment of common security controls can be assigned

to responsible organizational officials or organizational elements (other than the information 

system owners whose systems will implement or use the common security controls); and 

• The results from the assessment of the common security controls can be used to support the 

security certification and accreditation processes of organizational information systems where the 

controls have been applied.15

The identification of common security controls is most effectively accomplished as an 

organization-wide exercise with the involvement of the Chief Information Officer, senior agency

information security officer, authorizing officials, information system owners/program managers, 

and information system security officers. The organization-wide exercise considers the classes of 

information systems within the organization in accordance with FIPS 199 (i.e., low-impact, 

moderate-impact, or high-impact systems) and the minimum security controls necessary to 

protect those systems (See baseline security controls in Section 2.3). For example, common 

security controls can be identified for all low-impact information systems by considering the 

baseline security controls for that class of information system. Similar exercises can be 

conducted for moderate-impact and high-impact systems as well. 

Many of the security controls needed to protect an information system (e.g., contingency planning 

controls, incident response controls, security training and awareness controls, personnel security 

controls, physical and environmental protection controls, and intrusion detection controls) may be 

excellent candidates for common security control status. By centrally managing the development, 

implementation, and assessment of the common security controls designated by the organization, 

security costs can be amortized across multiple information systems. Security controls not 

designated as common controls are considered system-specific controls and are the responsibility 

of the information system owner. Security plans for individual information systems should 

clearly identify which security controls have been designated by the organization as common 

security controls and which controls have been designated as system-specific controls. 

Organizations may also assign a hybrid status to security controls in situations where one part of 

the control is deemed to be common, while another part of the control is deemed to be systemspecific. For example, an organization may view the IR-1 (Incident Response Policy and 

Procedures) security control as a hybrid control with the policy portion of the control deemed to 

 

15 NIST Special Publication 800-37 provides guidance on security certification and accreditation of information 

systems.

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be common and the procedures portion of the control deemed to be system-specific. Hybrid 

security controls may also serve as templates for further control refinement. An organization may

choose, for example, to implement the CP-2 (Contingency Planning) security control as a master

template for a generalized contingency plan for all organizational information systems with 

individual information system owners tailoring the plan, where appropriate, for system-specific 

issues. 

Information system owners are responsible for any system-specific issues associated with the 

implementation of an organization’s common security controls. These issues are identified and 

described in the system security plans for the individual information systems. The senior agency

information security officer, acting on behalf of the Chief Information Officer, should coordinate 

with organizational officials (e.g., facilities managers, site managers, personnel managers) 

responsible for the development and implementation of the designated common security controls 

to ensure that the required controls are put into place, the controls are assessed, and the 

assessment results are shared with the appropriate information system owners. 

Partitioning security controls into common security controls and system-specific security controls 

can result in significant savings to the organization in control development and implementation 

costs. It can also result in a more consistent application of the security controls across the 

organization at large. Moreover, equally significant savings can be realized in the security

certification and accreditation process. Rather than assessing common security controls in every

information system, the certification process draws upon any applicable results from the most 

current assessment of the common security controls performed at the organization level. An 

organization-wide approach to reuse and sharing of assessment results can greatly enhance the 

efficiency of the security certifications and accreditations being conducted by organizations and 

significantly reduce security program costs. 

While the concept of security control partitioning into common security controls and systemspecific controls is straightforward and intuitive, the application of this principle within an 

organization takes planning, coordination, and perseverance. If an organization is just beginning

to implement this approach or has only partially implemented this approach, it may take some

time to get the maximum benefits from security control partitioning and the associated reuse of 

assessment evidence. Because of the potential dependence on common security controls by many

of an organization’s information systems, a failure of such common controls may result in a 

significant increase in agency-level risk—risk that arises from the operation of the systems that 

depend on these controls.

2.3 SECURITY CONTROL BASELINES

Organizations must employ security controls to meet security requirements defined by laws, 

Executive orders, directives, policies, or regulations (e.g., Federal Information Security 

Management Act, OMB Circular A-130, Appendix III).16 The challenge for organizations is to 

determine the appropriate set of security controls, which if implemented and determined to be 

effective in their application, would comply with the stated security requirements. Selecting the 

appropriate set of security controls to meet the specific, and sometimes unique, security

requirements of an organization is an important task—a task that demonstrates the organization’s 

 

16 An information system may require security controls at different layers within the system. For example, an operating 

system or network component typically provides an identification and authentication capability. An application

running on that operating system or network may also provide its own identification and authentication capability

rendering an additional level of protection for the overall information system. The selection and specification of 

security controls should consider components at all layers within the information system. 

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commitment to security and the due diligence exercised in protecting the confidentiality, 

integrity, and availability of their information and information systems. 

To assist organizations in making the appropriate selection of security controls for their 

information systems, the concept of baseline controls is introduced. Baseline controls are the 

minimum security controls recommended for an information system based on the system’s

security categorization in accordance with FIPS 199.17 Security categories derived from FIPS 

199 are typically considered during the risk assessment process to help guide the initial selection 

of security controls for an information system.

18 The risk assessment process provides useful 

information and a procedural approach to examining the important factors that ultimately

determine which security controls are necessary to protect the organization’s operations and 

assets. The baseline controls associated with the FIPS 199 security categories serve as a starting 

point for organizations in determining the appropriate safeguards and countermeasures necessary

to protect their information systems. Because the baselines are intended to be broadly applicable 

starting points, modifications to the selected baseline may be necessary in order to achieve 

adequate risk mitigation. Such modifications are tied to the risk assessment and documented in

the security plan for the information system. 

Appendix D provides a listing of minimum security controls. Three sets of minimum security 

(baseline) controls have been identified corresponding to the low-impact, moderate-impact, and 

high-impact levels defined in the security categorization process in FIPS 199 and derived in 

Section 3.2 below. Each of the three baselines provides a minimum set of security controls (or 

floor) for a particular impact level associated with a security category. Appendix F provides the 

complete catalog of security controls for information systems, arranged by control families. The 

catalog represents the entire set of security controls defined at this time. Chapter 3 provides 

additional information on how to use security categories to select the appropriate set of baseline 

security controls. 

2.4 SECURITY CONTROL ASSURANCE

Assurance is the grounds for confidence that the security controls implemented within an 

information system are effective in their application. Assurance can be obtained in a variety of

ways including: (i) actions taken by developers and implementers of security controls to use stateof-the-practice design, development, and implementation techniques and methods; and (ii) actions 

taken by security control assessors during the testing and evaluation process to determine the 

extent to which the controls are implemented correctly, operating as intended, and producing the 

desired outcome with respect to meeting the security requirements for the system. Assurance 

considerations related to developers and implementers of security controls are addressed in this 

special publication. Assurance considerations related to assessors of security controls (including 

certification agents, evaluators, auditors, inspectors general) are addressed in NIST Special 

Publication 800-53A.19

 

17 FIPS 199 security categories are based on the potential impact on an organization should certain events occur which 

jeopardize the information and information systems needed by the organization to accomplish its assigned mission, 

protect its assets, fulfill its legal responsibilities, maintain its day-to-day functions, and protect individuals. 

18 Security categories are used in conjunction with vulnerability and threat information in assessing the risk to an 

organization by operating an information system. FIPS 199 defines three levels of potential impact on organizations or 

individuals should there be a breach of security (i.e., a loss of confidentiality, integrity, or availability). The application 

of these definitions takes place within the context of each organization and the overall national interest. 

19 NIST Special Publication 800-53A, Guide for Assessing the Security Controls in Federal Information Systems

(second public draft), is projected for publication in the spring 2006. 

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Appendix E describes the minimum assurance requirements for security controls listed in the low, 

moderate, and high baselines. For security controls in the low baseline, the emphasis is on the 

control being in place with the expectation that no obvious errors exist and that, as flaws are 

discovered, they are addressed in a timely manner. For security controls in the moderate baseline, 

the emphasis is on ensuring control correctness. While flaws are still likely to be uncovered (and 

addressed expeditiously), the control developer or control implementer incorporates, as part of the 

control, specific capabilities to ensure the control meets its function or purpose. For security

controls in the high baseline, the emphasis is on requiring within the control, the capabilities that 

are needed to support ongoing consistent operation of the control and to support continuous 

improvement in the control’s effectiveness. There are additional assurance requirements 

available to developers and implementers supplementing the minimum assurance requirements 

for the high baseline in order to protect against threats from highly skilled, highly motivated, and 

well-financed threat agents. This level of protection is required for those information systems 

where the organization is not willing to accept the risks associated with the type of threat agents 

cited above.

2.5 REVISIONS AND EXTENSIONS

The set of security controls listed in the control catalog represents the current state-of-the-practice 

safeguards and countermeasures for information systems. The security controls will be revised 

and extended to reflect: (i) the experience gained from using the controls; (ii) the changing 

security requirements within organizations; and (iii) new security technologies that may be 

available. The controls populating the various families are expected to change over time, as 

controls are eliminated or revised and new controls are added. The proposed additions, deletions, 

or modifications to the catalog of security controls will go through a rigorous, public review 

process to obtain government and private sector feedback and to build consensus for the changes. 

The minimum security controls defined in the low, moderate, and high baselines are also 

expected to change over time as well, as the level of security and due diligence for mitigating 

risks within organizations increases. A dynamic, flexible, and technically rigorous set of security 

controls will be maintained in the control catalog to allow organizations and communities of 

interest to continue to be able to select the appropriate controls for their respective needs in a 

cost-effective manner.

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CHAPTER THREE

THE PROCESS

SELECTION AND SPECIFICATION OF SECURITY CONTROLS 

his chapter describes the process of selecting and specifying security controls for an

information system including: (i) the organization’s overall approach to managing risk; (ii) 

the security categorization of the system in accordance with FIPS 199 and the selection of 

minimum (baseline) security controls; (iii) the activities associated with tailoring the baseline 

security controls through the application of scoping guidance20 and the assignment of 

organization-defined parameters; and (iv) the potential for supplementing the minimum security

controls with additional controls, as necessary, to achieve adequate security. 

T 

3.1 MANAGING ORGANIZATIONAL RISK

The selection and specification of security controls for an information system is accomplished as 

part of an organization-wide information security program that involves the management of 

organizational risk—that is, the risk associated with the operation of an information system. The 

management of organizational risk is a key element in the organization’s information security

program and provides an effective framework for selecting the appropriate security controls for 

an information system—the security controls necessary to protect the operations and assets of the 

organization. Managing organizational risk includes several important activities: (i) assessing 

risk; (ii) conducting cost-benefit analyses; (iii) selecting, implementing, and assessing security 

controls; and (iv) formally authorizing the information system for operation (also known as 

security accreditation). The risk-based approach to security control selection and specification 

considers effectiveness, efficiency, and constraints due to applicable laws, directives, Executive 

orders, policies, standards, or regulations. The following activities related to managing 

organizational risk are paramount to an effective information security program and can be applied 

to both new and legacy information systems within the context of the system development life 

cycle and the Federal Enterprise Architecture— 

• Categorize the information system and the information resident within that system based on a 

FIPS 199 impact analysis. 

• Select an initial set of security controls (i.e., baseline) for the information system as a starting 

point based on the FIPS 199 security categorization. 

• Adjust (or tailor) the initial set of security controls based on an assessment of risk and local 

conditions including organization-specific security requirements, specific threat information, 

cost-benefit analyses, the availability of compensating controls, or special circumstances.21

• Document the agreed-upon set of security controls in the system security plan including the 

organization’s justification for any refinements or adjustments to the initial set of controls.22

 

20 Scoping guidance provides organizations with specific considerations on the applicability and implementation of

individual security controls in the control baselines (see Section 3.3). 

21 NIST Special Publication 800-30, Risk Management Guide for Information Technology Systems, provides guidance 

on the assessment of risk.

22 NIST Special Publication 800-18, Revision 1, Guide for Developing Security Plans for Federal Information Systems, 

provides guidance on documenting information system security controls.

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• Implement the security controls in the information system. For legacy systems, some or all of 

the security controls selected may already be in place. 

• Assess the security controls using appropriate methods and procedures to determine the 

extent to which the controls are implemented correctly, operating as intended, and producing 

the desired outcome with respect to meeting the security requirements for the system.

23

• Determine the risk to organizational operations and assets resulting from the planned or 

continued operation of the information system. 

• Authorize information system processing (or for legacy systems, authorize continued system

processing) if the level of risk to the organization’s operations or assets is acceptable.24

• Monitor and assess selected security controls in the information system on a continuous basis 

including documenting changes to the system, conducting security impact analyses of the 

associated changes, and reporting the security status of the system to appropriate 

organizational officials on a regular basis. 

The remainder of this chapter focuses on the first three activities in managing organizational 

risk—the FIPS 199 security categorization, the initial selection of security controls based on the 

security categorization, and the tailoring of the initial controls based on the organization’s risk 

assessment. 

3.2 SECURITY CATEGORIZATION AND BASELINE SELECTION

FIPS 199, the mandatory federal security categorization standard, is predicated on a simple and 

well-established concept—determining appropriate priorities for organizational information 

systems and subsequently applying appropriate measures to adequately protect those systems. 

The security controls applied to a particular information system should be commensurate with the 

potential impact on organizational operations, organizational assets, or individuals should there 

be a breach in security due to the loss of confidentiality, integrity, or availability. FIPS 199 

requires organizations to categorize their information systems as low-impact, moderate-impact, or 

high-impact for the security objectives of confidentiality, integrity, and availability. The potential 

impact values assigned to the respective security objectives are the highest values (i.e., high water 

mark) from among the security categories that have been determined for each type of information 

resident on those information systems.25 The generalized format for expressing the security

category (SC) of an information system is: 

SC information system = {(confidentiality, impact), (integrity, impact), (availability, impact)},

where the acceptable values for potential impact are low, moderate, or high. 

Since the potential impact values for confidentiality, integrity, and availability may not always be 

the same for a particular information system, the high water mark concept is used to determine 

the impact level of the information system for the express purpose of selecting an initial set of 

 

23 NIST Special Publication 800-53A, Guide for Assessing the Security Controls in Federal Information Systems

(second public draft projected for publication in the spring 2006), provides guidance for determining the effectiveness 

of security controls. 

24 NIST Special Publication 800-37, Guide for the Security Certification and Accreditation of Federal Information

Systems, provides guidance on the security authorization of information systems. 

25 NIST Special Publication 800-60, Guide for Mapping Types of Information and Information Systems to Security 

Categories, provides guidance on the assignment of security categories to information systems.

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security controls from one of the three security control baselines.26 Thus, a low-impact system is

defined as an information system in which all three of the security objectives are low. A 

moderate-impact system is an information system in which at least one of the security objectives 

is moderate and no security objective is greater than moderate. And finally, a high-impact system

is an information system in which at least one security objective is high. Once the overall impact 

level of the information system is determined, an initial set of security controls can be selected 

from the corresponding low, moderate, or high baselines listed in Appendix D. 

3.3 TAILORING THE INITIAL BASELINE

Organizations have the flexibility to tailor the security control baselines in accordance with the 

terms and conditions set forth in this publication. Tailoring activities include: (i) the application 

of appropriate scoping guidance to the initial baseline; (ii) the specification of compensating 

security controls, if needed; (iii) the specification of additional security controls, when required; 

and (iv) the specification of organization-defined parameters in the security controls, where 

allowed. To ensure a cost-effective, risk-based approach to achieving adequate information 

security organization-wide, security control baseline tailoring activities should be coordinated 

with and approved by appropriate organizational officials (e.g., Chief Information Officers, senior 

agency information security officers, authorizing officials, or authorizing officials’ designated 

representatives). The resulting set of security controls is documented in the security plan for the 

information system.

27

Scoping Guidance

Scoping guidance provides organizations with specific terms and conditions on the applicability 

and implementation of individual security controls in the security control baselines. There are

several considerations, described below, that can potentially impact how the baseline security

controls are applied by the organization:

Policy/regulatory-related considerations—

• Security controls that address matters governed by federal laws, directives, policies, or 

regulations (e.g., privacy impact assessments) are required only if the employment of those 

controls is consistent with the types of information and information systems covered by the 

applicable laws, directives, policies, or regulations. 

Technology-related considerations— 

• Security controls that refer to specific technologies (e.g., wireless, cryptography, public key 

infrastructure) are applicable only if those technologies are employed or are required to be 

employed within the information system. 

 

26 The high water mark concept is employed because there are significant dependencies among the security objectives

of confidentiality, integrity, and availability. In most cases, a compromise in one security objective ultimately affects

the other security objectives as well. Accordingly, the security controls in the control catalog are not categorized by

security objective—rather, they are grouped into baselines to provide a general protection capability for classes of

information systems based on impact level. The application of scoping guidance may allow selective security control 

baseline adjustments or tailoring (See Section 3.3). 

27 It is important for organizations to document the decisions taken during the security control baseline tailoring 

process, providing a sound rationale and justification for those decisions whenever possible. This documentation is 

essential when examining the overall security considerations for information systems with respect to potential mission 

and/or business case impact. 

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• Security controls are applicable only to the components of the information system that 

provide or support the security capability addressed by the control.

28 For information system

components that are single-user, not networked, or only locally networked, one or more of 

these characteristics may provide appropriate rationale for not applying selected controls to 

that component. 

• Security controls that can be either explicitly or implicitly supported by automated 

mechanisms, do not require the development of such mechanisms if the mechanisms do not 

already exist or are not readily available in commercial or government off-the-shelf products. 

In situations where automated mechanisms are not readily available, cost-effective, or 

technically feasible, compensating security controls, implemented through non automated 

mechanisms or procedures, may be used to satisfy specified security controls or control 

enhancements (See terms and conditions for applying compensating controls below). 

Infrastructure-related considerations—

• Security controls that refer to organizational facilities (e.g., physical controls such as locks 

and guards, environmental controls for temperature, humidity, lighting, fire, and power) are 

applicable only to those sections of the facilities that directly provide protection to, support 

for, or are related to the information system (including its information technology assets such 

as electronic mail or web servers, server farms, data centers, networking nodes, controlled 

interface equipment, and communications equipment). 

Public access-related considerations— 

• Security controls associated with public access information systems should be carefully 

considered and applied with discretion since some security controls from the specified control

baselines (e.g., identification and authentication, personnel security controls) may not be 

applicable to users accessing information systems through public interfaces. For example, 

while the baseline controls require identification and authentication of agency personnel that 

maintain and support information systems providing the public access services, the same 

controls might not be required for users accessing those information systems through public 

interfaces to obtain publicly available information. On the other hand, identification and 

authentication would be required for users accessing information systems through public 

interfaces to access/change their private/personal information. 

Scalability-related considerations— 

• Security controls are scalable either by the size of the particular organization implementing 

the controls or the FIPS 199 security categorization of the information system being 

protected, or both. The following examples take both scalability factors into consideration. A 

contingency plan for a large organization with a FIPS 199 moderate-impact or high-impact 

information system may be quite lengthy and contain a significant amount of implementation 

detail. In contrast, a contingency plan for a smaller organization with a FIPS 199 low-impact 

information system may be considerably shorter and contain much less implementation 

 

28 For example, auditing controls would typically be applied to the components of an information system that provide

or should provide auditing capability (servers, etc.) and would not necessarily be applied to every user-level

workstation within the organization. Organizations should carefully assess the inventory of components that compose 

their information systems to determine which security controls are applicable to the various components. As 

technology advances, more powerful and diverse functionality can be found in such devices as personal digital 

assistants and cellular telephones, which may require the application of security controls in accordance with an 

organizational assessment of risk. 

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detail. Organizations should use discretion in scaling the security controls to the particular 

environment of use to ensure a cost-effective, risk-based approach to security control 

implementation. 

Common security control-related considerations— 

• Security controls designated by the organization as common controls are, in most cases, 

managed by an organizational entity other than the information system owner. 

Organizational decisions on which security controls are viewed as common controls may

greatly affect the responsibilities of individual information system owners with regard to the 

implementation of controls in a particular baseline. Decisions on common control 

designations should not, however, affect the organization’s responsibility to provide the 

security controls included in the baseline. Every control in a baseline must be fully addressed 

either by the organization or the information system owner.

Risk-related considerations— 

• Security controls that uniquely support the confidentiality, integrity, or availability security

objectives may be downgraded to the corresponding control in a lower baseline (or 

appropriately modified or eliminated if not defined in a lower baseline) if, and only if, the 

downgrading action: (i) is consistent with the FIPS 199 security categorization for the 

corresponding security objectives of confidentiality, integrity, or availability before moving 

to the high water mark;29 (ii) is supported by an organizational assessment of risk; and (iii) 

does not affect the security-relevant information within the information system.

30 The 

following security controls are recommended candidates for downgrading: (i) for 

confidentiality [AC-15, MA-3 (3), MP-3, MP-6, PE-5, SC-4, SC-9]; (ii) for integrity [SC-8]; and 

(iii) for availability [CP-2, CP-3, CP-4, CP-6, CP-7, CP-8, MA-6, PE-9, PE-10, PE-13, PE-15, SC6].31 

Compensating Security Controls 

With the diverse nature of today’s information systems, organizations may find it necessary, on 

occasion, to specify and employ compensating security controls. A compensating security

control is a management, operational, or technical control (i.e., safeguard or countermeasure) 

employed by an organization in lieu of a recommended control in the low, moderate, or high 

 

29 When applying the “high water mark” process in Section 3.2, some of the original FIPS 199 confidentiality, integrity,

or availability security objectives may have been upgraded to a higher baseline of security controls. As part of this 

process, security controls that uniquely support the confidentiality, integrity, or availability security objectives may

have been upgraded unnecessarily. Consequently, it is recommended that organizations consider appropriate and 

allowable downgrading actions to ensure cost-effective, risk-based application of security controls. 

30 Information that is security-relevant at the system level (e.g., password files, network routing tables, cryptographic 

key management information) is distinguished from user-level information within an information system. Certain 

security controls within an information system are used to support the security objectives of confidentiality and

integrity for both user-level and system-level information. Caution should be exercised in downgrading confidentiality

or integrity-related security controls to ensure that the downgrading action does not affect the security-relevant

information within the information system. 

31 Certain security controls that are uniquely attributable to confidentiality, integrity, or availability that would

ordinarily be considered as potential candidates for downgrading (e.g., AC-16, AU-10, CP-5, IA-7, MP-6, PE-12, PE-14, PL5, SC-5, SC-13, SC-14, SC-16) are eliminated from consideration because the controls are either selected for use in all

baselines and have no enhancements that could be downgraded, or the controls are optional and not selected for use in 

any baseline. Organizations should exercise extreme caution when considering downgrading actions on any security

controls that do not appear in the list in Section 3.3 to ensure that the downgrading action does not affect security

objectives other than the objectives targeted for downgrading. 

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baselines described in NIST Special Publication 800-53, which provides equivalent or 

comparable protection for an information system.

32 A compensating control for an information 

system may be employed by an organization only under the following conditions: (i) the 

organization selects the compensating control from the security control catalog in NIST Special 

Publication 800-53; (ii) the organization provides a complete and convincing rationale and 

justification for how the compensating control provides an equivalent security capability or level 

of protection for the information system; and (iii) the organization assesses and formally accepts 

the risk associated with employing the compensating control in the information system. The use 

of compensating security controls should be reviewed, documented in the system security plan, 

and approved by the authorizing official for the information system. 

Additional Security Controls and Control Enhancements 

The security control baselines listed in Appendix D should be viewed as foundations or starting 

points in the selection of adequate security controls for an information system. The baselines

represent, for particular classes of information systems (derived from FIPS 199 security

categorizations), the minimum level of due diligence demonstrated by an organization toward the 

protection of its operations and assets. As described in Section 3.1, the final determination of the 

appropriate set of security controls necessary to provide adequate security for an information 

system is a function of the organization’s assessment of risk. In many cases, additional or 

enhanced security controls will be needed to address specific threats to and vulnerabilities in an 

information system or to satisfy the requirements of applicable laws, directives, Executive orders, 

policies, standards, or regulations. Organizations are encouraged to make maximum use of the 

security control catalog to facilitate the process of enhancing security controls or adding controls 

to the current baselines. The techniques and methodologies used by organizations in 

supplementing the security control baselines are beyond the scope of this special publication. 

Organization-Defined Security Control Parameters 

Security controls containing organization-defined parameters (i.e., assignment and/or selection 

operations) give organizations the flexibility to define selected portions of the controls to support 

specific organizational requirements or objectives. After the application of the scoping guidance, 

organizations should review the list of security controls for assignment and selection operations 

and provide appropriate organization-defined values for the identified parameters. Where 

specified, minimum and maximum values for organization-defined parameters should be adhered 

to unless more restrictive values are prescribed by applicable laws, directives, Executive orders, 

policies, standards, or regulations or are indicated by the risk assessment in order to adequately 

mitigate risk. 

 

32 For example, an organization with significant staff limitations may have difficulty in meeting the separation of duty

security control but may employ compensating controls by strengthening the audit and accountability controls and 

personnel security controls within the information system. 

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APPENDIX A

REFERENCES

LAWS, DIRECTIVES, POLICIES, STANDARDS, AND GUIDELINES 

LEGISLATION

1. E-Government Act [includes FISMA] (P.L. 107-347), December 2002. 

2. Federal Information Security Management Act (P.L. 107-347, Title III), December 2002. 

3. Paperwork Reduction Act of 1995 (P.L. 104-13), May 1995. 

4. Privacy Act of 1974 (P.L. 93-579), September 1975. 

DIRECTIVES, POLICIES, AND INSTRUCTIONS

5. Office of Management and Budget, Circular A-130, Appendix III, Transmittal 

Memorandum #4, Management of Federal Information Resources, November 2000. 

6. Office of Management and Budget, Federal Enterprise Architecture Program Management 

Office, Business Reference Model (v2.0), June 2003. 

7. Office of Management and Budget Memorandum M-02-01, Guidance for Preparing and 

Submitting Security Plans of Action and Milestones, October 2001. 

8. Office of Management and Budget Memorandum M-05-15, FY 2005 Reporting 

Instructions for the Federal Information Security Management Act and Agency Privacy 

Management, June 2005. 

9. Office of Management and Budget Memorandum M-03-22, OMB Guidance for 

Implementing the Privacy Provisions of the E-Government Act of 2002, September 2003. 

10. Office of Management and Budget Memorandum M-04-04, E-Authentication Guidance for 

Federal Agencies, December 2003. 

11. Department of Defense Instruction 8500.2, Information Assurance Implementation, 

February 2003. 

12. Director of Central Intelligence Directive 6/3 Policy, Protecting Sensitive Compartmented 

Information within Information Systems, June 1999. 

STANDARDS

13. International Organization for Standardization/International Electrotechnical Commission 

27001, Information Security Management System Requirements, October 2005. 

14. International Organization for Standardization/International Electrotechnical Commission 

17799, Code of Practice for Information Security Management, June 2005. 

15. National Institute of Standards and Technology Federal Information Processing Standards 

Publication 140-2, Security Requirements for Cryptographic Modules, May 2001. 

16. National Institute of Standards and Technology Federal Information Processing Standards 

Publication 199, Standards for Security Categorization of Federal Information and 

Information Systems, February 2004. 

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17. National Institute of Standards and Technology Federal Information Processing Standards 

Publication 200, Minimum Security Requirements for Federal Information and Information 

Systems, February 2006. 

18. National Institute of Standards and Technology Federal Information Processing Standards 

Publication 201, Personal Identity Verification of Federal Employees and Contractors, 

February 2005. 

19. Committee for National Security Systems (CNSS) Instruction 4009, National Information 

Assurance Glossary, May 2003. 

20. National Security Telecommunications and Information Systems Security Instruction 

(NSTISSI) 7003, Protective Distribution Systems (PDS), December 1996. 

GUIDELINES

21. National Institute of Standards and Technology Special Publication 800-12, An 

Introduction to Computer Security: The NIST Handbook, October 1995. 

22. National Institute of Standards and Technology Special Publication 800-16, Information 

Technology Security Training Requirements: A Role- and Performance-Based Model, 

April 1998. 

23. National Institute of Standards and Technology Special Publication 800-18, Revision 1, 

Guide for Developing Security Plans for Federal Information Systems, February 2006. 

24. National Institute of Standards and Technology Special Publication 800-23, Guideline to 

Federal Organizations on Security Assurance and Acquisition/Use of Tested/Evaluated 

Products, August 2000. 

25. National Institute of Standards and Technology Special Publication 800-26, Security SelfAssessment Guide for Information Technology Systems, November 2001. 

26. National Institute of Standards and Technology Special Publication 800-26, Revision 1 

(Draft), Guide for Information Security Program Assessments and System Reporting Form, 

August 2005.

27. National Institute of Standards and Technology Special Publication 800-27, Engineering 

Principles for Information Technology Security (A Baseline for Achieving Security), 

Revision A, June 2004. 

28. National Institute of Standards and Technology Special Publication 800-28, Guidelines on 

Active Content and Mobile Code, October 2001. 

29. National Institute of Standards and Technology Special Publication 800-30, Risk 

Management Guide for Information Technology Systems, July 2002. 

30. National Institute of Standards and Technology Special Publication 800-32, Introduction to 

Public Key Technology and the Federal PKI Infrastructure, February 2001. 

31. National Institute of Standards and Technology Special Publication 800-34, Contingency 

Planning Guide for Information Technology Systems, June 2002. 

32. National Institute of Standards and Technology Special Publication 800-35, Guide to 

Information Technology Security Services, October 2003. 

33. National Institute of Standards and Technology Special Publication 800-36, Guide to 

Selecting Information Security Products, October 2003. 

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34. National Institute of Standards and Technology Special Publication 800-37, Guide for the 

Security Certification and Accreditation of Federal Information Systems, May 2004. 

35. National Institute of Standards and Technology Special Publication 800-40, Version 2.0, 

Creating a Patch and Vulnerability Management Program, November 2005. 

36. National Institute of Standards and Technology Special Publication 800-42, Guideline on 

Network Security Testing, October 2003. 

37. National Institute of Standards and Technology Special Publication 800-45, Guidelines on 

Electronic Mail Security, September 2002. 

38. National Institute of Standards and Technology Special Publication 800-46, Security for 

Telecommuting and Broadband Communications, August 2002. 

39. National Institute of Standards and Technology Special Publication 800-47, Security Guide 

for Interconnecting Information Technology Systems, August 2002.

40. National Institute of Standards and Technology Special Publication 800-48, Wireless 

Network Security: 802.11, Bluetooth, and Handheld Devices, November 2002. 

41. National Institute of Standards and Technology Special Publication 800-50, Building an 

Information Technology Security Awareness and Training Program, October 2003. 

42. National Institute of Standards and Technology Special Publication 800-52, Guidelines for 

the Selection and Use of Transport Layer Security (TLS) Implementations, June 2005. 

43. National Institute of Standards and Technology Special Publication 800-53A, Guide for 

Assessing the Security Controls in Federal Information Systems (second public draft, 

spring 2006).

44. National Institute of Standards and Technology Special Publication 800-56, 

Recommendation for Pair-Wise Key Establishment Schemes Using Discrete Logarithm 

Cryptography, (final public draft) July 2005. 

45. National Institute of Standards and Technology Special Publication 800-57, 

Recommendation on Key Management, Parts 1 and 2, August 2005. 

46. National Institute of Standards and Technology Special Publication 800-58, Security 

Considerations for Voice Over IP Systems, January 2005. 

47. National Institute of Standards and Technology Special Publication 800-59, Guideline for 

Identifying an Information System as a National Security System, August 2003.

48. National Institute of Standards and Technology Special Publication 800-60, Guide for 

Mapping Types of Information and Information Systems to Security Categories, June 2004. 

49. National Institute of Standards and Technology Special Publication 800-61, Computer 

Security Incident Handling Guide, January 2004. 

50. National Institute of Standards and Technology Special Publication 800-63, Version 1.0.1,

Electronic Authentication Guideline, September 2004. 

51. National Institute of Standards and Technology Special Publication 800-64, Revision 1, 

Security Considerations in the Information System Development Life Cycle, June 2004. 

52. National Institute of Standards and Technology Special Publication 800-65, Integrating 

Security into the Capital Planning and Investment Control Process, January 2005. 

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53. National Institute of Standards and Technology Special Publication 800-70, Security 

Configuration Checklists Program for IT Products: Guidance for Checklists Users and 

Developers, May 2005. 

54. National Institute of Standards and Technology Special Publication 800-73, Interfaces for 

Personal Identity Verification, April 2005. 

55. National Institute of Standards and Technology Special Publication 800-76, Biometric 

Data Specification for Personal Identity Verification, February 2006. 

56. National Institute of Standards and Technology Special Publication 800-77, Guide to IPsec 

VPNs, December 2005. 

57. National Institute of Standards and Technology Special Publication 800-78, Cryptographic 

Algorithms and Key Sizes for Personal Identity Verification, April 2005. 

58. National Institute of Standards and Technology Special Publication 800-79, Guidelines for 

the Certification and Accreditation of PIV Card Issuing Organizations, July 2005. 

59. National Institute of Standards and Technology Special Publication 800-81, Secure 

Domain Name System (DNS) Deployment Guide (Draft), August 2005. 

60. National Institute of Standards and Technology Special Publication 800-83, Guide to 

Malware Incident Prevention and Handling, November 2005. 

61. National Institute of Standards and Technology Special Publication 800-85, PIV 

Middleware and PIV Card Application Conformance Test Guidelines, October 2005. 

62. National Institute of Standards and Technology Special Publication 800-88, Guidelines for 

Media Sanitization (Draft), February 2006. 

MISCELLANEOUS PUBLICATIONS

63. Department of Health and Human Services Centers for Medicare and Medicaid Services 

(CMS), Core Set of Security Requirements, February 2004. 

64. Director of Central Intelligence Directive 6/3 Manual, Protecting Sensitive Compartmented 

Information within Information Systems, May 2000. 

65. Government Accountability Office Federal Information System Controls Audit Manual,

GAO/AIMD-12.19.6, January 1999. 

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APPENDIX B

GLOSSARY

COMMON TERMS AND DEFINITIONS 

Appendix B provides definitions for security terminology used within Special Publication 800-53. 

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. 

Accreditation 

[NIST SP 800-37]

The official management decision given by a senior agency

official to authorize operation of an information system and to 

explicitly accept the risk to agency operations (including mission, 

functions, image, or reputation), agency assets, or individuals, 

based on the implementation of an agreed-upon set of security

controls. 

Accreditation Boundary

[NIST SP 800-37]

All components of an information system to be accredited by an

authorizing official and excludes separately accredited systems, to 

which the information system is connected. Synonymous with the

term security perimeter defined in CNSS Instruction 4009 and

DCID 6/3. 

Accrediting Authority See Authorizing Official. 

Adequate Security 

[OMB Circular A-130,

Appendix III]

Security commensurate with the risk and the magnitude of harm

resulting from the loss, misuse, or unauthorized access to or 

modification of information. 

Agency See Executive Agency. 

Authentication Verifying the identity of a user, process, or device, often as a 

prerequisite to allowing access to resources in an information 

system. 

Authenticity The property of being genuine and being able to be verified and 

trusted; confidence in the validity of a transmission, a message, or 

message originator. See authentication. 

Authorize Processing See Accreditation. 

Authorizing Official 

[NIST SP 800-37]

Official with the authority to formally assume responsibility for

operating an information system at an acceptable level of risk to 

agency operations (including mission, functions, image, or 

reputation), agency assets, or individuals. 

Availability

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

Ensuring timely and reliable access to and use of information. 

Boundary Protection Monitoring and control of communications at the external 

boundary of an information system to prevent and detect 

malicious and other unauthorized communications, through the 

use of controlled interfaces (e.g., proxies, gateways, routers, 

firewalls, encrypted tunnels). 

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Certification 

[NIST SP 800-37]

A comprehensive assessment of the management, operational, 

and technical security controls in an information system, made in 

support of security accreditation, to determine the extent to which 

the controls are implemented correctly, operating as intended, and 

producing the desired outcome with respect to meeting the 

security requirements for the system. 

Certification Agent 

[NIST SP 800-37]

The individual, group, or organization responsible for conducting 

a security certification. 

Certification Practice 

Statement 

A statement of the practices that a Certification Authority 

employs in issuing, suspending, revoking and renewing 

certificates and providing access to them, in accordance with 

specific requirements (i.e., requirements specified in a certificate 

policy, or requirements specified in a contract for services). 

Chief Information Officer

[44 U.S.C., Sec. 5125(b)]

Agency official responsible for: 

(i) Providing advice and other assistance to the head of the 

executive agency and other senior management personnel of the 

agency to ensure that information technology is acquired and 

information resources are managed in a manner that is consistent 

with laws, Executive orders, directives, policies, regulations, and 

priorities established by the head of the agency; 

(ii) Developing, maintaining, and facilitating the implementation 

of a sound and integrated information technology architecture for 

the agency; and 

(iii) Promoting the effective and efficient design and operation of 

all major information resources management processes for the 

agency, including improvements to work processes of the agency.

Common Security Control

[NIST SP 800-37]

Security control that can be applied to one or more agency

information systems and has the following properties: (i) the 

development, implementation, and assessment of the control can 

be assigned to a responsible official or organizational element 

(other than the information system owner); and (ii) the results 

from the assessment of the control can be used to support the 

security certification and accreditation processes of an agency

information system where that control has been applied. 

Compensating Security

Controls 

The management, operational, and technical controls (i.e., 

safeguards or countermeasures) employed by an organization in 

lieu of the recommended controls in the low, moderate, or high

baselines described in NIST Special Publication 800-53, that 

provide equivalent or comparable protection for an information 

system.

Confidentiality

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

Preserving authorized restrictions on information access and 

disclosure, including means for protecting personal privacy and

proprietary information. 

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Configuration Control 

[CNSS Inst. 4009]

Process for controlling modifications to hardware, firmware, 

software, and documentation to ensure the information system is 

protected against improper modifications before, during, and after 

system implementation. 

Countermeasures 

[CNSS Inst. 4009]

Actions, devices, procedures, techniques, or other measures that 

reduce the vulnerability of an information system. Synonymous 

with security controls and safeguards. 

Controlled Interface 

[CNSS Inst. 4009]

Mechanism that facilitates the adjudication of different 

interconnected system security policies (e.g., controlling the flow 

of information into or out of an interconnected system). 

Executive Agency

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

An executive department specified in 5 U.S.C., Sec. 101; a 

military department specified in 5 U.S.C., Sec. 102; an

independent establishment as defined in 5 U.S.C., Sec. 104(1); 

and a wholly owned Government corporation fully subject to the 

provisions of 31 U.S.C., Chapter 91. 

Federal Enterprise 

Architecture 

[FEA Program Management

Office]

A business-based framework for government-wide improvement 

developed by the Office of Management and Budget that is 

intended to facilitate efforts to transform the federal government 

to one that is citizen-centered, results-oriented, and market-based. 

Federal Information 

System

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

An information system used or operated by an executive agency, 

by a contractor of an executive agency, or by another 

organization on behalf of an executive agency. 

General Support System

[OMB Circular A-130,

Appendix III]

An interconnected set of information resources under the same

direct management control that shares common functionality. It 

normally includes hardware, software, information, data, 

applications, communications, and people. 

Guard (System) 

[CNSS Inst. 4009, Adapted]

A mechanism limiting the exchange of information between 

information systems or subsystems. 

High-Impact System An information system in which at least one security objective 

(i.e., confidentiality, integrity, or availability) is assigned a FIPS 

199 potential impact value of high. 

Information Owner 

[CNSS Inst. 4009]

Official with statutory or operational authority for specified 

information and responsibility for establishing the controls for its 

generation, collection, processing, dissemination, and disposal. 

Information Resources 

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

Information and related resources, such as personnel, equipment, 

funds, and information technology. 

Information Security

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

The protection of information and information systems from

unauthorized access, use, disclosure, disruption, modification, or 

destruction in order to provide confidentiality, integrity, and 

availability. 

Information Security

Policy

[CNSS Inst. 4009]

Aggregate of directives, regulations, rules, and practices that 

prescribes how an organization manages, protects, and distributes 

information. 

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Information System

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

[OMB Circular A-130,

Appendix III]

A discrete set of information resources organized for the 

collection, processing, maintenance, use, sharing, dissemination, 

or disposition of information. 

Information System Owner

(or Program Manager) 

[CNSS Inst. 4009, Adapted]

Official responsible for the overall procurement, development, 

integration, modification, or operation and maintenance of an 

information system. 

Information System

Security Officer 

[CNSS Inst. 4009, Adapted]

Individual assigned responsibility by the senior agency 

information security officer, authorizing official, management 

official, or information system owner for ensuring the appropriate 

operational security posture is maintained for an information 

system or program. 

Information Technology

[40 U.S.C., Sec. 1401]

Any equipment or interconnected system or subsystem of 

equipment 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 the 

preceding sentence, equipment is used by an executive agency if 

the equipment is used by the executive agency directly or is used 

by a contractor under a contract with the executive agency which:

(i) requires the use of such equipment; or (ii) requires the use, to a 

significant extent, of such equipment in the performance of a 

service or the furnishing of a product. The term information 

technology includes computers, ancillary equipment, software, 

firmware, and similar procedures, services (including support 

services), and related resources. 

Information Type 

[FIPS 199] 

A specific category of information (e.g., privacy, medical, 

proprietary, financial, investigative, contractor sensitive, security

management) defined by an organization or in some instances, by

a specific law, Executive order, directive, policy, or regulation. 

Integrity

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

Guarding against improper information modification or 

destruction, and includes ensuring information non-repudiation 

and authenticity. 

Label See Security Label.

Low-Impact System An information system in which all three security objectives (i.e., 

confidentiality, integrity, and availability) are assigned a FIPS 

199 potential impact value of low. 

Major Application 

[OMB Circular A-130,

Appendix III]

An application that requires special attention to security due to 

the risk and magnitude of harm resulting from the loss, misuse, or 

unauthorized access to or modification of the information in the 

application. Note: All federal applications require some level of 

protection. Certain applications, because of the information in 

them, however, require special management oversight and should

be treated as major. Adequate security for other applications 

should be provided by security of the systems in which they

operate. 

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Major Information System 

[OMB Circular A-130]

An information system that requires special management 

attention because of its importance to an agency mission; its high 

development, operating, or maintenance costs; or its significant 

role in the administration of agency programs, finances, property,

or other resources. 

Malicious Code 

[CNSS Inst. 4009]

[NIST SP 800-61]

Software or firmware intended to perform an unauthorized 

process that will have adverse impact on the confidentiality,

integrity, or availability of an information system. A virus, 

worm, Trojan horse, or other code-based entity that infects a host. 

Management Controls 

[NIST SP 800-18, Rev 1]

The security controls (i.e., safeguards or countermeasures) for an 

information system that focus on the management of risk and the 

management of information system security. 

Media Access Control 

Address 

A hardware address that uniquely identifies each component of an 

IEEE 802-based network. On networks that do not conform to 

the IEEE 802 standards but do conform to the OSI Reference 

Model, the node address is called the Data Link Control (DLC) 

address. 

Mobile Code Software programs or parts of programs obtained from remote 

information systems, transmitted across a network, and executed 

on a local information system without explicit installation or 

execution by the recipient. 

Mobile Code Technologies Software technologies that provide the mechanisms for the 

production and use of mobile code (e.g., Java, JavaScript, 

ActiveX, VBScript). 

Moderate-Impact System An information system in which at least one security objective 

(i.e., confidentiality, integrity, or availability) is assigned a FIPS 

199 potential impact value of moderate and no security objective 

is assigned a FIPS 199 potential impact value of high. 

National Security

Emergency Preparedness 

Telecommunications 

Services 

[47 C.F.R., Part 64, App A]

Telecommunications services that are used to maintain a state of 

readiness or to respond to and manage any event or crisis (local, 

national, or international) that causes or could cause injury or 

harm to the population, damage to or loss of property, or degrade 

or threaten the national security or emergency preparedness 

posture of the United States. 

National Security

Information 

Information that has been determined pursuant to Executive 

Order 12958 as amended by Executive Order 13292, or any

predecessor order, or by the Atomic Energy Act of 1954, as 

amended, to require protection against unauthorized disclosure 

and is marked to indicate its classified status. 

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National Security System

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

Any information system (including any telecommunications 

system) used or operated by an agency or by a contractor of an 

agency, or other organization on behalf of an agency— (i) the 

function, operation, or use of which involves intelligence 

activities; involves cryptologic activities related to national 

security; involves command and control of military forces; 

involves equipment that is an integral part of a weapon or 

weapons system; or is critical to the direct fulfillment of military

or intelligence missions (excluding a system that is to be used for 

routine administrative and business applications, for example, 

payroll, finance, logistics, and personnel management 

applications); or (ii) is protected at all times by procedures 

established for information that have been specifically authorized 

under criteria established by an Executive order or an Act of 

Congress to be kept classified in the interest of national defense 

or foreign policy.

Non-repudiation 

[CNSS Inst. 4009]

Assurance that the sender of information is provided with proof 

of delivery and the recipient is provided with proof of the 

sender’s identity, so neither can later deny having processed the 

information. 

Operational Controls 

[NIST SP 800-18, Rev 1]

The security controls (i.e., safeguards or countermeasures) for an 

information system that primarily are implemented and executed 

by people (as opposed to systems). 

Plan of Action and 

Milestones 

[OMB Memorandum 02-01]

A document that identifies tasks needing to be accomplished. It 

details resources required to accomplish the elements of the plan, 

any milestones in meeting the tasks, and scheduled completion 

dates for the milestones. 

Potential Impact 

[FIPS 199] 

The loss of confidentiality, integrity, or availability could be 

expected to have: (i) a limited adverse effect (FIPS 199 low); (ii) 

a serious adverse effect (FIPS 199 moderate); or (iii) a severe or 

catastrophic adverse effect (FIPS 199 high) on organizational 

operations, organizational assets, or individuals. 

Privacy Impact 

Assessment 

[OMB Memorandum 03-22]

An analysis of how information is handled: (i) to ensure handling 

conforms to applicable legal, regulatory, and policy requirements 

regarding privacy; (ii) to determine the risks and effects of 

collecting, maintaining, and disseminating information in 

identifiable form in an electronic information system; and (iii) to 

examine and evaluate protections and alternative processes for 

handling information to mitigate potential privacy risks. 

Protective Distribution 

System

Wire line or fiber optic system that includes adequate safeguards 

and/or countermeasures (e.g., acoustic, electric, electromagnetic, 

and physical) to permit its use for the transmission of unencrypted

information. 

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Records The recordings of evidence of activities performed or results 

achieved (e.g., forms, reports, test results), which serve as a basis 

for verifying that the organization and the information system are 

performing as intended. Also used to refer to units of related data 

fields (i.e., groups of data fields that can be accessed by a 

program and that contain the complete set of information on

particular items). 

Remote Access Access by users (or information systems) communicating external 

to an information system security perimeter. 

Remote Maintenance Maintenance activities conducted by individuals communicating 

external to an information system security perimeter.

Risk 

[NIST SP 800-30]

The level of impact on agency operations (including mission, 

functions, image, or reputation), agency assets, or individuals 

resulting from the operation of an information system given the 

potential impact of a threat and the likelihood of that threat 

occurring. 

Risk Assessment 

[NIST SP 800-30]

The process of identifying risks to agency operations (including 

mission, functions, image, or reputation), agency assets, or 

individuals by determining the probability of occurrence, the 

resulting impact, and additional security controls that would 

mitigate this impact. Part of risk management, synonymous with 

risk analysis, and incorporates threat and vulnerability analyses. 

Risk Management 

[NIST SP 800-30]

The process of managing risks to agency operations (including 

mission, functions, image, or reputation), agency assets, or 

individuals resulting from the operation of an information system. 

It includes risk assessment; cost-benefit analysis; the selection, 

implementation, and assessment of security controls; and the 

formal authorization to operate the system. The process considers 

effectiveness, efficiency, and constraints due to laws, directives, 

policies, or regulations. 

Safeguards 

[CNSS Inst. 4009, Adapted]

Protective measures prescribed to meet the security requirements 

(i.e., confidentiality, integrity, and availability) specified for an 

information system. Safeguards may include security features, 

management constraints, personnel security, and security of 

physical structures, areas, and devices. Synonymous with security

controls and countermeasures. 

Sanitization 

[CNSS Inst. 4009, Adapted]

Process to remove information from media such that information 

recovery is not possible. It includes removing all labels, 

markings, and activity logs. 

Scoping Guidance Provides organizations with specific technology-related, 

infrastructure-related, public access-related, scalability-related, 

common security control-related, and risk-related considerations 

on the applicability and implementation of individual security

controls in the control baseline. 

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Security Category

[FIPS 199] 

The characterization of information or an information system

based on an assessment of the potential impact that a loss of 

confidentiality, integrity, or availability of such information or 

information system would have on organizational operations, 

organizational assets, or individuals. 

Security Controls 

[FIPS 199] 

The management, operational, and technical controls (i.e., 

safeguards or countermeasures) prescribed for an information 

system to protect the confidentiality, integrity, and availability of 

the system and its information. 

Security Control Baseline The set of minimum security controls defined for a low-impact, 

moderate-impact, or high-impact information system. 

Security Control 

Enhancements 

Statements of security capability to: (i) build in additional, but 

related, functionality to a basic control; and/or (ii) increase the 

strength of a basic control. 

Security Impact Analysis 

[NIST SP 800-37]

The analysis conducted by an agency official, often during the 

continuous monitoring phase of the security certification and 

accreditation process, to determine the extent to which changes to 

the information system have affected the security posture of the 

system. 

Security Label Explicit or implicit marking of a data structure or output media 

associated with an information system representing the FIPS 199 

security category, or distribution limitations or handling caveats 

of the information contained therein. 

Security Objective Confidentiality, integrity, or availability. 

Security Perimeter See Accreditation Boundary. 

Security Plan See System Security Plan. 

Security Requirements Requirements levied on an information system that are derived 

from laws, Executive orders, directives, policies, instructions, 

regulations, or organizational (mission) needs to ensure the 

confidentiality, integrity, and availability of the information being 

processed, stored, or transmitted. 

Senior Agency 

Information Security 

Officer 

[44 U.S.C., Sec. 3544]

Official responsible for carrying out the Chief Information 

Officer responsibilities under FISMA and serving as the Chief 

Information Officer’s primary liaison to the agency’s authorizing 

officials, information system owners, and information system

security officers. 

Spyware Software that is secretly or surreptitiously installed into an 

information system to gather information on individuals or 

organizations without their knowledge; a type of malicious code. 

Subsystem A major subdivision or component of an information system

consisting of information, information technology, and personnel 

that performs one or more specific functions. 

System See Information System. 

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System-specific Security

Control 

[NIST SP 800-37]

A security control for an information system that has not been 

designated as a common security control. 

System Security Plan 

[NIST SP 800-18, Rev 1]

Formal document that provides an overview of the security 

requirements for the information system and describes the 

security controls in place or planned for meeting those 

requirements. 

Technical Controls 

[NIST SP 800-18, Rev 1]

The security controls (i.e., safeguards or countermeasures) for an 

information system that are primarily implemented and executed 

by the information system through mechanisms contained in the 

hardware, software, or firmware components of the system. 

Threat 

[CNSS Inst. 4009, Adapted]

Any circumstance or event with the potential to adversely impact 

agency operations (including mission, functions, image, or 

reputation), agency assets, or individuals through an information 

system via unauthorized access, destruction, disclosure, 

modification of information, and/or denial of service. 

Threat Agent/Source 

[NIST SP 800-30]

Either: (i) intent and method targeted at the intentional 

exploitation of a vulnerability; or (ii) a situation and method that 

may accidentally trigger a vulnerability.

Threat Assessment 

[CNSS Inst. 4009]

Formal description and evaluation of threat to an information 

system. 

Trusted Path A mechanism by which a user (through an input device) can 

communicate directly with the security functions of the 

information system with the necessary confidence to support the 

system security policy. This mechanism can only be activated by

the user or the security functions of the information system and 

cannot be imitated by untrusted software. 

User 

[CNSS Inst. 4009]

Individual or (system) process authorized to access an

information system. 

Vulnerability 

[CNSS Inst. 4009, Adapted]

Weakness in an information system, system security procedures, 

internal controls, or implementation that could be exploited or 

triggered by a threat source. 

Vulnerability Assessment 

[CNSS Inst. 4009]

Formal description and evaluation of the vulnerabilities in an 

information system. 

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APPENDIX C

ACRONYMS

COMMON ABBREVIATIONS 

CFR Code of Federal Regulations 

CIO Chief Information Officer

CNSS Committee for National Security Systems 

COTS Commercial Off-The-Shelf

DCID Director of Central Intelligence Directive 

FEA Federal Enterprise Architecture 

FIPS Federal Information Processing Standard(s) 

FISMA Federal Information Security Management Act 

GOTS Government Off-The-Shelf

IEEE Institute of Electrical and Electronics Engineers 

IPsec Internet Protocol Security

IPv6 Internet Protocol Version 6 

MAC Media Access Control 

MOA Memorandum of Agreement 

MOU Memorandum of Understanding 

NIST National Institute of Standards and Technology 

NSA National Security Agency

OMB Office of Management and Budget 

PIV Personal Identity Verification 

PKI Public Key Infrastructure 

TCP/IP Transmission Control Protocol/Internet Protocol 

TLS Transport Layer Security

TSP Telecommunications Service Priority

USC United States Code 

VPN Virtual Private Network 

VoIP Voice over Internet Protocol 

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APPENDIX D

MINIMUM SECURITY CONTROLS – SUMMARY

LOW-IMPACT, MODERATE-IMPACT, AND HIGH-IMPACT INFORMATION SYSTEMS 

he following table lists the minimum security controls, or security control baselines, for 

low-impact, moderate-impact, and high-impact information systems. If a security control 

is selected for one of the baselines, the family identifier and control number are listed in 

the appropriate column. If a control is not used in a particular baseline, the entry is marked “not 

selected.” Control enhancements, when used to supplement basic security controls, are indicated 

by the number of the control enhancement. For example, an “IR-2 (1)” in the high baseline entry 

for the IR-2 security control indicates that the second control from the Incident Response family

has been selected along with control enhancement (1). Some security controls and control 

enhancements in the security control catalog are not used in any of the baselines but are available 

for optional use by organizations when indicated based on the results of a risk assessment. A 

complete description of security controls, supplemental guidance for the controls, and control

enhancements is provided in Appendix F. A detailed listing of security controls and control 

enhancements for each control baseline is available at: http://csrc.nist.gov/sec-cert. 

T 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

Access Control

AC-1 Access Control Policy and Procedures AC-1 AC-1 AC-1 

AC-2 Account Management AC-2 AC-2 (1) (2) (3) AC-2 (1) (2) (3) 

(4) 

AC-3 Access Enforcement AC-3 AC-3 (1) AC-3 (1) 

AC-4 Information Flow Enforcement Not Selected AC-4 AC-4 

AC-5 Separation of Duties Not Selected AC-5 AC-5 

AC-6 Least Privilege Not Selected AC-6 AC-6 

AC-7 Unsuccessful Login Attempts AC-7 AC-7 AC-7

AC-8 System Use Notification AC-8 AC-8 AC-8 

AC-9 Previous Logon Notification Not Selected Not Selected Not Selected 

AC-10 Concurrent Session Control Not Selected Not Selected AC-10 

AC-11 Session Lock Not Selected AC-11 AC-11 

AC-12 Session Termination Not Selected AC-12 AC-12 

AC-13 Supervision and Review—Access Control AC-13 AC-13 AC-13 (1) 

AC-14 Permitted Actions without Identification or

Authentication 

AC-14 AC-14 (1) AC-14 (1) 

AC-15 Automated Marking Not Selected Not Selected AC-15 

AC-16 Automated Labeling Not Selected Not Selected Not Selected 

AC-17 Remote Access AC-17 AC-17 (1) (2) 

(3) 

AC-17 (1) (2) 

(3) 

AC-18 Wireless Access Restrictions AC-18 AC-18 (1) AC-18 (1) 

AC-19 Access Control for Portable and Mobile Systems Not Selected AC-19 (1) AC-19 (1) 

AC-20 Personally Owned Information Systems AC-20 AC-20 AC-20

Awareness and Training

AT-1 Security Awareness and Training Policy and

Procedures 

AT-1 AT-1 AT-1 

AT-2 Security Awareness AT-2 AT-2 AT-2 

AT-3 Security Training AT-3 AT-3 AT-3 

AT-4 Security Training Records AT-4 AT-4 AT-4 

AT-5 Contacts with Security Groups and Associations Not Selected Not Selected Not Selected 

Audit and Accountability

AU-1 Audit and Accountability Policy and Procedures AU-1 AU-1 AU-1 

AU-2 Auditable Events AU-2 AU-2 AU-2 

AU-3 Content of Audit Records AU-3 AU-3 (1) AU-3 (1) (2) 

AU-4 Audit Storage Capacity AU-4 AU-4 AU-4 

AU-5 Audit Processing AU-5 AU-5 AU-5 (1) 

AU-6 Audit Monitoring, Analysis, and Reporting Not Selected AU-6 AU-6 (1) 

AU-7 Audit Reduction and Report Generation Not Selected AU-7 AU-7 (1) 

AU-8 Time Stamps Not Selected AU-8 AU-8 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

AU-9 Protection of Audit Information AU-9 AU-9 AU-9

AU-10 Non-repudiation Not Selected Not Selected Not Selected 

AU-11 Audit Retention AU-11 AU-11 AU-11

Certification, Accreditation, and Security Assessments 

CA-1 Certification, Accreditation, and Security

Assessment Policies and Procedures 

CA-1 CA-1 CA-1 

CA-2 Security Assessments Not Selected CA-2 CA-2 

CA-3 Information System Connections CA-3 CA-3 CA-3 

CA-4 Security Certification CA-4 CA-4 (1) CA-4 (1) 

CA-5 Plan of Action and Milestones CA-5 CA-5 CA-5 

CA-6 Security Accreditation CA-6 CA-6 CA-6

CA-7 Continuous Monitoring CA-7 CA-7 CA-7 

Configuration Management

CM-1 Configuration Management Policy and Procedures CM-1 CM-1 CM-1 

CM-2 Baseline Configuration and System Component 

Inventory

CM-2 CM-2 (1) CM-2 (1) (2) 

CM-3 Configuration Change Control Not Selected CM-3 CM-3 (1) 

CM-4 Monitoring Configuration Changes Not Selected CM-4 CM-4 

CM-5 Access Restrictions for Change Not Selected CM-5 CM-5 (1) 

CM-6 Configuration Settings CM-6 CM-6 CM-6 (1) 

CM-7 Least Functionality Not Selected CM-7 CM-7 (1) 

Contingency Planning 

CP-1 Contingency Planning Policy and Procedures CP-1 CP-1 CP-1 

CP-2 Contingency Plan CP-2 CP-2 (1) CP-2 (1) 

CP-3 Contingency Training Not Selected CP-3 CP-3 (1) 

CP-4 Contingency Plan Testing Not Selected CP-4 (1) CP-4 (1) (2) 

CP-5 Contingency Plan Update CP-5 CP-5 CP-5 

CP-6 Alternate Storage Sites Not Selected CP-6 (1) CP-6 (1) (2) (3) 

CP-7 Alternate Processing Sites Not Selected CP-7 (1) (2) (3) CP-7 (1) (2) (3) 

(4) 

CP-8 Telecommunications Services Not Selected CP-8 (1) (2) CP-8 (1) (2) (3) 

(4) 

CP-9 Information System Backup CP-9 CP-9 (1) CP-9 (1) (2) (3) 

CP-10 Information System Recovery and Reconstitution CP-10 CP-10 CP-10 (1) 

Identification and Authentication

IA-1 Identification and Authentication Policy and

Procedures 

IA-1 IA-1 IA-1 

IA-2 User Identification and Authentication IA-2 IA-2 IA-2 (1) 

IA-3 Device Identification and Authentication Not Selected IA-3 IA-3 

IA-4 Identifier Management IA-4 IA-4 IA-4 

IA-5 Authenticator Management IA-5 IA-5 IA-5 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

IA-6 Authenticator Feedback IA-6 IA-6 IA-6 

IA-7 Cryptographic Module Authentication IA-7 IA-7 IA-7 

Incident Response 

IR-1 Incident Response Policy and Procedures IR-1 IR-1 IR-1 

IR-2 Incident Response Training Not Selected IR-2 IR-2 (1) 

IR-3 Incident Response Testing Not Selected IR-3 IR-3 (1) 

IR-4 Incident Handling IR-4 IR-4 (1) IR-4 (1) 

IR-5 Incident Monitoring Not Selected IR-5 IR-5 (1) 

IR-6 Incident Reporting IR-6 IR-6 (1) IR-6 (1) 

IR-7 Incident Response Assistance IR-7 IR-7 (1) IR-7 (1) 

Maintenance 

MA-1 System Maintenance Policy and Procedures MA-1 MA-1 MA-1 

MA-2 Periodic Maintenance MA-2 MA-2 (1) MA-2 (1) (2) 

MA-3 Maintenance Tools Not Selected MA-3 MA-3 (1) (2) (3) 

MA-4 Remote Maintenance MA-4 MA-4 MA-4 (1) (2) (3) 

MA-5 Maintenance Personnel MA-5 MA-5 MA-5 

MA-6 Timely Maintenance Not Selected MA-6 MA-6 

Media Protection 

MP-1 Media Protection Policy and Procedures MP-1 MP-1 MP-1 

MP-2 Media Access MP-2 MP-2 MP-2 (1) 

MP-3 Media Labeling Not Selected MP-3 MP-3 

MP-4 Media Storage Not Selected MP-4 MP-4 

MP-5 Media Transport Not Selected MP-5 MP-5 

MP-6 Media Sanitization and Disposal MP-6 MP-6 MP-6

Physical and Environmental Protection 

PE-1 Physical and Environmental Protection Policy and 

Procedures 

PE-1 PE-1 PE-1 

PE-2 Physical Access Authorizations PE-2 PE-2 PE-2 

PE-3 Physical Access Control PE-3 PE-3 PE-3 

PE-4 Access Control for Transmission Medium Not Selected Not Selected PE-4 

PE-5 Access Control for Display Medium Not Selected PE-5 PE-5 

PE-6 Monitoring Physical Access PE-6 PE-6 (1) PE-6 (1) (2) 

PE-7 Visitor Control PE-7 PE-7 (1) PE-7 (1) 

PE-8 Access Logs PE-8 PE-8 PE-8 (1)

PE-9 Power Equipment and Power Cabling Not Selected PE-9 PE-9 

PE-10 Emergency Shutoff Not Selected PE-10 PE-10 

PE-11 Emergency Power Not Selected PE-11 PE-11 (1) 

PE-12 Emergency Lighting PE-12 PE-12 PE-12

PE-13 Fire Protection PE-13 PE-13 (1) PE-13 (1) (2) 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

PE-14 Temperature and Humidity Controls PE-14 PE-14 PE-14 

PE-15 Water Damage Protection PE-15 PE-15 PE-15 (1) 

PE-16 Delivery and Removal PE-16 PE-16 PE-16 

PE-17 Alternate Work Site Not Selected PE-17 PE-17 

PE-18 Location of Information System Components Not Selected PE-18 PE-18 

PE-19 Information Leakage Not Selected Not Selected Not Selected 

Planning

PL-1 Security Planning Policy and Procedures PL-1 PL-1 PL-1 

PL-2 System Security Plan PL-2 PL-2 PL-2 

PL-3 System Security Plan Update PL-3 PL-3 PL-3 

PL-4 Rules of Behavior PL-4 PL-4 PL-4 

PL-5 Privacy Impact Assessment PL-5 PL-5 PL-5 

PL-6 Security-Related Activity Planning Not Selected PL-6 PL-6 

Personnel Security

PS-1 Personnel Security Policy and Procedures PS-1 PS-1 PS-1 

PS-2 Position Categorization PS-2 PS-2 PS-2 

PS-3 Personnel Screening PS-3 PS-3 PS-3 

PS-4 Personnel Termination PS-4 PS-4 PS-4 

PS-5 Personnel Transfer PS-5 PS-5 PS-5 

PS-6 Access Agreements PS-6 PS-6 PS-6 

PS-7 Third-Party Personnel Security PS-7 PS-7 PS-7 

PS-8 Personnel Sanctions PS-8 PS-8 PS-8 

Risk Assessment 

RA-1 Risk Assessment Policy and Procedures RA-1 RA-1 RA-1 

RA-2 Security Categorization RA-2 RA-2 RA-2 

RA-3 Risk Assessment RA-3 RA-3 RA-3 

RA-4 Risk Assessment Update RA-4 RA-4 RA-4 

RA-5 Vulnerability Scanning Not Selected RA-5 RA-5 (1) (2) 

System and Services Acquisition

SA-1 System and Services Acquisition Policy and 

Procedures 

SA-1 SA-1 SA-1 

SA-2 Allocation of Resources SA-2 SA-2 SA-2 

SA-3 Life Cycle Support SA-3 SA-3 SA-3 

SA-4 Acquisitions SA-4 SA-4 SA-4 

SA-5 Information System Documentation SA-5 SA-5 (1) SA-5 (1) (2) 

SA-6 Software Usage Restrictions SA-6 SA-6 SA-6 

SA-7 User Installed Software SA-7 SA-7 SA-7

SA-8 Security Design Principles Not Selected SA-8 SA-8 

SA-9 Outsourced Information System Services SA-9 SA-9 SA-9 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

SA-10 Developer Configuration Management Not Selected Not Selected SA-10 

SA-11 Developer Security Testing Not Selected SA-11 SA-11 

System and Communications Protection 

SC-1 System and Communications Protection Policy

and Procedures 

SC-1 SC-1 SC-1 

SC-2 Application Partitioning Not Selected SC-2 SC-2 

SC-3 Security Function Isolation Not Selected Not selected SC-3

SC-4 Information Remnants Not Selected SC-4 SC-4 

SC-5 Denial of Service Protection SC-5 SC-5 SC-5 

SC-6 Resource Priority Not Selected Not Selected Not Selected 

SC-7 Boundary Protection SC-7 SC-7 (1) SC-7 (1) 

SC-8 Transmission Integrity Not Selected SC-8 SC-8 (1) 

SC-9 Transmission Confidentiality Not Selected SC-9 SC-9 (1) 

SC-10 Network Disconnect Not Selected SC-10 SC-10 

SC-11 Trusted Path Not Selected Not Selected Not Selected 

SC-12 Cryptographic Key Establishment and Mgmt. Not Selected SC-12 SC-12 

SC-13 Use of Validated Cryptography SC-13 SC-13 SC-13 

SC-14 Public Access Protections SC-14 SC-14 SC-14 

SC-15 Collaborative Computing Not Selected SC-15 SC-15 

SC-16 Transmission of Security Parameters Not Selected Not Selected Not Selected 

SC-17 Public Key Infrastructure Certificates Not Selected SC-17 SC-17 

SC-18 Mobile Code Not Selected SC-18 SC-18 

SC-19 Voice Over Internet Protocol Not Selected SC-19 SC-19 

SC-20 Secure Name Lookup Service (Authoritative 

Source) 

Not Selected SC-20 SC-20 

SC-21 Secure Name Lookup Service (Resolution) Not Selected Not Selected SC-21 

System and Information Integrity

SI-1 System and Information Integrity Policy and

Procedures 

SI-1 SI-1 SI-1 

SI-2 Flaw Remediation SI-2 SI-2 SI-2 

SI-3 Malicious Code Protection SI-3 SI-3 (1) SI-3 (1) (2) 

SI-4 Information System Monitoring Tools and

Techniques

Not Selected SI-4 SI-4 

SI-5 Security Alerts and Advisories SI-5 SI-5 SI-5 

SI-6 Security Functionality Verification Not Selected Not Selected SI-6 

SI-7 Software and Information Integrity Not Selected Not Selected SI-7 

SI-8 Spam Protection Not Selected SI-8 SI-8 (1) 

SI-9 Information Input Restrictions Not Selected SI-9 SI-9 

SI-10 Information Accuracy, Completeness, Validity,

and Authenticity 

Not Selected SI-10 SI-10 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

SI-11 Error Handling Not Selected SI-11 SI-11 

SI-12 Information Output Handling and Retention Not Selected SI-12 SI-12 

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APPENDIX E

MINIMUM ASSURANCE REQUIREMENTS

LOW, MODERATE, AND HIGH BASELINE APPLICATIONS 

he minimum assurance requirements for security controls described in the security control 

catalog are listed below. The assurance requirements are directed at the activities and 

actions that security control developers and implementers33 define and apply to increase 

the level of confidence that the controls are implemented correctly, operating as intended, and 

producing the desired outcome with respect to meeting the security requirements for the 

information system. The assurance requirements are applied on a control-by-control basis. The 

requirements are grouped by security control baseline (i.e., low, moderate, and high) since the 

requirements apply to each control within the respective baseline. Using a format similar to 

security controls, assurance requirements are followed by supplemental guidance that provides 

additional detail and explanation of how the requirements are to be applied. Bolded text indicates 

requirements that appear for the first time in a particular baseline.

T 

Low Baseline 

Assurance Requirement: The security control is in effect and meets explicitly identified functional 

requirements in the control statement. 

Supplemental Guidance: For security controls in the low baseline, the focus is on the control being in place 

with the expectation that no obvious errors exist and that, as flaws are discovered, they are addressed in a 

timely manner.

Moderate Baseline 

Assurance Requirement: The security control is in effect and meets explicitly identified functional 

requirements in the control statement. The control developer/implementer provides a description of the 

functional properties of the control with sufficient detail to permit analysis and testing of the control. 

The control developer/implementer includes as an integral part of the control, assigned 

responsibilities and specific actions to ensure that when the control is implemented, it will meet its 

required function or purpose. These actions include, for example, requiring the development of 

records with structure and content suitable to facilitate making this determination. 

Supplemental Guidance: For security controls in the moderate baseline, the focus is on ensuring correct 

implementation and operation of the control. While flaws are still likely to be uncovered (and addressed

expeditiously), the control developer/implementer incorporates, as part of the control, specific capabilities 

and produces specific documentation to ensure the control meets its required function or purpose.

High Baseline 

Assurance Requirement: The security control is in effect and meets explicitly identified functional 

requirements in the control statement. The control developer/implementer provides a description of the 

functional properties and design/implementation of the control with sufficient detail to permit analysis

and testing of the control (including functional interfaces among control components). The control

developer/implementer includes as an integral part of the control, assigned responsibilities and specific 

actions to ensure that when the control is implemented, it will continuously and consistently (i.e., across 

 

33 In this context, a developer/implementer is an individual or group of individuals responsible for the development or 

implementation of security controls for an information system. This may include, for example, hardware and software 

vendors providing the controls, contractors implementing the controls, or organizational personnel such as information 

system owners, information system security officers, system and network administrators, or other individuals with 

security responsibility for the information system. 

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the information system) meet its required function or purpose and support improvement in the

effectiveness of the control. These actions include, for example, requiring the development of records 

with structure and content suitable to facilitate making this determination.

Supplemental Guidance: For security controls in the high baseline, the focus is expanded to require, within

the control, the capabilities that are needed to support ongoing consistent operation of the control and

continuous improvement in the control’s effectiveness. The developer/implementer is expected to expend 

significant effort on the design, development, implementation, and component/integration testing of the 

controls and to produce associated design and implementation documentation to support these activities. 

For security controls in the high baseline, this same documentation is needed by assessors to analyze and

test the internal components of the control as part of the overall assessment of the control.

Additional Requirements Enhancing the Moderate and High Baselines 

Assurance Requirement: The security control is in effect and meets explicitly identified functional 

requirements in the control statement. The control developer/implementer provides a description of the 

functional properties and design/implementation of the control with sufficient detail to permit analysis and 

testing of the control. The control developer/implementer includes as an integral part of the control, actions

to ensure that when the control is implemented, it will continuously and consistently (i.e., across the 

information system) meet its required function or purpose and support improvement in the effectiveness of 

the control. These actions include requiring the development of records with structure and content suitable 

to facilitate making this determination. The control is developed in a manner that supports a high

degree of confidence that the control is complete, consistent, and correct. 

Supplemental Guidance: The additional high assurance requirements are intended to supplement the 

minimum assurance requirements for the moderate and high baselines, when appropriate, in order to protect 

against threats from highly skilled, highly motivated, and well-financed threat agents. This level of

protection is required for those information systems where the organization is not willing to accept the risks 

associated with the type of threat agents cited above.

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APPENDIX F

SECURITY CONTROL CATALOG

SECURITY CONTROLS, SUPPLEMENTAL GUIDANCE, AND CONTROL ENHANCEMENTS 

he following catalog of security controls provides a range of safeguards and 

countermeasures for information systems. The security controls are organized into

families for ease of use in the control selection and specification process. Each family

contains security controls related to the security function of the family. A standardized, twocharacter identifier is assigned to uniquely identify each control family. To uniquely identify 

each control, a numeric identifier is appended to the family identifier to indicate the number of 

the control with the control family. 

T 

The security control structure consists of three key components: (i) a control section; (ii) a 

supplemental guidance section; and (iii) a control enhancements section. The control section 

provides a concise statement of the specific security capability needed to protect a particular 

aspect of an information system. The control statement describes specific security-related 

activities or actions to be carried out by the organization or by the information system. For some 

controls in the control catalog, a degree of flexibility is provided by allowing organizations to 

selectively define input values for certain parameters associated with the controls. This flexibility

is achieved through the use of assignment and selection operations within the control. 

The supplemental guidance section provides additional information related to a specific security

control. Organizations should consider supplemental guidance when defining, developing, and

implementing security controls. Applicable federal legislation, Executive orders, directives, 

policies, regulations, standards, and guidance documents (e.g., OMB Circulars, FIPS, and NIST 

Special Publications) are listed in the supplemental guidance section, when appropriate, for the 

particular security control. In certain instances, the supplemental guidance provides important 

considerations (and the needed flexibility) for implementing security controls in the context of an 

organization’s operational environment, specific mission requirements, or assessment of risk. 

The control enhancements section provides statements of security capability to: (i) build in 

additional, but related, functionality to a basic control; and/or (ii) increase the strength of a basic 

control. In both cases, the control enhancements are used in an information system requiring 

greater protection due to the potential impact of loss or when organizations seek additions to a 

basic control’s functionality based on the results of a risk assessment. Control enhancements are 

numbered sequentially within each control so the enhancements can be easily identified when 

selected to supplement the basic control. 

Note: The security controls described in this catalog should be employed in federal information systems in 

accordance with the risk management guidance provided in Chapter 3. This guidance includes the selection

of minimum (baseline) security controls based upon the FIPS 199 security categorization of the information 

system and the tailoring of the minimum (baseline) security controls by; (i) applying appropriate scoping

guidance; (ii) specifying compensating controls, if needed; (iii) specifying additional security controls when 

required; and (iv) inserting organization-defined security control parameters, where allowed. With regard to 

cryptography employed in federal information systems, organizations must comply with current federal policy

and meet the requirements of FIPS 140-2, Security Requirements for Cryptographic Modules. The FIPS 140-

2 standard also acknowledges the use of cryptography approved by the National Security Agency as an 

appropriate alternative for organizations. Consult FIPS 140-2 for specific guidance. 

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FAMILY: ACCESS CONTROL CLASS: TECHNICAL 

AC-1 ACCESS CONTROL POLICY AND PROCEDURES 

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, access control policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the access control policy and 

associated access controls. 

Supplemental Guidance: The access control policy and procedures are consistent with applicable 

federal laws, directives, policies, regulations, standards, and guidance. The access control policy 

can be included as part of the general information security policy for the organization. Access 

control procedures can be developed for the security program in general, and for a particular 

information system, when required. NIST Special Publication 800-12 provides guidance on

security policies and procedures. 

Control Enhancements: None. 

LOW AC-1 MOD AC-1 HIGH AC-1

AC-2 ACCOUNT MANAGEMENT

Control: The organization manages information system accounts, including establishing, activating,

modifying, reviewing, disabling, and removing accounts. The organization reviews information 

system accounts [Assignment: organization-defined frequency].

Supplemental Guidance: Account management includes the identification of account types (i.e., 

individual, group, and system), establishment of conditions for group membership, and assignment

of associated authorizations. The organization identifies authorized users of the information

system and specifies access rights/privileges. The organization grants access to the information 

system based on: (i) a valid need-to-know that is determined by assigned official duties and 

satisfying all personnel security criteria; and (ii) intended system usage. The organization requires 

proper identification for requests to establish information system accounts and approves all such

requests. The organization specifically authorizes and monitors the use of guest/anonymous

accounts and removes, disables, or otherwise secures unnecessary accounts. The organization 

ensures that account managers are notified when information system users are terminated or 

transferred and associated accounts are removed, disabled, or otherwise secured. Account 

managers are also notified when users’ information system usage or need-to-know changes. 

Control Enhancements: 

(1) The organization employs automated mechanisms to support the management of information 

system accounts. 

(2) The information system automatically terminates temporary and emergency accounts after 

[Assignment: organization-defined time period for each type of account]. 

(3) The information system automatically disables inactive accounts after [Assignment: organizationdefined time period]. 

(4) The organization employs automated mechanisms to ensure that account creation, modification, 

disabling, and termination actions are audited and, as required, appropriate individuals are 

notified. 

LOW AC-2 MOD AC-2 (1) (2) (3) HIGH AC-2 (1) (2) (3) (4)

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AC-3 ACCESS ENFORCEMENT 

Control: The information system enforces assigned authorizations for controlling access to the

system in accordance with applicable policy. 

Supplemental Guidance: Access control policies (e.g., identity-based policies, role-based policies, 

ruled-based policies) and associated access enforcement mechanisms (e.g., access control lists, 

access control matrices, cryptography) are employed by organizations to control access between 

users (or processes acting on behalf of users) and objects (e.g., devices, files, records, processes, 

programs, domains) in the information system. In addition to controlling access at the information 

system level, access enforcement mechanisms are employed at the application level, when 

necessary, to provide increased information security for the organization. If encryption of stored

information is employed as an access enforcement mechanism, the cryptography used is FIPS 

140-2 compliant. If the federal Personal Identity Verification (PIV) credential is used as an

identification token where token-based access control is employed, the access control system

conforms to the requirements of FIPS 201 and NIST Special Publication 800-73 and employs 

either cryptographic verification or biometric verification. If the token-based access control 

employs cryptographic verification, the access control system conforms to the requirements of

NIST Special Publication 800-78. If the token-based access control employs biometric 

verification, the access control system conforms to the requirements of NIST Special Publication 

800-76. 

Control Enhancements: 

(1) The information system ensures that access to security functions (deployed in hardware, software, 

and firmware) and information is restricted to authorized personnel (e.g., security administrators). 

LOW AC-3 MOD AC-3 (1) HIGH AC-3 (1)

AC-4 INFORMATION FLOW ENFORCEMENT 

Control: The information system enforces assigned authorizations for controlling the flow of

information within the system and between interconnected systems in accordance with applicable

policy. 

Supplemental Guidance: Information flow control policies and enforcement mechanisms are 

employed by organizations to control the flow of information between designated sources and 

destinations (e.g., individuals, devices) within information systems and between interconnected

systems based on the characteristics of the information. Simple examples of flow control

enforcement can be found in firewall and router devices that employ rule sets or establish 

configuration settings that restrict information system services or provide a packet filtering

capability. Flow control enforcement can also be found in information systems that use explicit 

labels on information, source, and destination objects as the basis for flow control decisions (e.g.,

to control the release of certain types of information).

Control Enhancements: None. 

LOW Not Selected MOD AC-4 HIGH AC-4

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AC-5 SEPARATION OF DUTIES 

Control: The information system enforces separation of duties through assigned access

authorizations. 

Supplemental Guidance: The organization establishes appropriate divisions of responsibility and

separates duties as needed to eliminate conflicts of interest in the responsibilities and duties of

individuals. There is access control software on the information system that prevents users from

having all of the necessary authority or information access to perform fraudulent activity without 

collusion. Examples of separation of duties include: (i) mission functions and distinct information 

system support functions are divided among different individuals/roles; (ii) different individuals 

perform information system support functions (e.g., system management, systems programming, 

quality assurance/testing, configuration management, and network security); and (iii) security 

personnel who administer access control functions do not administer audit functions. 

Control Enhancements: None. 

LOW Not Selected MOD AC-5 HIGH AC-5

AC-6 LEAST PRIVILEGE 

Control: The information system enforces the most restrictive set of rights/privileges or accesses 

needed by users (or processes acting on behalf of users) for the performance of specified tasks. 

Supplemental Guidance: The organization employs the concept of least privilege for specific duties 

and information systems (including specific ports, protocols, and services) in accordance with risk 

assessments as necessary to adequately mitigate risk to organizational operations, organizational 

assets, and individuals. 

Control Enhancements: None. 

LOW Not Selected MOD AC-6 HIGH AC-6

AC-7 UNSUCCESSFUL LOGIN ATTEMPTS 

Control: The information system enforces a limit of [Assignment: organization-defined number] 

consecutive invalid access attempts by a user during a [Assignment: organization-defined time 

period] time period. The information system automatically [Selection: locks the account/node for

an [Assignment: organization-defined time period], delays next login prompt according to

[Assignment: organization-defined delay algorithm.]] when the maximum number of unsuccessful 

attempts is exceeded. 

Supplemental Guidance: Due to the potential for denial of service, automatic lockouts initiated by

the information system are usually temporary and automatically release after a predetermined time 

period established by the organization.

Control Enhancements: 

(1) The information system automatically locks the account/node until released by an administrator 

when the maximum number of unsuccessful attempts is exceeded. 

LOW AC-7 MOD AC-7 HIGH AC-7

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AC-8 SYSTEM USE NOTIFICATION 

Control: The information system displays an approved, system use notification message before 

granting system access informing potential users: (i) that the user is accessing a U.S. Government 

information system; (ii) that system usage may be monitored, recorded, and subject to audit; (iii) 

that unauthorized use of the system is prohibited and subject to criminal and civil penalties; and

(iv) that use of the system indicates consent to monitoring and recording. The system use 

notification message provides appropriate privacy and security notices (based on associated 

privacy and security policies or summaries) and remains on the screen until the user takes explicit 

actions to log on to the information system. 

Supplemental Guidance: Privacy and security policies are consistent with applicable federal laws, 

directives, policies, regulations, standards, and guidance. System use notification messages can be

implemented in the form of warning banners displayed when individuals log in to the information 

system. For publicly accessible systems: (i) the system use information is available as opposed to 

displaying the information before granting access; (ii) there are no references to monitoring, 

recording, or auditing since privacy accommodations for such systems generally prohibit those 

activities; and (iii) the notice given to public users of the information system includes a description 

of the authorized uses of the system. 

Control Enhancements: None. 

LOW AC-8 MOD AC-8 HIGH AC-8

AC-9 PREVIOUS LOGON NOTIFICATION

Control: The information system notifies the user, upon successful logon, of the date and time of 

the last logon, and the number of unsuccessful logon attempts since the last successful logon. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

AC-10 CONCURRENT SESSION CONTROL 

Control: The information system limits the number of concurrent sessions for any user to

[Assignment: organization-defined number of sessions].

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH AC-10

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AC-11 SESSION LOCK 

Control: The information system prevents further access to the system by initiating a session lock 

that remains in effect until the user reestablishes access using appropriate identification and 

authentication procedures. 

Supplemental Guidance: Users can directly initiate session lock mechanisms. The information

system also activates session lock mechanisms automatically after a specified period of inactivity 

defined by the organization. A session lock is not a substitute for logging out of the information

system. 

Control Enhancements: None. 

LOW Not Selected MOD AC-11 HIGH AC-11

AC-12 SESSION TERMINATION 

Control: The information system automatically terminates a session after [Assignment: 

organization-defined time period] of inactivity.

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD AC-12 HIGH AC-12

AC-13 SUPERVISION AND REVIEW — ACCESS CONTROL 

Control: The organization supervises and reviews the activities of users with respect to the 

enforcement and usage of information system access controls. 

Supplemental Guidance: The organization reviews audit records (e.g., user activity logs) for 

inappropriate activities in accordance with organizational procedures. The organization 

investigates any unusual information system-related activities and periodically reviews changes to 

access authorizations. The organization reviews more frequently, the activities of users with 

significant information system roles and responsibilities. 

Control Enhancements: 

(1) The organization employs automated mechanisms to facilitate the review of user activities. 

LOW AC-13 MOD AC-13 HIGH AC-13 (1)

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AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION 

Control: The organization identifies specific user actions that can be performed on the information 

system without identification or authentication.

Supplemental Guidance: The organization allows limited user activity without identification and

authentication for public websites or other publicly available information systems. 

Control Enhancements: 

(1) The organization permits actions to be performed without identification and authentication only to

the extent necessary to accomplish mission objectives. 

LOW AC-14 MOD AC-14 (1) HIGH AC-14 (1)

AC-15 AUTOMATED MARKING

Control: The information system marks output using standard naming conventions to identify any

special dissemination, handling, or distribution instructions.

Supplemental Guidance: Automated marking refers to labels employed on external media (e.g.,

hardcopy documents output from the information system). The labels used in external marking 

are distinguished from the labels used on internal data structures described in AC-16.

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH AC-15

AC-16 AUTOMATED LABELING

Control: The information system appropriately labels information in storage, in process, and in

transmission. 

Supplemental Guidance: Automated labeling refers to labels employed on internal data structures 

(e.g., records, files) within the information system. Information labeling is accomplished in

accordance with: (i) access control requirements; (ii) special dissemination, handling, or 

distribution instructions; or (iii) as otherwise required to enforce information system security 

policy. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

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AC-17 REMOTE ACCESS 

Control: The organization documents, monitors, and controls all methods of remote access (e.g.,

dial-up, Internet) to the information system including remote access for privileged functions. 

Appropriate organization officials authorize each remote access method for the information 

system and authorize only the necessary users for each access method. 

Supplemental Guidance: Remote access controls are applicable to information systems other than

public web servers or systems specifically designed for public access. The organization restricts 

access achieved through dial-up connections (e.g., limiting dial-up access based upon source of 

request) or protects against unauthorized connections or subversion of authorized connections

(e.g., using virtual private network technology). The organization permits remote access for 

privileged functions only for compelling operational needs. NIST Special Publication 800-63 

provides guidance on remote electronic authentication. If the federal Personal Identity 

Verification (PIV) credential is used as an identification token where cryptographic token-based 

access control is employed, the access control system conforms to the requirements of FIPS 201 

and NIST Special Publications 800-73 and 800-78. NIST Special Publication 800-77 provides 

guidance on IPsec-based virtual private networks. 

Control Enhancements: 

(1) The organization employs automated mechanisms to facilitate the monitoring and control of

remote access methods. 

(2) The organization uses encryption to protect the confidentiality of remote access sessions. 

(3) The organization controls all remote accesses through a managed access control point. 

LOW AC-17 MOD AC-17 (1) (2) (3) HIGH AC-17 (1) (2) (3)

AC-18 WIRELESS ACCESS RESTRICTIONS 

Control: The organization: (i) establishes usage restrictions and implementation guidance for 

wireless technologies; and (ii) documents, monitors, and controls wireless access to the

information system. Appropriate organizational officials authorize the use of wireless 

technologies. 

Supplemental Guidance: NIST Special Publication 800-48 provides guidance on wireless network

security. 

Control Enhancements: 

(1) The organization uses authentication and encryption to protect wireless access to the information 

system.

LOW AC-18 MOD AC-18 (1) HIGH AC-18 (1)

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AC-19 ACCESS CONTROL FOR PORTABLE AND MOBILE DEVICES 

Control: The organization: (i) establishes usage restrictions and implementation guidance for 

portable and mobile devices; and (ii) documents, monitors, and controls device access to 

organizational networks. Appropriate organizational officials authorize the use of portable and 

mobile devices. 

Supplemental Guidance: Portable and mobile devices (e.g., notebook computers, workstations, 

personal digital assistants) are not allowed access to organizational networks without first meeting 

organizational security policies and procedures. Security policies and procedures might include

such activities as scanning the 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). 

Control Enhancements:

(1) The organization employs removable hard drives or cryptography to protect information residing 

on portable and mobile devices. 

LOW Not Selected MOD AC-19 (1) HIGH AC-19 (1)

AC-20 PERSONALLY OWNED INFORMATION SYSTEMS 

Control: The organization restricts the use of personally owned information systems for official

U.S. Government business involving the processing, storage, or transmission of federal

information.

Supplemental Guidance: The organization establishes strict terms and conditions for the use of

personally owned information systems when accessing federal information and information 

systems. The terms and conditions should address, at a minimum: (i) the types of applications that

can be accessed from personally owned information systems; (ii) the maximum FIPS 199 security 

category of information that can processed, stored, and transmitted; (iii) how other users of the 

personally owned information system or individuals with potential access to the information 

system, are prevented from accessing federal information; (iv) the use of virtual private

networking (VPN) and firewall technologies; (v) the use of and protection against the 

vulnerabilities of wireless technologies; (vi) the use of adequate physical security controls; (vii) 

the use of malicious code protection software; (viii) how often the security capabilities of installed

software are to be updated (e.g., operating system and other software security patches, virus

definitions, firewall version updates, spyware definitions); and (ix) any other technologies, the 

application of which, may result in vulnerabilities causing potential comprise of federal 

information.

Control Enhancements: None. 

LOW AC-20 MOD AC-20 HIGH AC-20

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FAMILY: AWARENESS AND TRAINING CLASS: OPERATIONAL 

AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES 

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, security awareness and training policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the 

security awareness and training policy and associated security awareness and training controls. 

Supplemental Guidance: The security awareness and training policy and procedures are consistent

with applicable federal laws, directives, policies, regulations, standards, and guidance. The 

security awareness and training policy can be included as part of the general information security 

policy for the organization. Security awareness and training procedures can be developed for the

security program in general, and for a particular information system, when required. NIST Special 

Publications 800-16 and 800-50 provide guidance on security awareness and training. NIST 

Special Publication 800-12 provides guidance on security policies and procedures. 

Control Enhancements: None. 

LOW AT-1 MOD AT-1 HIGH AT-1

AT-2 SECURITY AWARENESS 

Control: The organization ensures all users (including managers and senior executives) are exposed

to basic information system security awareness materials before authorizing access to the system

and [Assignment: organization-defined frequency, at least annually] thereafter. 

Supplemental Guidance: The organization determines the appropriate content of security awareness

training based on the specific requirements of the organization and the information systems to 

which personnel have authorized access. The organization’s security awareness program is 

consistent with the requirements contained in 5 C.F.R. Part 930.301 and with the guidance in 

NIST Special Publication 800-50. 

Control Enhancements: None. 

LOW AT-2 MOD AT-2 HIGH AT-2

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AT-3 SECURITY TRAINING 

Control: The organization identifies personnel with significant information system security roles 

and responsibilities, documents those roles and responsibilities, and provides appropriate 

information system security training before authorizing access to the system and [Assignment: 

organization-defined frequency] thereafter. 

Supplemental Guidance: The organization determines the appropriate content of security training 

based on the specific requirements of the organization and the information systems to which 

personnel have authorized access. In addition, the organization ensures system managers, system

administrators, and other personnel having access to system-level software have adequate

technical training to perform their assigned duties. The organization’s security training program is 

consistent with the requirements contained in 5 C.F.R. Part 930.301 and with the guidance in 

NIST Special Publication 800-50. 

Control Enhancements: None. 

LOW AT-3 MOD AT-3 HIGH AT-3

AT-4 SECURITY TRAINING RECORDS 

Control: The organization documents and monitors individual information system security training

activities including basic security awareness training and specific information system security 

training. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW AT-4 MOD AT-4 HIGH AT-4

AT-5 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS 

Control: The organization establishes and maintains contacts with special interest groups, 

specialized forums, or professional associations to stay up to date with the latest recommended

security practices, techniques, and technologies. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

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FAMILY: AUDIT AND ACCOUNTABILITY CLASS: TECHNICAL 

AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, audit and accountability policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the audit and accountability 

policy and associated audit and accountability controls. 

Supplemental Guidance: The audit and accountability policy and procedures are consistent with

applicable federal laws, directives, policies, regulations, standards, and guidance. The audit and 

accountability policy can be included as part of the general information security policy for the 

organization. Audit and accountability procedures can be developed for the security program in

general, and for a particular information system, when required. NIST Special Publication 800-12 

provides guidance on security policies and procedures.

Control Enhancements: None. 

LOW AU-1 MOD AU-1 HIGH AU-1

AU-2 AUDITABLE EVENTS 

Control: The information system generates audit records for the following events: [Assignment: 

organization-defined auditable events].

Supplemental Guidance: The organization specifies which information system components carry out

auditing activities. Auditing activity can affect information system performance. Therefore, the 

organization decides, based upon a risk assessment, which events require auditing on a continuous 

basis and which events require auditing in response to specific situations. The checklists and 

configuration guides at http://csrc.nist.gov/pcig/cig.html provide recommended lists of auditable 

events. The organization defines auditable events that are adequate to support after-the-fact 

investigations of security incidents. 

Control Enhancements: 

(1) The information system provides the capability to compile audit records from multiple components 

throughout the system into a systemwide (logical or physical), time-correlated audit trail. 

(2) The information system provides the capability to manage the selection of events to be audited by

individual components of the system. 

LOW AU-2 MOD AU-2 HIGH AU-2

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AU-3 CONTENT OF AUDIT RECORDS

Control: The information system captures sufficient information in audit records to establish what 

events occurred, the sources of the events, and the outcomes of the events. 

Supplemental Guidance: Audit record content includes, for most audit records: (i) date and time of 

the event; (ii) the component of the information system (e.g., software component, hardware

component) where the event occurred; (iii) type of event; (iv) subject identity; and (v) the outcome 

(success or failure) of the event. 

Control Enhancements: 

(1) The information system provides the capability to include additional, more detailed information in 

the audit records for audit events identified by type, location, or subject. 

(2) The information system provides the capability to centrally manage the content of audit records

generated by individual components throughout the system.

LOW AU-3 MOD AU-3 (1) HIGH AU-3 (1) (2)

AU-4 AUDIT STORAGE CAPACITY

Control: The organization allocates sufficient audit record storage capacity and configures auditing 

to prevent such capacity being exceeded.

Supplemental Guidance: None.

Control Enhancements: None. 

LOW AU-4 MOD AU-4 HIGH AU-4

AU-5 AUDIT PROCESSING

Control: In the event of an audit failure or audit storage capacity being reached, the information

system alerts appropriate organizational officials and takes the following additional actions: 

[Assignment: organization-defined actions to be taken (e.g., shut down information system, 

overwrite oldest audit records, stop generating audit records)]. 

Supplemental Guidance: None.

Control Enhancements:

(1) The information system provides a warning when allocated audit record storage volume reaches 

[Assignment: organization-defined percentage of maximum audit record storage capacity]. 

LOW AU-5 MOD AU-5 HIGH AU-5 (1)

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AU-6 AUDIT MONITORING, ANALYSIS, AND REPORTING 

Control: The organization regularly reviews/analyzes audit records for indications of inappropriate 

or unusual activity, investigates suspicious activity or suspected violations, reports findings to

appropriate officials, and takes necessary actions. 

Supplemental Guidance: None.

Control Enhancements: 

(1) The organization employs automated mechanisms to integrate audit monitoring, analysis, and 

reporting into an overall process for investigation and response to suspicious activities. 

(2) The organization employs automated mechanisms to immediately alert security personnel of 

inappropriate or unusual activities with security implications. 

LOW Not Selected MOD AU-6 HIGH AU-6 (1)

AU-7 AUDIT REDUCTION AND REPORT GENERATION 

Control: The information system provides an audit reduction and report generation capability. 

Supplemental Guidance: Audit reduction, review, and reporting tools support after-the-fact

investigations of security incidents without altering original audit records. 

Control Enhancements: 

(1) The information system provides the capability to automatically process audit records for events 

of interest based upon selectable, event criteria. 

LOW Not Selected MOD AU-7 HIGH AU-7 (1)

AU-8 TIME STAMPS 

Control: The information system provides time stamps for use in audit record generation.

Supplemental Guidance: Time stamps of audit records are generated using internal system clocks

that are synchronized system wide. 

Control Enhancements: None. 

LOW Not Selected MOD AU-8 HIGH AU-8

AU-9 PROTECTION OF AUDIT INFORMATION 

Control: The information system protects audit information and audit tools from unauthorized 

access, modification, and deletion. 

Supplemental Guidance: None.

Control Enhancements: 

(1) The information system produces audit information on hardware-enforced, write-once media. 

LOW AU-9 MOD AU-9 HIGH AU-9

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AU-10 NON-REPUDIATION 

Control: The information system provides the capability to determine whether a given individual 

took a particular action (e.g., created information, sent a message, approved information [e.g., to

indicate concurrence or sign a contract] or received a message).

Supplemental Guidance: Non-repudiation protects against later false claims by an individual of not

having taken a specific action. Non-repudiation protects individuals against later claims by an 

author of not having authored a particular document, a sender of not having transmitted a message, 

a receiver of not having received a message, or a signatory of having signed a document. Nonrepudiation services can be used to determine if information originated from an individual, or if an

individual took specific actions (e.g., sending an email, signing a contract, approving a 

procurement request) or received specific information. Non-repudiation services are obtained by 

employing various techniques or mechanisms (e.g., digital signatures, digital message receipts, 

time stamps). 

Control Enhancements: None.

LOW Not Selected MOD Not Selected HIGH Not Selected

AU-11 AUDIT RETENTION

Control: The organization retains audit logs for [Assignment: organization-defined time period] to 

provide support for after-the-fact investigations of security incidents and to meet regulatory and 

organizational information retention requirements.

Supplemental Guidance: NIST Special Publication 800-61 provides guidance on computer security 

incident handling and audit log retention.

Control Enhancements: None.

LOW AU-11 MOD AU-11 HIGH AU-11

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FAMILY: CERTIFICATION, ACCREDITATION, AND SECURITY CLASS: MANAGEMENT

 ASSESSMENTS

CA-1 CERTIFICATION, ACCREDITATION, AND SECURITY ASSESSMENT POLICIES AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) formal, 

documented, security assessment and certification and accreditation policies that address purpose, 

scope, roles, responsibilities, management commitment, coordination among organizational 

entities, and compliance; and (ii) formal, documented procedures to facilitate the implementation

of the security assessment and certification and accreditation policies and associated assessment, 

certification, and accreditation controls. 

Supplemental Guidance: The security assessment and certification and accreditation policies and 

procedures are consistent with applicable federal laws, directives, policies, regulations, standards, 

and guidance. The security assessment and certification and accreditation policies can be included 

as part of the general information security policy for the organization. Security assessment and 

certification and accreditation procedures can be developed for the security program in general,

and for a particular information system, when required. NIST Special Publication 800-53A 

provides guidance on security control assessments. NIST Special Publication 800-37 provides 

guidance on security certification and accreditation. NIST Special Publication 800-12 provides

guidance on security policies and procedures. 

Control Enhancements: None. 

LOW CA-1 MOD CA-1 HIGH CA-1

 

CA-2 SECURITY ASSESSMENTS 

Control: The organization conducts an assessment of the security controls in the information

system [Assignment: organization-defined frequency, at least annually] to determine the extent to 

which the controls are implemented correctly, operating as intended, and producing the desired 

outcome with respect to meeting the security requirements for the system.

Supplemental Guidance: This control is intended to support the FISMA requirement that the 

management, operational, and technical controls in each information system contained in the 

inventory of major information systems be tested with a frequency depending on risk, but no less 

than annually. The FISMA requirement for (at least) annual security control assessments should

not be interpreted by organizations as adding additional assessment requirements to those 

requirements already in place. Organizations can satisfy the FISMA requirement by using the 

security control assessment results from any of the following sources, including: (i) security 

certifications conducted as part of a routine information system accreditation or reaccreditation 

process; (ii) ongoing continuous monitoring activities; (iii) self assessments; or (iv) routine testing

and evaluation of the information system as part of the ongoing system development life cycle 

process. Reuse of assessment information is critical in achieving a broad-based, cost-effective, 

and fully integrated security program capable of producing the needed evidence to determine the 

actual security status of the information system. NIST Special Publications 800-53A and 800-26

provide guidance on security control assessments.

Control Enhancements: None.

LOW Not Selected MOD CA-2 HIGH CA-2

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CA-3 INFORMATION SYSTEM CONNECTIONS 

Control: The organization authorizes all connections from the information system to other 

information systems outside of the accreditation boundary and monitors/controls the system

interconnections on an ongoing basis. Appropriate organizational officials approve information 

system interconnection agreements. 

Supplemental Guidance: Since FIPS 199 security categorizations apply to individual information 

systems, the organization should carefully consider the risks that may be introduced when systems 

are connected to other information systems with different security requirements and security

controls, both within the organization and external to the organization. Risk considerations should 

also include information systems sharing the same networks. NIST Special Publication 800-47

provides guidance on interconnecting information systems. 

Control Enhancements: None. 

LOW CA-3 MOD CA-3 HIGH CA-3

CA-4 SECURITY CERTIFICATION 

Control: The organization conducts an assessment of the security controls in the information

system to determine the extent to which the controls are implemented correctly, operating as 

intended, and producing the desired outcome with respect to meeting the security requirements for 

the system. 

Supplemental Guidance: A security certification is conducted by the organization in support of the 

OMB Circular A-130, Appendix III requirement for accrediting the information system. The 

security certification is a key factor in all authorization (accreditation) decisions and is integrated

into and spans the system development life cycle. When an independent assessment is required,

the certification agent (or certification team) provides an unbiased assessment of the security 

controls in the information system. Assessor independence implies that the certification agent (or 

certification team), whether obtained from within the organization or externally, is not involved 

with the information system’s development, implementation, or operation. NIST Special 

Publication 800-53A provides guidance on the assessment of security controls. NIST Special 

Publication 800-37 provides guidance on security certification and accreditation.

Control Enhancements:

(1) The assessment of the security controls in the information system for purposes of security

certification is conducted by an independent certification agent or certification team. 

LOW CA-4 MOD CA-4 (1) HIGH CA-4 (1)

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CA-5 PLAN OF ACTION AND MILESTONES

Control: The organization develops and updates [Assignment: organization-defined frequency], a 

plan of action and milestones for the information system that documents the organization’s

planned, implemented, and evaluated remedial actions to correct any deficiencies noted during the 

assessment of the security controls and to reduce or eliminate known vulnerabilities in the system. 

Supplemental Guidance: The plan of action and milestones updates are based on the findings from

security control assessments, security impact analyses, and continuous monitoring activities. The 

plan of action and milestones is a key document in the security accreditation package developed 

for the authorizing official. NIST Special Publication 800-37 provides guidance on the security

certification and accreditation of information systems. NIST Special Publication 800-30 provides 

guidance on risk mitigation. 

Control Enhancements: None.

LOW CA-5 MOD CA-5 HIGH CA-5

CA-6 SECURITY ACCREDITATION 

Control: The organization authorizes (i.e., accredits) the information system for processing before 

operations and updates the authorization [Assignment: organization-defined frequency, at least

every three years]. A senior organizational official signs and approves the security accreditation. 

Supplemental Guidance: OMB Circular A-130, Appendix III, establishes policy for security

accreditations of federal information systems. The organization assesses the security controls 

employed within the information system before and in support of the security accreditation. 

Security assessments conducted in support of security accreditations are called security 

certifications. NIST Special Publication 800-37 provides guidance on the security certification 

and accreditation of information systems. 

Control Enhancements: None. 

LOW CA-6 MOD CA-6 HIGH CA-6

CA-7 CONTINUOUS MONITORING

Control: The organization monitors the security controls in the information system on an ongoing

basis. 

Supplemental Guidance: Continuous monitoring activities include configuration management and

control of information system components, security impact analyses of changes to the system, 

ongoing assessment of security controls, and status reporting. The organization establishes the 

selection criteria for control monitoring and subsequently selects a subset of the security controls

employed within the information system for purposes of continuous monitoring. NIST Special

Publication 800-37 provides guidance on the continuous monitoring process. NIST Special

Publication 800-53A provides guidance on the assessment of security controls. 

Control Enhancements: None. 

LOW CA-7 MOD CA-7 HIGH CA-7

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FAMILY: CONFIGURATION MANAGEMENT CLASS: OPERATIONAL

CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, configuration management policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the 

configuration management policy and associated configuration management controls. 

Supplemental Guidance: The configuration management policy and procedures are consistent with

applicable federal laws, directives, policies, regulations, standards, and guidance. The

configuration management policy can be included as part of the general information security

policy for the organization. Configuration management procedures can be developed for the 

security program in general, and for a particular information system, when required. NIST Special 

Publication 800-12 provides guidance on security policies and procedures. 

Control Enhancements: None. 

LOW CM-1 MOD CM-1 HIGH CM-1

CM-2 BASELINE CONFIGURATION AND SYSTEM COMPONENT INVENTORY 

Control: The organization develops, documents, and maintains a current, baseline configuration of

the information system, an inventory of the system’s constituent components, and relevant 

ownership information. 

Supplemental Guidance: The configuration of the information system is consistent with the Federal 

Enterprise Architecture and the organization’s information system architecture. The inventory of

information system components includes manufacturer, type, serial number, version number, 

information system/component owner, and location (i.e., physical location and logical position 

within the information system architecture). The inventory also designates those information 

system components required to implement and/or conduct contingency planning operations. 

Control Enhancements: 

(1) The organization updates the baseline configuration of the information system and inventory of

system components as an integral part of information system component installations. 

(2) The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, 

and readily available baseline configuration of the information system and inventory of information

system components.

LOW CM-2 MOD CM-2 (1) HIGH CM-2 (1) (2)

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CM-3 CONFIGURATION CHANGE CONTROL 

Control: The organization documents and controls changes to the information system. Appropriate 

organizational officials approve information system changes in accordance with organizational

policies and procedures. 

Supplemental Guidance: Configuration change control involves the systematic proposal,

justification, test/evaluation, review, and disposition of proposed changes. The organization

includes emergency changes in the configuration change control process. 

Control Enhancements: 

(1) The organization employs automated mechanisms to: (i) document proposed changes to the 

information system; (ii) notify appropriate approval authorities; (iii) highlight approvals that have

not been received in a timely manner; (iv) inhibit change until necessary approvals are received; 

and (v) document completed changes to the information system. 

LOW Not Selected MOD CM-3 HIGH CM-3 (1)

CM-4 MONITORING CONFIGURATION CHANGES 

Control: The organization monitors changes to the information system and conducts security

impact analyses to determine the effects of the changes.

Supplemental Guidance: The organization documents the installation of information system

components. After the information system is changed, the organizations checks the security

features to ensure the features are still functioning properly. The organization audits activities 

associated with configuration changes to the information system. 

Control Enhancements: None. 

LOW Not Selected MOD CM-4 HIGH CM-4

CM-5 ACCESS RESTRICTIONS FOR CHANGE 

Control: The organization enforces physical and logical access restrictions associated with changes

to the information system and generates, retains, and reviews records reflecting all such changes. 

Supplemental Guidance: Planned or unplanned changes to the hardware, software, and/or firmware 

components of the information system can have significant effects on the overall security of the 

system. Accordingly, the organization ensures that only qualified and authorized individuals 

obtain access to information system components for purposes of initiating changes, upgrades, 

and/or modifications. Appropriate organizational officials approve individual access privileges. 

Control Enhancements: 

(1) The organization employs automated mechanisms to enforce access restrictions and support 

auditing of the enforcement actions. 

LOW Not Selected MOD CM-5 HIGH CM-5 (1)

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CM-6 CONFIGURATION SETTINGS 

Control: The organization: (i) establishes mandatory configuration settings for information

technology products employed within the information system; (ii) configures the security settings

of information technology products to the most restrictive mode consistent with operational 

requirements; (iii) documents the configuration settings; and (iv) enforces the configuration 

settings in all components of the information system. 

Supplemental Guidance: NIST Special Publication 800-70 provides guidance on producing and 

using configuration settings for information technology products employed in organizational 

information systems. 

Control Enhancements: 

(1) The organization employs automated mechanisms to centrally manage, apply, and verify

configuration settings. 

LOW CM-6 MOD CM-6 HIGH CM-6 (1)

CM-7 LEAST FUNCTIONALITY 

Control: The organization configures the information system to provide only essential capabilities 

and specifically prohibits and/or restricts the use of the following functions, ports, protocols, 

and/or services: [Assignment: organization-defined list of prohibited and/or restricted functions,

ports, protocols, and/or services].

Supplemental Guidance: Information systems are capable of providing a wide variety of functions

and services. Some of the functions and services, provided by default, may not be necessary to 

support essential organizational operations (e.g., key missions, functions). The functions and 

services provided by information systems should be carefully reviewed to determine which 

functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant

Messaging, File Transfer Protocol, Hyper Text Transfer Protocol, file sharing). 

Control Enhancements:

(1) The organization reviews the information system [Assignment: organization-defined frequency], to

identify and eliminate unnecessary functions, ports, protocols, and/or services. 

LOW Not Selected MOD CM-7 HIGH CM-7 (1)

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FAMILY: CONTINGENCY PLANNING CLASS: OPERATIONAL 

CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, contingency planning policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the contingency planning

policy and associated contingency planning controls. 

Supplemental Guidance: The contingency planning policy and procedures are consistent with

applicable federal laws, directives, policies, regulations, standards, and guidance. The

contingency planning policy can be included as part of the general information security policy for

the organization. Contingency planning procedures can be developed for the security program in

general, and for a particular information system, when required. NIST Special Publication 800-34 

provides guidance on contingency planning. NIST Special Publication 800-12 provides guidance

on security policies and procedures. 

Control Enhancements: None. 

LOW CP-1 MOD CP-1 HIGH CP-1

CP-2 CONTINGENCY PLAN

Control: The organization develops and implements a contingency plan for the information system

addressing contingency roles, responsibilities, assigned individuals with contact information, and 

activities associated with restoring the system after a disruption or failure. Designated officials 

within the organization review and approve the contingency plan and distribute copies of the plan

to key contingency personnel.

Supplemental Guidance: None.

Control Enhancements: 

(1) The organization coordinates contingency plan development with organizational elements 

responsible for related plans (e.g., Business Continuity Plan, Disaster Recovery Plan, Continuity of 

Operations Plan, Business Recovery Plan, Incident Response Plan). 

LOW CP-2 MOD CP-2 (1) HIGH CP-2 (1)

CP-3 CONTINGENCY TRAINING 

Control: The organization trains personnel in their contingency roles and responsibilities with

respect to the information system and provides refresher training [Assignment: organizationdefined frequency, at least annually].

Supplemental Guidance: None.

Control Enhancements: 

(1) The organization incorporates simulated events into contingency training to facilitate effective 

response by personnel in crisis situations. 

(2) The organization employs automated mechanisms to provide a more thorough and realistic 

training environment. 

LOW Not Selected MOD CP-3 HIGH CP-3 (1)

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CP-4 CONTINGENCY PLAN TESTING 

Control: The organization tests the contingency plan for the information system [Assignment: 

organization-defined frequency, at least annually] using [Assignment: organization-defined tests 

and exercises] to determine the plan’s effectiveness and the organization’s readiness to execute the

plan. Appropriate officials within the organization review the contingency plan test results and 

initiate corrective actions. 

Supplemental Guidance: There are several methods for testing contingency plans to identify 

potential weaknesses (e.g., full-scale contingency plan testing, functional/tabletop exercises). 

Control Enhancements:

(1) The organization coordinates contingency plan testing with organizational elements responsible 

for related plans (e.g., Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations

Plan, Business Recovery Plan, Incident Response Plan). 

(2) The organization tests the contingency plan at the alternate processing site to familiarize 

contingency personnel with the facility and available resources and to evaluate the site’s 

capabilities to support contingency operations.

(3) The organization employs automated mechanisms to more thoroughly and effectively test the 

contingency plan. 

LOW Not Selected MOD CP-4 (1) HIGH CP-4 (1) (2)

CP-5 CONTINGENCY PLAN UPDATE

Control: The organization reviews the contingency plan for the information system [Assignment: 

organization-defined frequency, at least annually] and revises the plan to address

system/organizational changes or problems encountered during plan implementation, execution, or

testing.

Supplemental Guidance: Organizational changes include changes in mission, functions, or business

processes supported by the information system. The organization communicates changes to 

appropriate organizational elements responsible for related plans (e.g., Business Continuity Plan, 

Disaster Recovery Plan, Continuity of Operations Plan, Business Recovery Plan, Incident

Response Plan). 

Control Enhancements: None. 

LOW CP-5 MOD CP-5 HIGH CP-5

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CP-6 ALTERNATE STORAGE SITES 

Control: The organization identifies an alternate storage site and initiates necessary agreements to 

permit the storage of information system backup information. 

Supplemental Guidance: None.

Control Enhancements:

(1) The alternate storage site is geographically separated from the primary storage site so as not to be 

susceptible to the same hazards. 

(2) The alternate storage site is configured to facilitate timely and effective recovery operations. 

(3) The organization identifies potential accessibility problems to the alternate storage site in the 

event of an area-wide disruption or disaster and outlines explicit mitigation actions. 

LOW Not Selected MOD CP-6 (1) HIGH CP-6 (1) (2) (3)

CP-7 ALTERNATE PROCESSING SITES 

Control: The organization identifies an alternate processing site and initiates necessary agreements 

to permit the resumption of information system operations for critical mission/business functions

within [Assignment: organization-defined time period] when the primary processing capabilities 

are unavailable.

Supplemental Guidance: Equipment and supplies required to resume operations within the 

organization-defined time period are either available at the alternate site or contracts are in place 

to support delivery to the site. 

Control Enhancements:

(1) The alternate processing site is geographically separated from the primary processing site so as 

not to be susceptible to the same hazards. 

(2) The organization identifies potential accessibility problems to the alternate processing site in the 

event of an area-wide disruption or disaster and outlines explicit mitigation actions. 

(3) Alternate processing site agreements contain priority-of-service provisions in accordance with the

organization’s availability requirements. 

(4) The alternate processing site is fully configured to support a minimum required operational 

capability and ready to use as the operational site. 

LOW Not Selected MOD CP-7 (1) (2) (3) HIGH CP-7 (1) (2) (3) (4)

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CP-8 TELECOMMUNICATIONS SERVICES 

Control: The organization identifies primary and alternate telecommunications services to support 

the information system and initiates necessary agreements to permit the resumption of system

operations for critical mission/business functions within [Assignment: organization-defined time 

period] when the primary telecommunications capabilities are unavailable. 

Supplemental Guidance: In the event that the primary and/or alternate telecommunications services

are provided by a wireline carrier, the organization should ensure that it requests 

Telecommunications Service Priority (TSP) for all telecommunications services used for national

security emergency preparedness (See http://tsp.ncs.gov for a full explanation of the TSP 

program). 

Control Enhancements:

(1) Primary and alternate telecommunications service agreements contain priority-of-service

provisions in accordance with the organization’s availability requirements. 

(2) Alternate telecommunications services do not share a single point of failure with primary

telecommunications services. 

(3) Alternate telecommunications service providers are sufficiently separated from primary service 

providers so as not to be susceptible to the same hazards. 

(4) Primary and alternate telecommunications service providers have adequate contingency plans. 

LOW Not Selected MOD CP-8 (1) (2) HIGH CP-8 (1) (2) (3) (4)

CP-9 INFORMATION SYSTEM BACKUP 

Control: The organization conducts backups of user-level and system-level information (including

system state information) contained in the information system [Assignment: organization-defined

frequency] and stores backup information at an appropriately secured location. 

Supplemental Guidance: The frequency of information system backups and the transfer rate of

backup information to alternate storage sites (if so designated) are consistent with the 

organization’s recovery time objectives and recovery point objectives. 

Control Enhancements: 

(1) The organization tests backup information [Assignment: organization-defined frequency] to ensure 

media reliability and information integrity.

(2) The organization selectively uses backup information in the restoration of information system

functions as part of contingency plan testing. 

(3) The organization stores backup copies of the operating system and other critical information

system software in a separate facility or in a fire-rated container that is not collocated with the 

operational software. 

(4) The organization encrypts backup information.

LOW CP-9 MOD CP-9 (1) HIGH CP-9 (1) (2) (3)

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CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION 

Control: The organization employs mechanisms with supporting procedures to allow the 

information system to be recovered and reconstituted to the system’s original state after a 

disruption or failure. 

Supplemental Guidance: Secure information system recovery and reconstitution to the system’s 

original state means that all system parameters (either default or organization-established) are 

reset, patches are reinstalled, configuration settings are reestablished, system documentation and 

operating procedures are available, application and system software is reinstalled, information 

from the most recent backups is available, and the system is fully tested. 

Control Enhancements: 

(1) The organization includes a full recovery and reconstitution of the information system as part of 

contingency plan testing. 

LOW CP-10 MOD CP-10 HIGH CP-10 (1)

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FAMILY: IDENTIFICATION AND AUTHENTICATION CLASS: TECHNICAL 

IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES 

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, identification and authentication policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the 

identification and authentication policy and associated identification and authentication controls. 

Supplemental Guidance: The identification and authentication policy and procedures are consistent 

with: (i) FIPS 201 and Special Publications 800-73, 800-76, and 800-78; and (ii) other applicable

federal laws, directives, policies, regulations, standards, and guidance. The identification and

authentication policy can be included as part of the general information security policy for the 

organization. Identification and authentication procedures can be developed for the security

program in general, and for a particular information system, when required. NIST Special

Publication 800-12 provides guidance on security policies and procedures. NIST Special

Publication 800-63 provides guidance on remote electronic authentication. 

Control Enhancements: None. 

LOW IA-1 MOD IA-1 HIGH IA-1

IA-2 USER IDENTIFICATION AND AUTHENTICATION

Control: The information system uniquely identifies and authenticates users (or processes acting on 

behalf of users). 

Supplemental Guidance: Authentication of user identities is accomplished through the use of 

passwords, tokens, biometrics, or in the case of multifactor authentication, some combination

therein. FIPS 201 and Special Publications 800-73, 800-76, and 800-78 specify a personal identity 

verification (PIV) card token for use in the unique identification and authentication of federal 

employees and contractors. NIST Special Publication 800-63 provides guidance on remote

electronic authentication including strength of authentication mechanisms. For other than remote 

situations, when users identify and authenticate to information systems within a specified security 

perimeter which is considered to offer sufficient protection, NIST Special Publication 800-63 

guidance should be applied as follows: (i) for low-impact information systems, tokens that meet

Level 1, 2, 3, or 4 requirements are acceptable; (ii) for moderate-impact information systems, 

tokens that meet Level 2, 3, or 4 requirements are acceptable; and (iii) for high-impact information 

systems, tokens that meet Level 3 or 4 requirements are acceptable. In addition to identifying and 

authenticating users at the information system level, identification and authentication mechanisms

are employed at the application level, when necessary, to provide increased information security

for the organization.

Control Enhancements:

(1) The information system employs multifactor authentication.

LOW IA-2 MOD IA-2 HIGH IA-2 (1)

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IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION 

Control: The information system identifies and authenticates specific devices before establishing a

connection. 

Supplemental Guidance: The information system typically uses either shared known information

(e.g., Media Access Control (MAC) or Transmission Control Program/Internet Protocol (TCP/IP)

addresses) or an organizational authentication solution (e.g., IEEE 802.1x and Extensible

Authentication Protocol (EAP) or a Radius server with EAP-Transport Layer Security (TLS) 

authentication) to identify and authenticate devices on local and/or wide area networks. The 

strength of the device authentication mechanism is based on the FIPS 199 security categorization 

of the information system. 

Control Enhancements: None. 

LOW Not Selected MOD IA-3 HIGH IA-3

IA-4 IDENTIFIER MANAGEMENT 

Control: The organization manages user identifiers by: (i) uniquely identifying each user; (ii) 

verifying the identity of each user; (iii) receiving authorization to issue a user identifier from an 

appropriate organization official; (iv) ensuring that the user identifier is issued to the intended

party; (v) disabling user identifier after [Assignment: organization-defined time period] of

inactivity; and (vi) archiving user identifiers. 

Supplemental Guidance: Identifier management is not applicable to shared information system

accounts (e.g., guest and anonymous accounts). FIPS 201 and Special Publications 800-73, 800-

76, and 800-78 specify a personal identity verification (PIV) card token for use in the unique

identification and authentication of federal employees and contractors. 

Control Enhancements: None. 

LOW IA-4 MOD IA-4 HIGH IA-4

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IA-5 AUTHENTICATOR MANAGEMENT

Control: The organization manages information system authenticators (e.g., tokens, PKI 

certificates, biometrics, passwords, key cards) by: (i) defining initial authenticator content; (ii) 

establishing administrative procedures for initial authenticator distribution, for lost/compromised, 

or damaged authenticators, and for revoking authenticators; and (iii) changing default 

authenticators upon information system installation.

Supplemental Guidance: Users take reasonable measures to safeguard authenticators including

maintaining possession of their individual authenticators, not loaning or sharing authenticators 

with others, and reporting lost or compromised authenticators immediately. For password-based 

authentication, the information system: (i) protects passwords from unauthorized disclosure and

modification when stored and transmitted; (ii) prohibits passwords from being displayed when

entered; (iii) enforces password minimum and maximum lifetime restrictions; and (iv) prohibits 

password reuse for a specified number of generations. For PKI-based authentication, the 

information system: (i) validates certificates by constructing a certification path to an accepted

trust anchor; (ii) establishes user control of the corresponding private key; and (iii) maps the 

authenticated identity to the user account. FIPS 201 and Special Publications 800-73, 800-76, and 

800-78 specify a personal identity verification (PIV) card token for use in the unique identification

and authentication of federal employees and contractors. NIST Special Publication 800-63

provides guidance on remote electronic authentication. 

Control Enhancements: None. 

LOW IA-5 MOD IA-5 HIGH IA-5

IA-6 AUTHENTICATOR FEEDBACK

Control: The information system obscures feedback of authentication information during the 

authentication process to protect the information from possible exploitation/use by unauthorized

individuals. 

Supplemental Guidance: The information system may obscure feedback of authentication 

information during the authentication process (e.g., displaying asterisks when a user types in a 

password). The feedback from the information system provides sufficient information for a 

legitimate user to understand why access is not being granted (e.g., made a keystroke mistake, 

forgot the password) and, at the same time, does not provide information that would allow an

unauthorized user to compromise the authentication mechanism.

Control Enhancements: None. 

LOW IA-6 MOD IA-6 HIGH IA-6

IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION 

Control: For authentication to a cryptographic module, the information system employs 

authentication methods that meet the requirements of FIPS 140-2. 

Supplemental Guidance: Where the cryptographic module is a personal identity verification (PIV) 

card token for use in the unique identification and authentication of federal employees and 

contractors, the module conforms to FIPS 201 and Special Publications 800-73 and 800-78. 

Module testing is in accordance with NIST Special Publication 800-85. 

Control Enhancements: None. 

LOW IA-7 MOD IA-7 HIGH IA-7

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FAMILY: INCIDENT RESPONSE CLASS: OPERATIONAL 

IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, incident response policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the incident response policy 

and associated incident response controls. 

Supplemental Guidance: The incident response policy and procedures are consistent with applicable

federal laws, directives, policies, regulations, standards, and guidance. The incident response 

policy can be included as part of the general information security policy for the organization. 

Incident response procedures can be developed for the security program in general, and for a 

particular information system, when required. NIST Special Publication 800-61 provides 

guidance on incident handling and reporting. NIST Special Publication 800-12 provides guidance 

on security policies and procedures.

Control Enhancements: None. 

LOW IR-1 MOD IR-1 HIGH IR-1

IR-2 INCIDENT RESPONSE TRAINING 

Control: The organization trains personnel in their incident response roles and responsibilities with

respect to the information system and provides refresher training [Assignment: organizationdefined frequency, at least annually].

Supplemental Guidance: None.

Control Enhancements:

(1) The organization incorporates simulated events into incident response training to facilitate 

effective response by personnel in crisis situations. 

(2) The organization employs automated mechanisms to provide a more thorough and realistic 

training environment. 

LOW Not Selected MOD IR-2 HIGH IR-2 (1)

IR-3 INCIDENT RESPONSE TESTING 

Control: The organization tests the incident response capability for the information system 

[Assignment: organization-defined frequency, at least annually] using [Assignment: organizationdefined tests and exercises] to determine the incident response effectiveness and documents the

results. 

Supplemental Guidance: None.

Control Enhancements:

(1) The organization employs automated mechanisms to more thoroughly and effectively test the 

incident response capability.

LOW Not Selected MOD IR-3 HIGH IR-3 (1)

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IR-4 INCIDENT HANDLING

Control: The organization implements an incident handling capability for security incidents that 

includes preparation, detection and analysis, containment, eradication, and recovery. 

Supplemental Guidance: The organization incorporates the lessons learned from ongoing incident

handling activities into the incident response procedures and implements the procedures

accordingly. 

Control Enhancements:

(1) The organization employs automated mechanisms to support the incident handling process. 

LOW IR-4 MOD IR-4 (1) HIGH IR-4 (1)

IR-5 INCIDENT MONITORING 

Control: The organization tracks and documents information system security incidents on an 

ongoing basis.

Supplemental Guidance: None.

Control Enhancements:

(1) The organization employs automated mechanisms to assist in the tracking of security incidents 

and in the collection and analysis of incident information. 

LOW Not Selected MOD IR-5 HIGH IR-5 (1)

IR-6 INCIDENT REPORTING 

 Control: The organization promptly reports incident information to appropriate authorities. 

Supplemental Guidance: The types of incident information reported, the content and timeliness of

the reports, and the list of designated reporting authorities or organizations are consistent with

applicable federal laws, directives, policies, regulations, standards, and guidance. In addition to

incident information, weaknesses and vulnerabilities in the information system are reported to

appropriate organizational officials in a timely manner to prevent security incidents. NIST Special 

Publication 800-61 provides guidance on incident reporting. 

Control Enhancements:

(1) The organization employs automated mechanisms to assist in the reporting of security incidents. 

LOW IR-6 MOD IR-6 (1) HIGH IR-6 (1)

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IR-7 INCIDENT RESPONSE ASSISTANCE

 Control: The organization provides an incident response support resource that offers advice and 

assistance to users of the information system for the handling and reporting of security incidents. 

The support resource is an integral part of the organization’s incident response capability. 

Supplemental Guidance: Possible implementations of incident response support resources in an 

organization include a help desk or an assistance group and access to forensics services, when

required. 

Control Enhancements:

(1) The organization employs automated mechanisms to increase the availability of incident responserelated information and support.

LOW IR-7 MOD IR-7 (1) HIGH IR-7 (1)

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FAMILY: MAINTENANCE CLASS: OPERATIONAL

MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, information system maintenance policy that addresses purpose, scope, roles,

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the 

information system maintenance policy and associated system maintenance controls. 

Supplemental Guidance: The information system maintenance policy and procedures are consistent

with applicable federal laws, directives, policies, regulations, standards, and guidance. The 

information system maintenance policy can be included as part of the general information security

policy for the organization. System maintenance procedures can be developed for the security

program in general, and for a particular information system, when required. NIST Special

Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements: None. 

LOW MA-1 MOD MA-1 HIGH MA-1

MA-2 PERIODIC MAINTENANCE 

Control: The organization schedules, performs, and documents routine preventative and regular 

maintenance on the components of the information system in accordance with manufacturer or 

vendor specifications and/or organizational requirements. 

Supplemental Guidance: Appropriate organizational officials approve the removal of the information 

system or information system components from the facility when repairs are necessary. If the

information system or component of the system requires off-site repair, the organization removes 

all information from associated media using approved procedures. After maintenance is

performed on the information system, the organization checks the security features to ensure that

they are still functioning properly. 

Control Enhancements: 

(1) The organization maintains a maintenance log for the information system that includes: (i) the date 

and time of maintenance; (ii) name of the individual performing the maintenance; (iii) name of

escort, if necessary; (iv) a description of the maintenance performed; and (v) a list of equipment 

removed or replaced (including identification numbers, if applicable). 

(2) The organization employs automated mechanisms to ensure that periodic maintenance is

scheduled and conducted as required, and that a log of maintenance actions, both needed and 

completed, is up-to date, accurate, complete, and available. 

LOW MA-2 MOD MA-2 (1) HIGH MA-2 (1) (2)

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MA-3 MAINTENANCE TOOLS

Control: The organization approves, controls, and monitors the use of information system

maintenance tools and maintains the tools on an ongoing basis. 

Supplemental Guidance: None.

Control Enhancements: 

(1) The organization inspects all maintenance tools (e.g., diagnostic and test equipment) carried into a

facility by maintenance personnel for obvious improper modifications. 

(2) The organization checks all media containing diagnostic test programs (e.g., software or firmware 

used for system maintenance or diagnostics) for malicious code before the media are used in the 

information system.

(3) The organization checks all maintenance equipment with the capability of retaining information to 

ensure that no organizational information is written on the equipment or the equipment is 

appropriately sanitized before release; if the equipment cannot be sanitized, the equipment 

remains within the facility or is destroyed, unless an appropriate organization official explicitly

authorizes an exception. 

(4) The organization employs automated mechanisms to ensure only authorized personnel use

maintenance tools. 

LOW Not Selected MOD MA-3 HIGH MA-3 (1) (2) (3)

MA-4 REMOTE MAINTENANCE 

Control: The organization approves, controls, and monitors remotely executed maintenance and 

diagnostic activities. 

Supplemental Guidance: The organization describes the use of remote diagnostic tools in the 

security plan for the information system. The organization maintains maintenance logs for all 

remote maintenance, diagnostic, and service activities. Appropriate organization officials 

periodically review maintenance logs. Other techniques to consider for improving the security of 

remote maintenance include: (i) encryption and decryption of diagnostic communications; (ii)

strong identification and authentication techniques, such as Level 3 or 4 tokens as described in

NIST Special Publication 800-63; and (iii) remote disconnect verification. When remote 

maintenance is completed, the organization (or information system in certain cases) terminates all 

sessions and remote connections. If password-based authentication is used during remote 

maintenance, the organization changes the passwords following each remote maintenance service. 

For high-impact information systems, if remote diagnostic or maintenance services are required 

from a service or organization that does not implement for its own information system the same

level of security as that implemented on the system being serviced, the system being serviced is 

sanitized and physically separated from other information systems before the connection of the 

remote access line. If the information system cannot be sanitized (e.g., due to a system failure), 

remote maintenance is not allowed. 

Control Enhancements: 

(1) The organization audits all remote maintenance sessions, and appropriate organizational 

personnel review the audit logs of the remote sessions. 

(2) The organization addresses the installation and use of remote diagnostic links in the security plan 

for the information system. 

(3) Remote diagnostic or maintenance services are acceptable if performed by a service or 

organization that implements for its own information system the same level of security as that

implemented on the information system being serviced. 

LOW MA-4 MOD MA-4 HIGH MA-4 (1) (2) (3)

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MA-5 MAINTENANCE PERSONNEL 

Control: The organization maintains a list of personnel authorized to perform maintenance on the 

information system. Only authorized personnel perform maintenance on the information system. 

Supplemental Guidance: Maintenance personnel have appropriate access authorizations to the

information system when maintenance activities allow access to organizational information. 

When maintenance personnel do not have needed access authorizations, organizational personnel 

with appropriate access authorizations supervise maintenance personnel during the performance of 

maintenance activities on the information system. 

Control Enhancements: None.

LOW MA-5 MOD MA-5 HIGH MA-5

MA-6 TIMELY MAINTENANCE 

Control: The organization obtains maintenance support and spare parts for [Assignment: 

organization-defined list of key information system components] within [Assignment: 

organization-defined time period] of failure.

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD MA-6 HIGH MA-6 

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FAMILY: MEDIA PROTECTION CLASS: OPERATIONAL 

MP-1 MEDIA PROTECTION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, media protection policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the media protection policy and 

associated media protection controls. 

Supplemental Guidance: The media protection policy and procedures are consistent with applicable 

federal laws, directives, policies, regulations, standards, and guidance. The media protection 

policy can be included as part of the general information security policy for the organization. 

Media protection procedures can be developed for the security program in general, and for a 

particular information system, when required. NIST Special Publication 800-12 provides 

guidance on security policies and procedures.

Control Enhancements: None. 

LOW MP-1 MOD MP-1 HIGH MP-1

MP-2 MEDIA ACCESS

Control: The organization ensures that only authorized users have access to information in printed 

form or on digital media removed from the information system. 

Supplemental Guidance: None.

Control Enhancements: 

(1) Unless guard stations control access to media storage areas, the organization employs automated 

mechanisms to ensure only authorized access to such storage areas and to audit access attempts

and access granted. 

LOW MP-2 MOD MP-2 HIGH MP-2 (1)

MP-3 MEDIA LABELING 

Control: The organization affixes external labels to removable information storage media and 

information system output indicating the distribution limitations and handling caveats of the 

information. The organization exempts the following specific types of media or hardware

components from labeling so long as they remain within a secure environment: [Assignment:

organization-defined list of media types and hardware components].

Supplemental Guidance: The organization marks human-readable output appropriately in

accordance with applicable policies and procedures. At a minimum, the organization affixes 

printed output that is not otherwise appropriately marked, with cover sheets and labels digital 

media with the distribution limitations, handling caveats, and applicable security markings, if any, 

of the information. 

Control Enhancements: None. 

LOW Not Selected MOD MP-3 HIGH MP-3

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MP-4 MEDIA STORAGE 

Control: The organization physically controls and securely stores information system media, both

paper and digital, based on the highest FIPS 199 security category of the information recorded on

the media. 

Supplemental Guidance: The organization protects information system media until the media are 

destroyed or sanitized using approved equipment, techniques, and procedures. The organization 

protects unmarked media at the highest FIPS 199 security category for the information system

until the media are reviewed and appropriately labeled.

Control Enhancements: None. 

LOW Not Selected MOD MP-4 HIGH MP-4

MP-5 MEDIA TRANSPORT 

Control: The organization controls information system media (paper and digital) and restricts the 

pickup, receipt, transfer, and delivery of such media to authorized personnel. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD MP-5 HIGH MP-5

MP-6 MEDIA SANITIZATION AND DISPOSAL

Control: The organization: (i) sanitizes information system media, both paper and digital, prior to

disposal or release for reuse; (ii) tracks, documents, and verifies media sanitization actions; and 

(iii) periodically tests sanitization equipment and procedures to ensure correct performance. 

Supplemental Guidance: Sanitization is the process used to remove information from information 

system media such that there is reasonable assurance, in proportion to the confidentiality of the 

information, that the information cannot be retrieved or reconstructed. Sanitization techniques,

including clearing, purging, and destroying media information, ensure that organizational

information is not disclosed to unauthorized individuals when such media is reused or disposed. 

The organization uses its discretion on sanitization techniques and procedures for media 

containing information deemed to be in the public domain or deemed to have no adverse impact

on the organization if released for reuse or disposed. The National Security Agency provides

media sanitization guidance and maintains a listing of approved sanitization products at 

http://www.nsa.gov/ia/government/mdg.cfm. NIST Special Publication 800-88 provides guidance

on media sanitization. 

Control Enhancements: None. 

LOW MP-6 MOD MP-6 HIGH MP-6

 

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FAMILY: PHYSICAL AND ENVIRONMENTAL PROTECTION CLASS: OPERATIONAL 

PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, physical and environmental protection policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the 

physical and environmental protection policy and associated physical and environmental

protection controls. 

Supplemental Guidance: The physical and environmental protection policy and procedures are 

consistent with applicable federal laws, directives, policies, regulations, standards, and guidance.

The physical and environmental protection policy can be included as part of the general

information security policy for the organization. Physical and environmental protection

procedures can be developed for the security program in general, and for a particular information

system, when required. NIST Special Publication 800-12 provides guidance on security policies 

and procedures.

Control Enhancements: None. 

LOW PE-1 MOD PE-1 HIGH PE-1

PE-2 PHYSICAL ACCESS AUTHORIZATIONS 

Control: The organization develops and keeps current lists of personnel with authorized access to

facilities containing information systems (except for those areas within the facilities officially 

designated as publicly accessible) and issues appropriate authorization credentials (e.g., badges, 

identification cards, smart cards). Designated officials within the organization review and approve

the access list and authorization credentials [Assignment: organization-defined frequency, at least

annually].

Supplemental Guidance: The organization promptly removes personnel no longer requiring access

from access lists. 

Control Enhancements: None. 

LOW PE-2 MOD PE-2 HIGH PE-2

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PE-3 PHYSICAL ACCESS CONTROL 

Control: The organization controls all physical access points (including designated entry/exit 

points) to facilities containing information systems (except for those areas within the facilities 

officially designated as publicly accessible) and verifies individual access authorizations before 

granting access to the facilities. The organization also controls access to areas officially 

designated as publicly accessible, as appropriate, in accordance with the organization’s assessment 

of risk. 

Supplemental Guidance: The organization uses physical access devices (e.g., keys, locks, 

combinations, card readers) and/or guards to control entry to facilities containing information

systems. The organization secures keys, combinations, and other access devices and inventories 

those devices regularly. The organization changes combinations and keys: (i) periodically; and (ii)

when keys are lost, combinations are compromised, or individuals are transferred or terminated. 

After an emergency-related event, the organization restricts reentry to facilities to authorized

individuals only. Workstations and associated peripherals connected to (and part of) an

organizational information system may be located in areas designated as publicly accessible with 

access to such devices being appropriately controlled. Where federal Personal Identity 

Verification (PIV) credential is used as an identification token and token-based access control is 

employed, the access control system conforms to the requirements of FIPS 201 and NIST Special 

Publication 800-73. If the token-based access control function employs cryptographic 

verification, the access control system conforms to the requirements of NIST Special Publication 

800-78. If the token-based access control function employs biometric verification, the access 

control system conforms to the requirements of NIST Special Publication 800-76. 

Control Enhancements: None. 

LOW PE-3 MOD PE-3 HIGH PE-3

PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM 

Control: The organization controls physical access to information system distribution and 

transmission lines within organizational facilities to prevent accidental damage, eavesdropping, intransit modification, disruption, or physical tampering. 

Supplemental Guidance: Protective measures to control physical access to information system

distribution and transmission lines include: (i) locked wiring closets; (ii) disconnected or locked

spare jacks; and/or (iii) protection of cabling by conduit or cable trays. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH PE-4

PE-5 ACCESS CONTROL FOR DISPLAY MEDIUM 

Control: The organization controls physical access to information system devices that display 

information to prevent unauthorized individuals from observing the display output. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD PE-5 HIGH PE-5

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PE-6 MONITORING PHYSICAL ACCESS 

Control: The organization monitors physical access to information systems to detect and respond to 

incidents.

Supplemental Guidance: The organization reviews physical access logs periodically, investigates 

apparent security violations or suspicious physical access activities, and takes remedial actions. 

Control Enhancements:

(1) The organization monitors real-time intrusion alarms and surveillance equipment. 

(2) The organization employs automated mechanisms to ensure potential intrusions are recognized 

and appropriate response actions initiated. 

LOW PE-6 MOD PE-6 (1) HIGH PE-6 (1) (2)

PE-7 VISITOR CONTROL 

Control: The organization controls physical access to information systems by authenticating 

visitors before authorizing access to facilities or areas other than areas designated as publicly 

accessible. 

Supplemental Guidance: Government contractors and others with permanent authorization 

credentials are not considered visitors. Personal Identity Verification (PIV) credentials for federal 

government employees and contractors conform to FIPS 201, and the issuing organizations for the

PIV credentials are accredited in accordance with the provisions of NIST Special Publication 800-

79. 

Control Enhancements:

(1) The organization escorts visitors and monitors visitor activity, when required. 

LOW PE-7 MOD PE-7 (1) HIGH PE-7 (1)

PE-8 ACCESS LOGS

Control: The organization maintains a visitor access log to facilities (except for those areas within 

the facilities officially designated as publicly accessible) that includes: (i) name and organization 

of the person visiting; (ii) signature of the visitor; (iii) form of identification; (iv) date of access; 

(v) time of entry and departure; (vi) purpose of visit; and (vii) name and organization of person

visited. Designated officials within the organization review the access logs [Assignment: 

organization-defined frequency].

Supplemental Guidance: None.

Control Enhancements:

(1) The organization employs automated mechanisms to facilitate the maintenance and review of 

access logs. 

LOW PE-8 MOD PE-8 HIGH PE-8 (1)

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PE-9 POWER EQUIPMENT AND POWER CABLING 

Control: The organization protects power equipment and power cabling for the information system

from damage and destruction.

Supplemental Guidance: None.

Control Enhancements:

(1) The organization employs redundant and parallel power cabling paths. 

LOW Not Selected MOD PE-9 HIGH PE-9

PE-10 EMERGENCY SHUTOFF 

Control: For specific locations within a facility containing concentrations of information system

resources (e.g., data centers, server rooms, mainframe rooms), the organization provides the 

capability of shutting off power to any information technology component that may be 

malfunctioning (e.g., due to an electrical fire) or threatened (e.g., due to a water leak) without 

endangering personnel by requiring them to approach the equipment. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD PE-10 HIGH PE-10

PE-11 EMERGENCY POWER 

Control: The organization provides a short-term uninterruptible power supply to facilitate an

orderly shutdown of the information system in the event of a primary power source loss. 

Supplemental Guidance: None.

Control Enhancements:

(1) The organization provides a long-term alternate power supply for the information system that is

capable of maintaining minimally required operational capability in the event of an extended loss of 

the primary power source. 

(2) The organization provides a long-term alternate power supply for the information system that is

self-contained and not reliant on external power generation. 

LOW Not Selected MOD PE-11 HIGH PE-11 (1)

PE-12 EMERGENCY LIGHTING

Control: The organization employs and maintains automatic emergency lighting systems that 

activate in the event of a power outage or disruption and that cover emergency exits and 

evacuation routes. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW PE-12 MOD PE-12 HIGH PE-12

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PE-13 FIRE PROTECTION

Control: The organization employs and maintains fire suppression and detection devices/systems

that can be activated in the event of a fire. 

Supplemental Guidance: Fire suppression and detection devices/systems include, but are not limited

to, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.

Control Enhancements:

(1) Fire suppression and detection devices/systems activate automatically in the event of a fire. 

(2) Fire suppression and detection devices/systems provide automatic notification of any activation to

the organization and emergency responders. 

LOW PE-13 MOD PE-13 (1) HIGH PE-13 (1) (2)

PE-14 TEMPERATURE AND HUMIDITY CONTROLS

Control: The organization regularly maintains, within acceptable levels, and monitors the 

temperature and humidity within facilities containing information systems. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW PE-14 MOD PE-14 HIGH PE-14

PE-15 WATER DAMAGE PROTECTION 

Control: The organization protects the information system from water damage resulting from

broken plumbing lines or other sources of water leakage by ensuring that master shutoff valves are 

accessible, working properly, and known to key personnel. 

Supplemental Guidance: None.

Control Enhancements:

(1) The organization employs automated mechanisms to automatically close shutoff valves in the

event of a significant water leak. 

LOW PE-15 MOD PE-15 HIGH PE-15 (1)

PE-16 DELIVERY AND REMOVAL 

Control: The organization controls information system-related items (i.e., hardware, firmware, 

software) entering and exiting the facility and maintains appropriate records of those items. 

Supplemental Guidance: The organization controls delivery areas and, if possible, isolates the areas

from the information system and media libraries to avoid unauthorized access. Appropriate 

organizational officials authorize the delivery or removal of information system-related items

belonging to the organization.

Control Enhancements: None. 

LOW PE-16 MOD PE-16 HIGH PE-16

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PE-17 ALTERNATE WORK SITE 

Control: Individuals within the organization employ appropriate information system security 

controls at alternate work sites. 

Supplemental Guidance: NIST Special Publication 800-46 provides guidance on security in

telecommuting and broadband communications. The organization provides a means for 

employees to communicate with information system security staff in case of security problems. 

Control Enhancements: None. 

LOW Not Selected MOD PE-17 HIGH PE-17

PE-18 LOCATION OF INFORMATION SYSTEM COMPONENTS 

Control: The organization positions information system components within the facility to minimize 

potential damage from physical and environmental hazards and to minimize the opportunity for 

unauthorized access. 

Supplemental Guidance: Physical and environmental hazards include, for example, flooding, 

vandalism, electrical interference, electromagnetic radiation, eating and drinking within proximity. 

Control Enhancements: None. 

LOW Not Selected MOD PE-18 HIGH PE-18

PE-19 INFORMATION LEAKAGE 

Control: The organization protects the information system from information leakage due to

electromagnetic signals emanations. 

Supplemental Guidance: The FIPS 199 security categorization (for confidentiality) of the 

information system and organizational security policy guides the application of safeguards and 

countermeasures employed to protect the information system against information leakage due to 

electromagnetic signals emanations. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

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FAMILY: PLANNING CLASS: MANAGEMENT

PL-1 SECURITY PLANNING POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, security planning policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the security planning policy 

and associated security planning controls. 

Supplemental Guidance: The security planning policy and procedures are consistent with applicable 

federal laws, directives, policies, regulations, standards, and guidance. The security planning 

policy can be included as part of the general information security policy for the organization. 

Security planning procedures can be developed for the security program in general, and for a 

particular information system, when required. NIST Special Publication 800-18 provides 

guidance on security planning. NIST Special Publication 800-12 provides guidance on security

policies and procedures. 

Control Enhancements: None. 

LOW PL-1 MOD PL-1 HIGH PL-1

PL-2 SYSTEM SECURITY PLAN

Control: The organization develops and implements a security plan for the information system that

provides an overview of the security requirements for the system and a description of the security

controls in place or planned for meeting those requirements. Designated officials within the 

organization review and approve the plan. 

Supplemental Guidance: NIST Special Publication 800-18 provides guidance on security planning. 

Control Enhancements: None. 

LOW PL-2 MOD PL-2 HIGH PL-2

PL-3 SYSTEM SECURITY PLAN UPDATE

Control: The organization reviews the security plan for the information system [Assignment: 

organization-defined frequency] and revises the plan to address system/organizational changes or 

problems identified during plan implementation or security control assessments. 

Supplemental Guidance: Significant changes are defined in advance by the organization and

identified in the configuration management process. 

Control Enhancements: None. 

LOW PL-3 MOD PL-3 HIGH PL-3

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PL-4 RULES OF BEHAVIOR

Control: The organization establishes and makes readily available to all information system users a 

set of rules that describes their responsibilities and expected behavior with regard to information

and information system usage. The organization receives signed acknowledgement from users

indicating that they have read, understand, and agree to abide by the rules of behavior, before

authorizing access to the information system and its resident information.

Supplemental Guidance: Electronic signatures are acceptable for use in acknowledging rules of 

behavior. NIST Special Publication 800-18 provides guidance on preparing rules of behavior. 

Control Enhancements: None.

LOW PL-4 MOD PL-4 HIGH PL-4

PL-5 PRIVACY IMPACT ASSESSMENT 

Control: The organization conducts a privacy impact assessment on the information system. 

Supplemental Guidance: OMB Memorandum 03-22 provides guidance for implementing the privacy

provisions of the E-Government Act of 2002. Only those information systems identified and/or 

covered by OMB policy are required to have privacy impact assessments. NIST Special 

Publication 800-53 provides tailoring guidance for security control baselines to ensure that the 

employment of specific security controls is consistent with applicable federal laws, directives, 

policies, regulations, standards, and guidance. 

Control Enhancements: None.

LOW PL-5 MOD PL-5 HIGH PL-5

PL-6 SECURITY-RELATED ACTIVITY PLANNING 

Control: The organization ensures that appropriate planning and coordination occur before

conducting security-related activities affecting the information system in order to minimize the 

impact on organizational operations (i.e., mission, functions, image, and reputation) and 

organizational assets. 

Supplemental Guidance: Routine security-related activities include, but are not limited to, security 

assessments, audits, system hardware and software maintenance, security certifications, and 

testing/exercises. 

Control Enhancements: None.

LOW Not Selected MOD PL-6 HIGH PL-6

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FAMILY: PERSONNEL SECURITY CLASS: OPERATIONAL

PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES 

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, personnel security policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the personnel security policy 

and associated personnel security controls. 

Supplemental Guidance: The personnel security policy and procedures are consistent with

applicable federal laws, directives, policies, regulations, standards, and guidance. The personnel

security policy can be included as part of the general information security policy for the 

organization. Personnel security procedures can be developed for the security program in general,

and for a particular information system, when required. NIST Special Publication 800-12

provides guidance on security policies and procedures.

Control Enhancements: None. 

LOW PS-1 MOD PS-1 HIGH PS-1

PS-2 POSITION CATEGORIZATION

Control: The organization assigns a risk designation to all positions and establishes screening 

criteria for individuals filling those positions. The organization reviews and revises position risk

designations [Assignment: organization-defined frequency].

Supplemental Guidance: Position risk designations are consistent with 5 CFR 731.106(a) and Office 

of Personnel Management policy and guidance. 

Control Enhancements: None. 

LOW PS-2 MOD PS-2 HIGH PS-2

PS-3 PERSONNEL SCREENING

Control: The organization screens individuals requiring access to organizational information and 

information systems before authorizing access. 

Supplemental Guidance: Screening is consistent with: (i) 5 CFR 731.106(a); (ii) Office of Personnel 

Management policy, regulations, and guidance; (iii) organizational policy, regulations, and 

guidance; (iv) FIPS 201 and Special Publications 800-73, 800-76, and 800-78; and (v) the criteria 

established for the risk designation of the assigned position.

Control Enhancements: None. 

LOW PS-3 MOD PS-3 HIGH PS-3

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PS-4 PERSONNEL TERMINATION 

Control: When employment is terminated, the organization terminates information system access, 

conducts exit interviews, ensures the return of all organizational information system-related

property (e.g., keys, identification cards, building passes), and ensures that appropriate personnel 

have access to official records created by the terminated employee that are stored on 

organizational information systems. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW PS-4 MOD PS-4 HIGH PS-4

PS-5 PERSONNEL TRANSFER 

Control: The organization reviews information systems/facilities access authorizations when 

individuals are reassigned or transferred to other positions within the organization and initiates 

appropriate actions (e.g., reissuing keys, identification cards, building passes; closing old accounts 

and establishing new accounts; and changing system access authorizations). 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW PS-5 MOD PS-5 HIGH PS-5

PS-6 ACCESS AGREEMENTS 

Control: The organization completes appropriate access agreements (e.g., nondisclosure 

agreements, acceptable use agreements, rules of behavior, conflict-of-interest agreements) for 

individuals requiring access to organizational information and information systems before 

authorizing access and reviews/updates the agreements [Assignment: organization-defined

frequency].

Supplemental Guidance: None.

Control Enhancements: None. 

LOW PS-6 MOD PS-6 HIGH PS-6

PS-7 THIRD-PARTY PERSONNEL SECURITY 

Control: The organization establishes personnel security requirements including security roles and 

responsibilities, for third-party providers (e.g., service bureaus, contractors, and other 

organizations providing information system development, information technology services, 

outsourced applications, network and security management) and monitors provider compliance to

ensure adequate security. 

Supplemental Guidance: The organization explicitly includes personnel security requirements in 

acquisition-related documents. NIST Special Publication 800-35 provides guidance on

information technology security services. 

Control Enhancements: None. 

LOW PS-7 MOD PS-7 HIGH PS-7

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PS-8 PERSONNEL SANCTIONS 

Control: The organization employs a formal sanctions process for personnel failing to comply with

established information security policies and procedures. 

Supplemental Guidance: The sanctions process is consistent with applicable federal laws, directives, 

policies, regulations, standards, and guidance. The sanctions process can be included as part of

the general personnel policies and procedures for the organization. 

Control Enhancements: None. 

LOW PS-8 MOD PS-8 HIGH PS-8

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FAMILY: RISK ASSESSMENT CLASS: MANAGEMENT

RA-1 RISK ASSESSMENT POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented risk assessment policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; and (ii) 

formal, documented procedures to facilitate the implementation of the risk assessment policy and

associated risk assessment controls. 

Supplemental Guidance: The risk assessment policy and procedures are consistent with applicable 

federal laws, directives, policies, regulations, standards, and guidance. The risk assessment policy 

can be included as part of the general information security policy for the organization. Risk 

assessment procedures can be developed for the security program in general, and for a particular 

information system, when required. NIST Special Publications 800-30 provides guidance on the 

assessment of risk. NIST Special Publication 800-12 provides guidance on security policies and 

procedures. 

Control Enhancements: None. 

LOW RA-1 MOD RA-1 HIGH RA-1

RA-2 SECURITY CATEGORIZATION 

Control: The organization categorizes the information system and the information processed, 

stored, or transmitted by the system in accordance with FIPS 199 and documents the results 

(including supporting rationale) in the system security plan. Designated senior-level officials 

within the organization review and approve the security categorizations. 

Supplemental Guidance: NIST Special Publication 800-60 provides guidance on determining the 

security categories of the information types resident on the information system. The organization 

conducts security categorizations as an organization-wide activity with the involvement of the 

chief information officer, senior agency information security officer, information system owners, 

and information owners. 

Control Enhancements: None.

LOW RA-2 MOD RA-2 HIGH RA-2

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RA-3 RISK ASSESSMENT 

Control: The organization conducts assessments of the risk and magnitude of harm that could result

from the unauthorized access, use, disclosure, disruption, modification, or destruction of 

information and information systems that support the operations and assets of the agency

(including information and information systems managed/operated by external parties). 

Supplemental Guidance: Risk assessments take into account vulnerabilities, threat sources, and

security controls planned or in place to determine the resulting level of residual risk posed to 

organizational operations, organizational assets, or individuals based on the operation of the 

information system. Risk assessments also take into account risk posed to organizational

operations, organizational assets, or individuals from external parties (e.g., service providers, 

contractors operating information systems on behalf of the organization, individuals accessing 

organizational information systems, outsourcing entities). NIST Special Publication 800-30

provides guidance on conducting risk assessments including threat, vulnerability, and impact 

assessments. 

Control Enhancements: None. 

LOW RA-3 MOD RA-3 HIGH RA-3

RA-4 RISK ASSESSMENT UPDATE 

Control: The organization updates the risk assessment [Assignment: organization-defined

frequency] or whenever there are significant changes to the information system, the facilities 

where the system resides, or other conditions that may impact the security or accreditation status 

of the system. 

Supplemental Guidance: The organization develops and documents specific criteria for what is

considered significant change to the information system. NIST Special Publication 800-30 

provides guidance on conducting risk assessment updates. 

Control Enhancements: None. 

LOW RA-4 MOD RA-4 HIGH RA-4

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RA-5 VULNERABILITY SCANNING

Control: The organization scans for vulnerabilities in the information system [Assignment:

organization-defined frequency] or when significant new vulnerabilities affecting the system are 

identified and reported. 

Supplemental Guidance: Vulnerability scanning is conducted using appropriate scanning tools and

techniques. The organization trains selected personnel in the use and maintenance of vulnerability 

scanning tools and techniques. Vulnerability scans are scheduled and/or random in accordance

with organizational policy and assessment of risk. The information obtained from the 

vulnerability scanning process is freely shared with appropriate personnel throughout the 

organization to help eliminate similar vulnerabilities in other information systems. Vulnerability 

analysis for custom software and applications may require additional, more specialized approaches 

(e.g., vulnerability scanning tools for applications, source code reviews, static analysis of source 

code). NIST Special Publication 800-42 provides guidance on network security testing. NIST 

Special Publication 800-40 (Version 2) provides guidance on patch and vulnerability management. 

Control Enhancements:

(1) Vulnerability scanning tools include the capability to readily update the list of information system 

vulnerabilities scanned. 

(2) The organization updates the list of information system vulnerabilities scanned [Assignment: 

organization-defined frequency] or when significant new vulnerabilities are identified and reported. 

(3) Vulnerability scanning procedures include means to ensure adequate scan coverage, both 

vulnerabilities checked and information system components scanned. 

LOW Not Selected MOD RA-5 HIGH RA-5 (1) (2)

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FAMILY: SYSTEM AND SERVICES ACQUISITION CLASS: MANAGEMENT

SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, system and services acquisition policy that addresses purpose, scope, roles,

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the system

and services acquisition policy and associated system and services acquisition controls. 

Supplemental Guidance: The system and services acquisition policy and procedures are consistent

with applicable federal laws, directives, policies, regulations, standards, and guidance. The system

and services acquisition policy can be included as part of the general information security policy 

for the organization. System and services acquisition procedures can be developed for the security 

program in general, and for a particular information system, when required. NIST Special

Publication 800-12 provides guidance on security policies and procedures. 

Control Enhancements: None. 

LOW SA-1 MOD SA-1 HIGH SA-1

SA-2 ALLOCATION OF RESOURCES

Control: The organization determines, documents, and allocates as part of its capital planning and 

investment control process the resources required to adequately protect the information system. 

Supplemental Guidance: The organization includes the determination of security requirements for 

the information system in mission/business case planning and establishes a discrete line item for 

information system security in the organization’s programming and budgeting documentation. 

NIST Special Publication 800-65 provides guidance on integrating security into the capital

planning and investment control process.

Control Enhancements: None. 

LOW SA-2 MOD SA-2 HIGH SA-2

SA-3 LIFE CYCLE SUPPORT 

Control: The organization manages the information system using a system development life cycle 

methodology that includes information security considerations. 

Supplemental Guidance: NIST Special Publication 800-64 provides guidance on security 

considerations in the system development life cycle. 

Control Enhancements: None. 

LOW SA-3 MOD SA-3 HIGH SA-3

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SA-4 ACQUISITIONS

Control: The organization includes security requirements and/or security specifications, either 

explicitly or by reference, in information system acquisition contracts based on an assessment of

risk. 

Supplemental Guidance: 

Solicitation Documents 

The solicitation documents (e.g., Requests for Proposals) for information systems and services 

include, either explicitly or by reference, security requirements that describe: (i) required security 

capabilities; (ii) required design and development processes; (iii) required test and evaluation

procedures; and (iv) required documentation. The requirements in the solicitation documents 

permit updating security controls as new threats/vulnerabilities are identified and as new 

technologies are implemented. NIST Special Publication 800-53 provides guidance on

recommended security controls for federal information systems to meet minimum security 

requirements for information systems categorized in accordance with FIPS 199. NIST Special 

Publication 800-36 provides guidance on the selection of information security products. NIST 

Special Publication 800-35 provides guidance on information technology security services. NIST 

Special Publication 800-64 provides guidance on security considerations in the system

development life cycle. 

Use of Tested, Evaluated, and Validated Products

NIST Special Publication 800-23 provides guidance on the acquisition and use of tested/evaluated

information technology products.

Configuration Settings and Implementation Guidance 

The information system required documentation includes security configuration settings and

security implementation guidance. NIST Special Publication 800-70 provides guidance on

configuration settings for information technology products. 

Control Enhancements: None. 

LOW SA-4 MOD SA-4 HIGH SA-4

SA-5 INFORMATION SYSTEM DOCUMENTATION 

Control: The organization ensures that adequate documentation for the information system and its

constituent components is available, protected when required, and distributed to authorized 

personnel.

Supplemental Guidance: Administrator and user guides include information on: (i) configuring,

installing, and operating the information system; and (ii) effectively using the system’s security 

features. 

Control Enhancements:

(1) The organization includes documentation, if available from the vendor/manufacturer, describing 

the functional properties of the security controls employed within the information system with 

sufficient detail to permit analysis and testing of the controls. 

(2) The organization includes documentation, if available from the vendor/manufacturer, describing 

the design and implementation details of the security controls employed within the information 

system with sufficient detail to permit analysis and testing of the controls (including functional 

interfaces among control components). 

LOW SA-5 MOD SA-5 (1) HIGH SA-5 (1) (2)

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SA-6 SOFTWARE USAGE RESTRICTIONS 

Control: The organization complies with software usage restrictions. 

Supplemental Guidance: Software and associated documentation are used in accordance with 

contract agreements and copyright laws. For software and associated documentation protected by

quantity licenses, the organization employs tracking systems to control copying and distribution. 

The organization controls and documents the use of publicly accessible peer-to-peer file sharing 

technology to ensure that this capability is not used for the unauthorized distribution, display, 

performance, or reproduction of copyrighted work. 

Control Enhancements: None. 

LOW SA-6 MOD SA-6 HIGH SA-6

SA-7 USER INSTALLED SOFTWARE

Control: The organization enforces explicit rules governing the downloading and installation of 

software by users. 

Supplemental Guidance: If provided the necessary privileges, users have the ability to download and

install software. The organization identifies what types of software downloads and installations

are permitted (e.g., updates and security patches to existing software) and what types of

downloads and installations are prohibited (e.g., software that is free only for personal, not

government, use). The organization also restricts the use of install-on-demand software. 

Control Enhancements: None.

LOW SA-7 MOD SA-7 HIGH SA-7

SA-8 SECURITY DESIGN PRINCIPLES

Control: The organization designs and implements the information system using security

engineering principles. 

Supplemental Guidance: NIST Special Publication 800-27 provides guidance on engineering 

principles for information system security. 

Control Enhancements: None. 

LOW Not Selected MOD SA-8 HIGH SA-8

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SA-9 OUTSOURCED INFORMATION SYSTEM SERVICES 

Control: The organization ensures that third-party providers of information system services employ

adequate security controls in accordance with applicable federal laws, directives, policies,

regulations, standards, guidance, and established service level agreements. The organization 

monitors security control compliance. 

Supplemental Guidance: Third-party providers are subject to the same information system security 

policies and procedures of the supported organization, and must conform to the same security 

control and documentation requirements as would apply to the organization’s internal systems. 

Appropriate organizational officials approve outsourcing of information system services to thirdparty providers (e.g., service bureaus, contractors, and other external organizations). The

outsourced information system services documentation includes government, service provider, and 

end user security roles and responsibilities, and any service level agreements. Service level 

agreements define the expectations of performance for each required security control, describe 

measurable outcomes, and identify remedies and response requirements for any identified instance

of non-compliance. NIST Special Publication 800-35 provides guidance on information

technology security services. NIST Special Publication 800-64 provides guidance on the security

considerations in the system development life cycle. 

Control Enhancements: None. 

LOW SA-9 MOD SA-9 HIGH SA-9

SA-10 DEVELOPER CONFIGURATION MANAGEMENT 

Control: The information system developer creates and implements a configuration management

plan that controls changes to the system during development, tracks security flaws, requires 

authorization of changes, and provides documentation of the plan and its implementation. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH SA-10

SA-11 DEVELOPER SECURITY TESTING 

Control: The information system developer creates a security test and evaluation plan, implements 

the plan, and documents the results. Developmental security test results may be used in support of

the security certification and accreditation process for the delivered information system.

Supplemental Guidance: Developmental security test results should only be used when no security 

relevant modifications of the information system have been made subsequent to developer testing 

and after selective verification of developer test results. 

Control Enhancements: None.

LOW Not Selected MOD SA-11 HIGH SA-11

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FAMILY: SYSTEM AND COMMUNICATIONS PROTECTION CLASS: TECHNICAL 

SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, system and communications protection policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the system

and communications protection policy and associated system and communications protection 

controls. 

Supplemental Guidance: The system and communications protection policy and procedures are 

consistent with applicable federal laws, directives, policies, regulations, standards, and guidance.

The system and communications protection policy can be included as part of the general

information security policy for the organization. System and communications protection 

procedures can be developed for the security program in general, and for a particular information

system, when required. NIST Special Publication 800-12 provides guidance on security policies 

and procedures.

Control Enhancements: None. 

LOW SC-1 MOD SC-1 HIGH SC-1

SC-2 APPLICATION PARTITIONING

Control: The information system separates user functionality (including user interface services) 

from information system management functionality. 

Supplemental Guidance: The information system physically or logically separates user interface 

services (e.g., public web pages) from information storage and management services (e.g.,

database management). Separation may be accomplished through the use of different computers, 

different central processing units, different instances of the operating system, different network

addresses, combinations of these methods, or other methods as appropriate. 

Control Enhancements: None. 

LOW Not Selected MOD SC-2 HIGH SC-2

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SC-3 SECURITY FUNCTION ISOLATION

Control: The information system isolates security functions from nonsecurity functions. 

Supplemental Guidance: The information system isolates security functions from nonsecurity

functions by means of partitions, domains, etc., including control of access to and integrity of, the 

hardware, software, and firmware that perform those security functions. The information system

maintains a separate execution domain (e.g., address space) for each executing process.

Control Enhancements:

(1) The information system employs underlying hardware separation mechanisms to facilitate security

function isolation. 

(2) The information system further divides the security functions with the functions enforcing access 

and information flow control isolated and protected from both nonsecurity functions and from

other security functions. 

(3) The information system minimizes the amount of nonsecurity functions included within the 

isolation boundary containing security functions. 

(4) The information system security maintains its security functions in largely independent modules 

that avoid unnecessary interactions between modules. 

(5) The information system security maintains its security functions in a layered structure minimizing 

interactions between layers of the design. 

LOW Not Selected MOD Not Selected HIGH SC-3

SC-4 INFORMATION REMNANTS

Control: The information system prevents unauthorized and unintended information transfer via 

shared system resources. 

Supplemental Guidance: Control of information system remnants, sometimes referred to as object 

reuse, prevents information, including encrypted representations of information, produced by the 

actions of a prior user/role (or the actions of a process acting on behalf of a prior user/role) from

being available to any current user/role (or current process) that obtains access to a shared system

resource (e.g., registers, main memory, secondary storage) after that resource has been released 

back to the information system. 

Control Enhancements: None. 

LOW Not Selected MOD SC-4 HIGH SC-4

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SC-5 DENIAL OF SERVICE PROTECTION

Control: The information system protects against or limits the effects of the following types of 

denial of service attacks: [Assignment: organization-defined list of types of denial of service 

attacks or reference to source for current list].

Supplemental Guidance: A variety of technologies exist to limit, or in some cases, eliminate the 

effects of denial of service attacks. For example, network perimeter devices can filter certain

types of packets to protect devices on an organization’s internal network from being directly

affected by denial of service attacks. Information systems that are publicly accessible can be 

protected by employing increased capacity and bandwidth combined with service redundancy.

Control Enhancements:

(1) The information system restricts the ability of users to launch denial of service attacks against 

other information systems or networks. 

(2) The information system manages excess capacity, bandwidth, or other redundancy to limit the 

effects of information flooding types of denial of service attacks. 

LOW SC-5 MOD SC-5 HIGH SC-5

SC-6 RESOURCE PRIORITY

Control: The information system limits the use of resources by priority. 

Supplemental Guidance: Priority protection ensures that a lower-priority process is not able to

interfere with the information system servicing any higher-priority process. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

SC-7 BOUNDARY PROTECTION

Control: The information system monitors and controls communications at the external boundary

of the information system and at key internal boundaries within the system.

Supplemental Guidance: Any connections to the Internet, or other external networks or information 

systems, occur through devices known as controlled interfaces (e.g., proxies, gateways, routers, 

firewalls, encrypted tunnels). The operational failure of the boundary protection mechanisms does 

not result in any unauthorized release of information outside of the information system boundary

or any unauthorized communication through the information system boundary. Information

system boundary protections at any designated alternate processing sites provide the same levels 

of protection as that of the primary site. 

Control Enhancements:

(1) The organization physically allocates publicly accessible information system components (e.g., 

public web servers) to separate subnetworks with separate, physical network interfaces. The 

organization prevents public access into the organization’s internal networks except as 

appropriately mediated. 

LOW SC-7 MOD SC-7 (1) HIGH SC-7 (1)

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SC-8 TRANSMISSION INTEGRITY

Control: The information system protects the integrity of transmitted information.

Supplemental Guidance: The FIPS 199 security category (for integrity) of the information being

transmitted should guide the decision on the use of cryptographic mechanisms. NSTISSI No. 

7003 contains guidance on the use of Protective Distribution Systems. NIST Special Publication 

800-52 provides guidance on protecting transmission integrity using Transport Layer Security 

(TLS). NIST Special Publication 800-77 provides guidance on protecting transmission integrity 

using IPsec.

Control Enhancements:

(1) The organization employs cryptographic mechanisms to ensure recognition of changes to

information during transmission unless otherwise protected by alternative physical measures (e.g., 

protective distribution systems). 

LOW Not Selected MOD SC-8 HIGH SC-8 (1)

SC-9 TRANSMISSION CONFIDENTIALITY

Control: The information system protects the confidentiality of transmitted information.

Supplemental Guidance: The FIPS 199 security category (for confidentiality) of the information

being transmitted should guide the decision on the use of cryptographic mechanisms. NSTISSI 

No. 7003 contains guidance on the use of Protective Distribution Systems. NIST Special

Publication 800-52 provides guidance on protecting transmission confidentiality using Transport 

Layer Security (TLS). NIST Special Publication 800-77 provides guidance on protecting

transmission confidentiality using IPsec. 

Control Enhancements:

(1) The organization employs cryptographic mechanisms to prevent unauthorized disclosure of

information during transmission unless otherwise protected by alternative physical measures (e.g., 

protective distribution systems). 

LOW Not Selected MOD SC-9 HIGH SC-9 (1)

SC-10 NETWORK DISCONNECT

Control: The information system terminates a network connection at the end of a session or after

[Assignment: organization-defined time period] of inactivity.

Supplemental Guidance: None.

Control Enhancements: None.

LOW Not Selected MOD SC-10 HIGH SC-10

SC-11 TRUSTED PATH

Control: The information system establishes a trusted communications path between the user and 

the security functionality of the system. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

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SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Control: The information system employs automated mechanisms with supporting procedures or

manual procedures for cryptographic key establishment and key management. 

Supplemental Guidance: NIST Special Publication 800-56 provides guidance on cryptographic key 

establishment. NIST Special Publication 800-57 provides guidance on cryptographic key

management. 

Control Enhancements: None. 

LOW Not Selected MOD SC-12 HIGH SC-12

SC-13 USE OF VALIDATED CRYPTOGRAPHY

Control: When cryptography is employed within the information system, the cryptography 

complies with applicable federal laws, directives, policies, regulations, standards, and guidance,

including FIPS 140-2 which requires the system to perform all cryptographic operations

(including key generation) using FIPS 140-2 validated cryptographic modules operating in

approved modes of operation. 

Supplemental Guidance: NIST Special Publication 800-56 provides guidance on cryptographic key 

establishment. NIST Special Publication 800-57 provides guidance on cryptographic key

management. 

Control Enhancements: None. 

LOW SC-13 MOD SC-13 HIGH SC-13

SC-14 PUBLIC ACCESS PROTECTIONS

Control: For publicly available systems, the information system protects the integrity of the 

information and applications. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW SC-14 MOD SC-14 HIGH SC-14

SC-15 COLLABORATIVE COMPUTING

Control: The information system prohibits remote activation of collaborative computing 

mechanisms (e.g., video and audio conferencing) and provides an explicit indication of use to the 

local users (e.g., use of camera or microphone).

Supplemental Guidance: None. 

Control Enhancements:

(1) The information system provides physical disconnect of camera and microphone in a manner that 

supports ease of use. 

LOW Not Selected MOD SC-15 HIGH SC-15

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SC-16 TRANSMISSION OF SECURITY PARAMETERS

Control: The information system reliably associates security parameters (e.g., security labels and 

markings) with information exchanged between information systems. 

Supplemental Guidance: Security parameters may be explicitly or implicitly associated with the 

information contained within the information system. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

SC-17 PUBLIC KEY INFRASTRUCTURE CERTIFICATES

Control: The organization develops and implements a certificate policy and certification practice 

statement for the issuance of public key certificates used in the information system. 

Supplemental Guidance: Registration to receive a public key certificate includes authorization by a 

supervisor or a responsible official, and is done by a secure process that verifies the identity of the 

certificate holder and ensures that the certificate is issued to the intended party. NIST Special 

Publication 800-32 provides guidance on public key technology. NIST Special Publication 800-

63 provides guidance on remote electronic authentication. 

Control Enhancements: None. 

LOW Not Selected MOD SC-17 HIGH SC-17

SC-18 MOBILE CODE

Control: The organization: (i) establishes usage restrictions and implementation guidance for 

mobile code technologies based on the potential to cause damage to the information system if used

maliciously; and (ii) documents, monitors, and controls the use of mobile code within the 

information system. Appropriate organizational officials authorize the use of mobile code. 

Supplemental Guidance: Mobile code technologies include, for example, Java, JavaScript, ActiveX, 

PDF, Postscript, Shockwave movies, Flash animations, and VBScript. Usage restrictions and 

implementation guidance apply to both the selection and use of mobile code installed on

organizational servers and mobile code downloaded and executed on individual workstations. 

Control procedures prevent the development, acquisition, or introduction of unacceptable mobile 

code within the information system. NIST Special Publication 800-28 provides guidance on

active content and mobile code. Additional information on risk-based approaches for the 

implementation of mobile code technologies can be found at: http://iase.disa.mil/mcp/index.html. 

Control Enhancements: None. 

LOW Not Selected MOD SC-18 HIGH SC-18

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SC-19 VOICE OVER INTERNET PROTOCOL

Control: The organization: (i) establishes usage restrictions and implementation guidance for 

Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the 

information system if used maliciously; and (ii) documents, monitors, and controls the use of

VoIP within the information system. Appropriate organizational officials authorize the use of 

VoIP.

Supplemental Guidance: NIST Special Publication 800-58 provides guidance on security 

considerations for VoIP technologies employed in information systems. 

Control Enhancements: None.

LOW Not Selected MOD SC-19 HIGH SC-19

SC-20 SECURE NAME LOOKUP SERVICE (AUTHORITATIVE SOURCE)

Control: The information system (i.e., authoritative domain name servers) that provides the name

lookup service for accessing organizational information resources to entities across the Internet 

provides artifacts for data origin authentication and data integrity to enable users to obtain 

message authentication and message integrity assurances for the information received during 

network-based transactions. 

Supplemental Guidance: NIST Special Publication 800-81 provides guidance on secure domain

name system deployment. 

Control Enhancements:

(1) The information system verifies the authenticity of the artifacts for data origin authentication and 

data integrity (i.e., public key) of any subsidiary (child) zone in the name space in instances where 

the subsidiary (child) zone possesses this capability (i.e., provides these artifacts). 

LOW Not Selected MOD SC-20 HIGH SC-20

SC-21 SECURE NAME LOOKUP SERVICE (RESOLUTION)

Control: The information system (i.e., authoritative domain name servers) that provides the name

lookup service for accessing information resources to entities within the organization provides 

mechanisms for data origin authentication and data integrity verification and performs these 

services when requested by client systems. 

Supplemental Guidance: NIST Special Publication 800-81 provides guidance on secure domain

name system deployment. 

Control Enhancements:

(1) The information system performs data origin authentication and data integrity verification for all 

information received whether or not client systems issue such requests. 

LOW Not Selected MOD Not Selected HIGH SC-21

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FAMILY: SYSTEM AND INFORMATION INTEGRITY CLASS: OPERATIONAL

SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES

Control: The organization develops, disseminates, and periodically reviews/updates: (i) a formal, 

documented, system and information integrity policy that addresses purpose, scope, roles,

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and (ii) formal, documented procedures to facilitate the implementation of the system

and information integrity policy and associated system and information integrity controls. 

Supplemental Guidance: The system and information integrity policy and procedures are consistent

with applicable federal laws, directives, policies, regulations, standards, and guidance. The system

and information integrity policy can be included as part of the general information security policy 

for the organization. System and information integrity procedures can be developed for the 

security program in general, and for a particular information system, when required. NIST Special 

Publication 800-12 provides guidance on security policies and procedures.

Control Enhancements: None. 

LOW SI-1 MOD SI-1 HIGH SI-1

SI-2 FLAW REMEDIATION 

Control: The organization identifies, reports, and corrects information system flaws. 

Supplemental Guidance: The organization identifies information systems containing software 

affected by recently announced software flaws (and potential vulnerabilities resulting from those 

flaws). Proprietary software can be found in either commercial/government off-the-shelf 

information technology component products or in custom-developed applications. The 

organization (or the software developer/vendor in the case of software developed and maintained

by a vendor/contractor) promptly installs newly released security relevant patches, service packs,

and hot fixes, and tests patches, service packs, and hot fixes for effectiveness and potential side

effects on the organization’s information systems before installation. Flaws discovered during

security assessments, continuous monitoring (See security controls CA-2, CA-4, or CA-7), or

incident response activities (See security control IR-4) should also be addressed expeditiously. 

NIST Special Publication 800-40 (Version 2), provides guidance on security patch installation and 

patch management. 

Control Enhancements:

(1) The organization centrally manages the flaw remediation process and installs updates 

automatically without individual user intervention. 

(2) The organization employs automated mechanisms to periodically and upon command determine 

the state of information system components with regard to flaw remediation. 

LOW SI-2 MOD SI-2 HIGH SI-2

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SI-3 MALICIOUS CODE PROTECTION 

Control: The information system implements malicious code protection that includes a capability 

for automatic updates.

Supplemental Guidance: The organization employs malicious code protection mechanisms at critical 

information system entry and exit points (e.g., firewalls, electronic mail servers, web servers, 

proxy servers, remote-access servers) and at workstations, servers, or mobile computing devices 

on the network. The organization uses the malicious code protection mechanisms to detect and

eradicate malicious code (e.g., viruses, worms, Trojan horses, spyware) transported: (i) by 

electronic mail, electronic mail attachments, Internet accesses, removable media (e.g., diskettes or 

compact disks), or other common means; or (ii) by exploiting information system vulnerabilities. 

The organization updates malicious code protection mechanisms (including the latest virus 

definitions) whenever new releases are available in accordance with organizational configuration

management policy and procedures. Consideration is given to using malicious code protection 

software products from multiple vendors (e.g., using one vendor for boundary devices and servers 

and another vendor for workstations). NIST Special Publication 800-83 provides guidance on

implementing malicious code protection. 

Control Enhancements:

(1) The organization centrally manages malicious code protection mechanisms. 

(2) The information system automatically updates malicious code protection mechanisms. 

LOW SI-3 MOD SI-3 (1) HIGH SI-3 (1) (2)

SI-4 INFORMATION SYSTEM MONITORING TOOLS AND TECHNIQUES 

Control: The organization employs tools and techniques to monitor events on the information

system, detect attacks, and provide identification of unauthorized use of the system. 

Supplemental Guidance: Information system monitoring capability can be achieved through a variety 

of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious 

code protection software, log monitoring software, network monitoring software, network forensic

analysis tools). Monitoring devices can be strategically deployed within the information system

(e.g., at selected perimeter locations, near server farms supporting critical applications) to collect 

essential information. Monitoring devices can also be deployed at ad hoc locations within the

system to track specific transactions (See related security control AC-8 for system use 

notification). Additionally, these devices can be used to track the impact of security changes to 

the information system. The granularity of the information collected can be determined by the 

organization based upon its monitoring objectives and the capability of the information system to

support such activities. NIST Special Publication 800-83 provides guidance on detecting 

malware-based attacks through malicious code protection software. NIST Special Publication

800-61 provides guidance on detecting attacks through various types of security technologies. 

Control Enhancements:

(1) The organization networks individual intrusion detection tools into a systemwide intrusion 

detection system using common protocols. 

(2) The organization employs automated tools to support near-real-time analysis of events in support 

of detecting system-level attacks. 

(3) The organization employs automated tools to integrate intrusion detection tools into access 

control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of

these mechanisms in support of attack isolation and elimination. 

(4) The information system monitors inbound and outbound communications for unusual or 

unauthorized activities indicating the presence of malware (e.g., malicious code, spyware, adware). 

LOW Not Selected MOD SI-4 HIGH SI-4

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SI-5 SECURITY ALERTS AND ADVISORIES 

 Control: The organization receives information system security alerts/advisories on a regular basis,

issues alerts/advisories to appropriate personnel, and takes appropriate actions in response. 

Supplemental Guidance: The organization documents the types of actions to be taken in response to

security alerts/advisories. The organization also maintains contact with special interest groups 

(e.g., information security forums) that: (i) facilitate sharing of security-related information (e.g., 

threats, vulnerabilities, and latest security technologies); (ii) provide access to advice from security 

professionals; and (iii) improve knowledge of security best practices. NIST Special Publication

800-40 provides guidance on monitoring and distributing security alerts and advisories. 

Control Enhancements: 

(1) The organization employs automated mechanisms to make security alert and advisory information

available throughout the organization as needed. 

LOW SI-5 MOD SI-5 HIGH SI-5

SI-6 SECURITY FUNCTIONALITY VERIFICATION 

Control: The information system verifies, to the extent feasible, the correct operation of security 

functions [Selection (one or more): upon system startup and restart, upon command by user with

appropriate privilege, periodically every [Assignment: organization-defined time-period]] and

[Selection (one or more): notifies system administrator, shuts the system down, restarts the 

system] when anomalies are discovered. 

Supplemental Guidance: None.

Control Enhancements:

(1) The organization employs automated mechanisms to provide notification of failed security tests. 

(2) The organization employs automated mechanisms to support management of distributed security

testing. 

LOW Not Selected MOD Not Selected HIGH SI-6

SI-7 SOFTWARE AND INFORMATION INTEGRITY 

Control: The information system detects and protects against unauthorized changes to software and 

information.

Supplemental Guidance: The organization employs integrity verification applications on the 

information system to look for evidence of information tampering, errors, and omissions. The 

organization employs good software engineering practices with regard to commercial off-the-shelf

integrity mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and

uses tools to automatically monitor the integrity of the information system and the applications it 

hosts. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH SI-7

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SI-8 SPAM PROTECTION

Control: The information system implements spam protection.

Supplemental Guidance: The organization employs spam protection mechanisms at critical 

information system entry points (e.g., firewalls, electronic mail servers, remote-access servers) and 

at workstations, servers, or mobile computing devices on the network. The organization uses the 

spam protection mechanisms to detect and take appropriate action on unsolicited messages 

transported by electronic mail, electronic mail attachments, Internet accesses, or other common 

means. Consideration is given to using spam protection software products from multiple vendors 

(e.g., using one vendor for boundary devices and servers and another vendor for workstations). 

NIST Special Publication 800-45 provides guidance on electronic mail security. 

Control Enhancements:

(1) The organization centrally manages spam protection mechanisms. 

(2) The information system automatically updates spam protection mechanisms.

LOW Not Selected MOD SI-8 HIGH SI-8 (1)

SI-9 INFORMATION INPUT RESTRICTIONS 

Control: The organization restricts the information input to the information system to authorized 

personnel only. 

Supplemental Guidance: Restrictions on personnel authorized to input information to the 

information system may extend beyond the typical access controls employed by the system and 

include limitations based on specific operational/project responsibilities. 

Control Enhancements: None. 

LOW Not Selected MOD SI-9 HIGH SI-9

SI-10 INFORMATION ACCURACY, COMPLETENESS, VALIDITY, AND AUTHENTICITY

Control: The information system checks information for accuracy, completeness, validity, and

authenticity. 

Supplemental Guidance: Checks for accuracy, completeness, validity, and authenticity of 

information should be accomplished as close to the point of origin as possible. Rules for checking

the valid syntax of information system inputs (e.g., character set, length, numerical range, 

acceptable values) are in place to ensure that inputs match specified definitions for format and 

content. Inputs passed to interpreters should be prescreened to ensure the content is not

unintentionally interpreted as commands. The extent to which the information system is able to

check the accuracy, completeness, validity, and authenticity of information should be guided by 

organizational policy and operational requirements. 

Control Enhancements: None.

LOW Not Selected MOD SI-10 HIGH SI-10

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SI-11 ERROR HANDLING

Control: The information system identifies and handles error conditions in an expeditious manner. 

Supplemental Guidance: The structure and content of error messages should be carefully considered

by the organization. User error messages generated by the information system should provide 

timely and useful information to users without revealing information that could be exploited by

adversaries. System error messages should be revealed only to authorized personnel (e.g., systems 

administrators, maintenance personnel). Sensitive information (e.g., account numbers, social 

security numbers, and credit card numbers) should not be listed in error logs or associated 

administrative messages. The extent to which the information system is able to identify and 

handle error conditions should be guided by organizational policy and operational requirements. 

Control Enhancements: None. 

LOW Not Selected MOD SI-11 HIGH SI-11

SI-12 INFORMATION OUTPUT HANDLING AND RETENTION 

Control: The organization handles and retains output from the information system in accordance 

with organizational policy and operational requirements. 

Supplemental Guidance: None.

Control Enhancements: None. 

LOW Not Selected MOD SI-12 HIGH SI-12

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APPENDIX G

SECURITY CONTROL MAPPINGS 

RELATIONSHIP OF SECURITY CONTROLS TO OTHER STANDARDS AND CONTROL SETS 

he mapping table in this appendix provides organizations with a general indication of 

Special Publication 800-53 security control coverage with respect to other frequently 

referenced security control standards and control sets.34 The security control mappings are 

not exhaustive and are based on a broad interpretation and general understanding of the control 

sets being compared. The mappings are created by using the primary security topic identified in 

each of the Special Publication 800-53 security controls and associated control enhancements (if 

any) and searching for a similar security topic in the other referenced security control standards 

and control sets. Security controls with similar functional meaning are included in the mapping 

table. For example, Special Publication 800-53 contingency planning and ISO/IEC 17799 

business continuity were deemed to have similar, but not exactly the same, functionality. In some 

instances, similar topics are addressed in the security control sets but provide a different context, 

perspective, or scope. For example, Special Publication 800-53 addresses information flow 

broadly in terms of assigned authorizations for controlling access between source and destination 

objects, whereas ISO/IEC 17799 addresses the information flow more narrowly as it applies to 

interconnected network domains. And finally, the following cautionary notes are in order: 

T 

• The granularity of the security controls sets being compared is not always the same. This 

difference in granularity makes the security control mappings less precise in some instances. 

Therefore, the mappings should not be used as a “checklist” for the express purpose of 

comparing security capabilities or security implementations across information systems 

assessed against different control sets. 

• Some of the control sets referenced in this appendix (e.g., Department of Defense Instruction 

8500.2) are organized into groups of security controls with each group reflecting different 

levels of protection. When the security control groups reflect a hierarchical enhancement of 

another group, only the paragraph reference from the lowest hierarchical group where the 

security topic first occurred is listed in the mapping column. 

Organizations are encouraged to use the mapping table only as a starting point for conducting

further analyses and interpretation of control similarity and associated coverage when comparing 

disparate control sets.

 

34 The security control mapping table includes references to: (i) ISO/IEC 17799: June 2005, Code of Practice for 

Information Security Management; (ii) NIST Special Publication 800-26, Security Self-Assessment Guide for 

Information Technology Systems; (iii) GAO, Federal Information System Controls Audit Manual; (iv) Director of 

Central Intelligence Directive 6/3 Policy and Manual, Protecting Sensitive Compartmented Information within

Information Systems; and (v) Department of Defense Instruction 8500.2, Information Assurance Implementation. The

designations in the respective columns indicate the paragraph identifier(s) or number(s) in the above documents where 

the security controls, control objectives, or associated implementation guidance may be found. 

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CNTL 

NO. CONTROL NAME ISO/IEC 17799 

NIST 

800-26 

GAO

FISCAM

DOD 

8500.2 

DCID 6/335

Access Control

AC-1 Access Control Policy and 

Procedures 

11.1.1 

11.4.1 

15.1.1 

15. 

16. 

--- ECAN-1 

ECPA-1 

PRAS-1 

DCAR-1 

2.B.4.e(5) 

4.B.1.a(1)(b) 

AC-2 Account Management 6.2.2 

6.2.3 

8.3.3 

11.2.1 

11.2.2 

11.2.4 

11.7.2 

6.1.8 

15.1.1 

15.1.4 

15.1.5 

15.1.8 

15.2.2 

16.1.3 

16.1.5 

16.2.12 

AC-2.1 

AC-2.2 

AC-3.2 

SP-4.1 

IAAC-1 4.B.2.a(3) 

AC-3 Access Enforcement 11.2.4 

11.4.5 

10.1.2 

15.1.1 

16.1.1 

16.1.2 

16.1.3 

16.1.7 

16.1.9 

16.2.1 

16.2.7 

16.2.10 

16.2.11 

16.2.15 

AC-2 

AC-3.2 

DCFA-1 

ECAN-1 

EBRU-1 

PRNK-1 

ECCD-1 

ECSD-2 

Discretionary

Access Control 

(DAC): 4.B.2.a(2)

Mandatory 

Access Control 

(MAC): 4.B.4.a(3)

AC-4 Information Flow Enforcement 10.6.2 

11.4.5 

11.4.6 

11.4.7 

--- --- EBBD-1

EBBD-2 

4.B.3.a(3) 

7.B.3.g 

AC-5 Separation of Duties 10.1.3 

10.6.1 

10.10.1 

6.1.1 

6.1.2 

6.1.3 

15.2.1 

16.1.2 

17.1.5 

AC-3.2 

SD-1.2 

ECLP-1 2.A.1 

4.B.3.a(18) 

AC-6 Least Privilege 11.2.2 16.1.2 

16.1.3 

17.1.5 

AC-3.2 ECLP-1 4.B.2.a(10)

AC-7 Unsuccessful Login Attempts 11.5.1 15.1.14 AC-3.2 ECLO-1 4.B.2.a(17)(c)-(d)

AC-8 System Use Notification 11.5.1 

15.1.5 

12.1.4 

16.2.13 

16.3.1 

17.1.9 

AC-3.2 ECWM-1 4.B.1.a(6)

 

35 References in this column are to both DCI Directive 6/3 and to its Manual (Administrative update, December 2003). 

Paragraphs cited from the Directive are preceded by “DCID” and where there are also references for the same control 

from the Manual, these are preceded by “Manual.” Where only paragraph numbers appear, they are references to the 

Manual. References to paragraphs in the Manual should be construed to encompass all subparagraphs related to those 

paragraphs. It should also be noted that Special Publication 800-53 contains a set of security controls that cover 

personnel, physical, and technical security measures, and therefore, the scope of the publication is broader than DCID 

6/3. Some of the controls in Special Publication 800-53 are explicitly not included in DCID 6/3 because they are 

addressed in other DCID and Intelligence Community (IC) policy documents. The difference in scope/breadth between 

Special Publication 800-53 and DCID 6/3 impacts the degree of correlation between the two documents. Thus, the lack 

of a “mapping” for a particular Special Publication 800-53 control to a DCID 6/3 requirement does not mean that there 

is no similar IC requirement. The IC Translation Review Board provided information for the DCID 6/3 mapping. 

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GAO

FISCAM

DOD 

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AC-9 Previous Logon Notification 11.5.1 --- AC-3.2 ECLO-2 ---

AC-10 Concurrent Session Control --- --- --- ECLO-1 4.B.2.a(17)(a)

AC-11 Session Lock 11.3.2 16.1.4 AC-3.2 PESL-1 4.B.1.a(5)

AC-12 Session Termination 11.3.2 

11.5.5 

16.1.4 

16.2.6 

AC-3.2 --- 4.B.2.a(17)(b)

AC-13 Supervision and Review—Access

Control 

10.10.2 

11.2.4 

7.1.10 

11.2.2 

16.1.10 

16.2.5 

17.1.6 

17.1.7 

AC-4 

AC-4.3 

SS-2.2 

ECAT-1 

ECAT-2 

E3.3.9 

2.B.7.c 

4.B.3.a(8)(b) 

AC-14 Permitted Actions without 

Identification or Authentication 

--- 16.2.12 --- --- 7.D.3.a

AC-15 Automated Marking 7.2.2 8.2.4 

16.1.6 

AC-3.2 ECML-1 4.B.2.a(11)

AC-16 Automated Labeling 7.2.2 16.1.6 AC-3.2 ECML-1 4.B.1.a(3) 

4.B.4.a(15) 

4.B.4.a(16) 

AC-17 Remote Access 11.4.2 

11.4.3 

11.4.4 

16.2.4 

16.2.8 

AC-3.2 EBRP-1 

EBRU-1 

4.B.1.a(1)(b) 

4.B.3.a(11) 

7.D.2.e 

AC-18 Wireless Access Restrictions 11.4.2 

11.7.1 

11.7.2 

--- --- ECCT-1 

ECWN-1 

4.B.1.a(8) 

5.B.3.a(11) 

AC-19 Access Control for Portable and 

Mobile Systems 

11.7.1 7.3.1 

7.3.2 

--- ECWN-1 8.B.6.c 

9.G.4 

AC-20 Personally Owned Information 

Systems 

6.1.4 

9.2.5 

11.7.1 

10.2.13 --- --- 8.B.6.c

Awareness and Training

AT-1 Security Awareness and Training

Policy and Procedures 

5.1.1 

8.2.2 

15.1.1 

13. --- PRTN-1 

DCAR-1 

DCID: B.3.c 

Manual: 

2.B.2.b(8); 

2.B.4.e(6) 

AT-2 Security Awareness 6.2.3 

8.2.2 

10.4.1 

11.7.1 

13.1.1 

14.1.4 

15.1.4 

13.1.4 

13.1.5 

--- PRTN-1 8.B.1 

AT-3 Security Training 8.2.2 

10.3.2 

11.7.1 

13.1.1 

14.1.4 

13.1 

13.1.3 

13.1.5 

--- PRTN-1 8.B.1 

AT-4 Security Training Records --- 13.1.2 --- --- 8.B.1

AT-5 Contacts with Security Groups and 

Associations 

6.1.7 --- --- --- ---

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NIST 

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GAO

FISCAM

DOD 

8500.2 

DCID 6/335

Audit and Accountability

AU-1 Audit and Accountability Policy and 

Procedures 

10.10 

15.1.1 

17. --- ECAT-1 

ECTB-1 

DCAR-1 

DCID: B.2.d 

Manual: 

2.B.4.e(5); 

4.B.2.a(4) 

AU-2 Auditable Events 10.10.1 17.1.1 

17.1.2 

17.1.4 

--- ECAR-3 4.B.2.a(4)(d)

AU-3 Content of Audit Records 10.10.1 

10.10.4 

17.1.1 --- ECAR-1 

ECAR-2 

ECAR-3 

ECLC-1 

4.B.2.a(4)(a) 

4.B.2.a(5)(a) 

AU-4 Audit Storage Capacity 10.10.3 --- --- --- 5.B.2.a(5)(a)(1)

AU-5 Audit Processing 10.10.3 --- --- --- 4.B.4.a(9)(d)

AU-6 Audit Monitoring, Analysis, and

Reporting 

10.10.2 

10.10.4 

13.2.1 

16.2.5 

17.1.7 

17.1.8 

AC-4.3 ECAT-1 

E3.3.9 

4.B.4.a(10) 

AU-7 Audit Reduction and Report 

Generation 

10.10.3 17.1.2 

17.1.7 

--- ECRG-1 4.B.3.a(6)

AU-8 Time Stamps 10.10.6 --- --- ECAR-1 4.B.2.a(4)(a)

AU-9 Protection of Audit Information 10.10.3 

15.1.3 

15.3.2 

17.1.3 

17.1.4 

--- ECTP-1 4.B.2.a(4)(b)

AU-10 Non-repudiation 10.8.2 

10.9.1 

12.3.1 

15.1.2 

17.1.1 

--- DCNR-1 5.B.3.a(8)

AU-11 Audit Retention 10.10.1 

15.1.3 

17.1.4 --- ECRR-1 4.B.2.a(4)(c)

Certification, Accreditation, and Security Assessments

CA-1 Certification, Accreditation, and

Security Assessment Policies and 

Procedures 

6.1.4 

10.3.2 

15.1.1 

2. 

4. 

--- DCAR-1 

DCII-1 

DCID: B.3 

Manual: 

2.B.2.b(1) 

CA-2 Security Assessments 6.1.8 

15.2.1 

15.2.2 

2.1.1 

2.1.3 

2.1.4 

SP-5.1 DCII-1 

ECMT-1 

PEPS-1 

E3.3.10 

DCID: B.2.b; 

B.3.a 

Manual: 

4.B.2.b(6); 

5.B.1.b(1); 

9.B.1; 

9.B.4 

CA-3 Information System Connections 10.6.2 

10.9.1 

11.4.5 

11.4.6 

11.4.7 

1.1.1 

3.2.9 

4.1.8 

12.2.3 

CC-2.1 DCID-1 

EBCR-1 

EBRU-1 

EBPW-1 

ECIC-1 

9.B.3 

9.D.3.c 

CA-4 Security Certification 10.3.2 2.1.2 

3.2.3 

3.2.5 

3.2.6 

4.1.1 

4.1.6 

11.2.8 

12.2.5 

CC-2.1 DCAR-1 

5.7.5 

DCID: B.3 

Manual: 

4.B.3.b(8); 

9.E.2.a(2); 

9.E.2.a(3) 

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NIST 

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GAO

FISCAM

DOD 

8500.2 

DCID 6/335

CA-5 Plan of Action and Milestones 15.2.1 1.1.5 

1.2.3 

2.2.1 

4.2.1 

SP-5.1 

SP-5.2 

5.7.5 9.E.2.a(3)(a)

CA-6 Security Accreditation 10.3.2 3.2.7 

12.2.5 

--- 5.7.5 DCID: B.3 

Manual: 

9.D.3; 

9.D.4 

CA-7 Continuous Monitoring 15.2.1 

15.2.2 

10.2.1 --- DCCB-1

DCPR-1 

E3.3.9 

DCID: B.2.d; 

Manual: 

2.B.4.e(7); 

2.B.5.c(10); 

5.B.2.b(2); 

9.B.1; 

9.D.7 

Configuration Management

CM-1 Configuration Management Policy

and Procedures 

12.4.1 

12.5.1 

15.1.1

--- --- DCCB-1 

DCPR-1 

DCAR-1 

E3.3.8 

DCID: B.2.a 

Manual: 

2.B.4.e(5); 

5.B.2.a(5) 

CM-2 Baseline Configuration and System

Component Inventory

7.1.1 

15.1.2 

1.1.1 

3.1.9 

10.2.7 

10.2.9 

12.1.4 

CC-2.3 

CC-3.1 

SS-1.2 

DCHW-1 

DCSW-1 

2.B.7.c(7) 

4.B.1.c(3) 

4.B.2.b(6) 

CM-3 Configuration Change Control 10.1.2 

10.2.3 

12.4.1 

12.5.1 

12.5.2 

12.5.3 

3.1.4 

10.2.2 

10.2.3 

10.2.8 

10.2.10 

10.2.11 

SS-3.2 

CC-2.2 

DCPR-1 2.B.7.c(7)

4.B.1.c(3) 

4.B.2.b(6) 

5.B.2.a(5) 

CM-4 Monitoring Configuration Changes 10.1.2 10.2.1 

10.2.4 

SS-3.1 

SS-3.2 

CC-2.1 

DCPR-1 

3.3.8 

2.B.7.c(7) 

4.B.1.c(3) 

5.B.2.b(2) 

8.B.8.c(7) 

CM-5 Access Restrictions for Change 11.6.1 6.1.3 

6.1.4 

10.1.1 

10.1.4 

10.1.5 

SD-1.1 

SS-1.2 

SS-2.1 

DCPR-1 

ECSD-2 

5.B.3.a(2)(b) 

CM-6 Configuration Settings --- 10.2.6

10.3.1 

16.2.2 

16.2.3 

16.2.11 

--- DCSS-1 

ECSC-1 

3.3.8 

4.B.2.a(10) 

CM-7 Least Functionality --- 10.3.1 --- DCPP-1 

ECIM-1 

ECVI-1 

3.3.8 

4.B.2.a(10) 

7.D.2.b 

Contingency Planning

CP-1 Contingency Planning Policy and

Procedures 

5.1.1 

10.4.1 

14.1.1 

14.1.3 

15.1.1 

9. --- COBR-1 

DCAR-1 

2.B.4.e(5) 

6.B.1.a(1) 

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NIST 

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GAO

FISCAM

DOD 

8500.2 

DCID 6/335

CP-2 Contingency Plan 10.3.2 

10.4.1 

10.8.5 

14.1.3 

14.1.4 

4.1.4 

9.1.1 

9.2 

9.2.1 

9.2.2 

9.2.3 

9.2.10 

12.1.8 

12.2.2 

SC-3.1 

SC-1.1 

CODP-1 

COEF-1 

6.B.2.b(1) 

CP-3 Contingency Training 14.1.3 

 14.1.4 

9.3.2 SC-2.3 PRTN-1 8.B.1

CP-4 Contingency Plan Testing 10.5.1 

14.1.5 

4.1.4 

9.3.3 

SC-3.1 COED-1 6.B.3.b(2)(b)

CP-5 Contingency Plan Update 14.1.3 

14.1.5 

9.3.1 

9.3.3 

10.2.12 

SC-2.1 

SC-3.1 

DCAR-1 6.B.3.b(2)

CP-6 Alternate Storage Sites 10.5.1 9.2.4 

9.2.5 

9.2.7 

9.2.9 

SC-2.1 

SC-3.1 

CODB-2 6.B.2.a(2) 

6.B.3.a(2)(d) 

CP-7 Alternate Processing Sites 14.1.4 9.1.3 

9.2.4 

9.2.5 

9.2.7 

9.2.9 

SC-2.1 

SC-3.1 

COAS-1 

COEB-1 

COSP-1 

COSP-2 

6.B.3.a(2)(d) 

CP-8 Telecommunications Services 14.1.4 --- --- --- 6.B.2.a(4)

CP-9 Information System Backup 10.5.1 

11.7.1 

9.1.1 

9.2.6 

9.2.9 

9.3.1 

12.1.9 

SC-2.1 CODB-1 

CODB-2 

COSW-1 

6.B.1.a(2) 

CP-10 Information System Recovery and 

Reconstitution 

14.1.4 9.2.8 SC-2.1 COTR-1 

ECND-1 

4.B.1.a(4) 

6.B.1.a(1) 

6.B.2.a(3)(d) 

Identification and Authentication

IA-1 Identification and Authentication

Policy and Procedures 

15.1.1 11.2.3 --- IAIA-1 

DCAR-1 

DCID: B.2.a 

Manual: 

2.B.4.e(5) 

IA-2 User Identification and 

Authentication 

11.2.3 

11.4.2 

11.5.2 

15.1 --- IAIA-1 4.B.2.a(7)

IA-3 Device Identification and

Authentication 

11.4.2 

11.4.3 

11.7.1 

16.2.7 --- --- 4.B.5.a(14)

IA-4 Identifier Management 11.2.3 

11.5.2 

15.1.1 

15.2.2 

15.1.8 

AC-2.1 

AC-3.2 

SP-4.1 

IAGA-1 

IAIA-1 

4.B.1.a(2) 

IA-5 Authenticator Management 11.5.2 

11.5.3 

15.1.6 

15.1.7 

15.1.9 

15.1.10 

15.1.11 

15.1.12 

15.1.13 

16.1.3 

16.2.3 

AC-3.2 IAKM-1 

IATS-1 

4.B.2.a(7) 

4.B.3.a(11) 

IA-6 Authenticator Feedback 11.5.1 --- --- --- 4.B.2.a(7)(g)

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GAO

FISCAM

DOD 

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DCID 6/335

IA-7 Cryptographic Module

Authentication 

--- 16.1.7 --- --- 1.G 

Incident Response

IR-1 Incident Response Policy and

Procedures 

10.4.1 

13.1 

13.2.1 

15.1.1 

14. --- VIIR-1 

DCAR-1 

DCID: B.2.c; C.4 

Manual: 

2.B.4.e(5); 

2.B.2.b(6); 

2.B.6.c(10); 

8.B.7 

IR-2 Incident Response Training 13.1.1 14.1.4 SP-3.4 VIIR-1 8.B.1.b(1)(f) 

8.B.1.c(1)(e) 

8.B.1.c(2)(c) 

IR-3 Incident Response Testing 14.1.5 --- --- VIIR-1 8.B.7 

IR-4 Incident Handling 6.1.6 

13.2.1 

13.2.2 

2.1.5 

14.1.1 

14.1.2 

14.1.6 

SP-3.4 VIIR-1 8.B.7 

E3.3.9 9.B.2.e 

IR-5 Incident Monitoring --- 14.1.3 --- VIIR-1 8.B.7.a 

IR-6 Incident Reporting 6.1.6 14.1.2 --- 8.B.7 

14.1.3 

14.2.1 

VIIR-1 

6.2.2 E3.3.9 

6.2.3 

13.1.1 14.2.2 

13.1.2 14.2.3 

IR-7 Incident Response Assistance 14.1.3 8.1.1 SP-3.4 --- 8.B.7.c 

14.1.1 

Maintenance

MA-1 System Maintenance Policy and

Procedures 

10.1.1 10. --- PRMP-1 DCID: B.2.a 

Manual: 

2.B.4.e(5); 

6.B.2.a(5) 

15.1.1 DCAR-1 

MA-2 Periodic Maintenance 9.2.4 10.1.1 SS-3.1 --- 6.B.2.a(5)

10.1.3 8.B.8.c 

10.2.1 

MA-3 Maintenance Tools --- 10.1.3 

11.2.4 

--- --- 6.B.3.a(5)

8.B.8.c(4) 

8.B.8.c(5) 

MA-4 Remote Maintenance 11.4.4 10.1.1 SS-3.1 EBRP-1 8.B.8.d 

17.1.1 

MA-5 Maintenance Personnel 6.2.3 10.1.1 SS-3.1 PRMP-1 8.B.8.a 

9.2.4 10.1.3 

MA-6 Timely Maintenance --- 9.1.2 SC-1.2 COMS-1

COSP-1 

6.B.2.a(5) 

Media Protection

MP-1 Media Protection Policy and

Procedures 

10.1.1 

10.7 

15.1.1 

15.1.3 

8. --- PESP-1 DCID: B.2.a 

DCAR-1 Manual: 

2.B.6.c(7); 

8.B.2 

MP-2 Media Access 10.7.3 --- PEDI-1 

PEPF-1 

8.2.1 2.B.9.b(4) 

8.2.2 4.B.1.a(1) 

8.2.3 

8.2.6 

8.2.7 

4.B.1.a(7) 

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GAO

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DCID 6/335

MP-3 Media Labeling 7.2.2 --- ECML-1

10.7.3 

10.8.2 

8.2.5 2.B.9.b(4) 

8.B.2.a 

8.B.2.c 

8.2.6 

10.2.9 

15.1.3 

MP-4 Media Storage 10.7.1 AC-3.1 PESS-1

10.7.2 

10.7.3 

10.7.4 

15.1.3 

7.1.4 2.B.9.b(4) 

8.2.1 

8.2.2 

8.2.9 

10.1.2 

4.B.1.a(7) 

MP-5 Media Transport 10.8.3 8.2.2 --- --- 2.B.9.b(4)

8.2.4 

MP-6 Media Sanitization and Disposal 9.2.6 AC-3.4 PECS-1 

PEDD-1 

3.2.11 8.B.5 

10.7.1 3.2.12 2.B.9.b(4) 

10.7.2 3.2.13 8.B.5.a(4) 

8.2.8 8.B.5.d 

8.2.9 8.B.5.e 

8.2.10 

Physical and Environmental Protection

PE-1 Physical and Environmental 

Protection Policy and Procedures 

15.1.1 7. PETN-1 

DCAR-1 

DCID: B.2.a 

Manual: 

2.B.4.e(5); 

8.D 

PE-2 Physical Access Authorizations 9.1.2 

9.1.6 

7.1.1 

7.1.2 

AC-3.1 PECF-1 4.B.1.a(1) 

8.E 

PE-3 Physical Access Control 9.1.1 

9.1.2 

9.1.5 

9.1.6 

10.5.1 

7.1.1 

7.1.2 

7.1.5 

7.1.6 

7.1.8 

AC-3.1 PEPF-1 4.B.1.a(1) 

8.D.2 

8.E 

PE-4 Access Control for Transmission 

Medium 

9.2.3 7.2.2 

16.2.9 

--- --- 8.D.2 

4.B.1.a(8) 

PE-5 Access Control for Display Medium 9.1.2 

11.3.3 

7.2.1 --- PEDI-1 

PEPF-1 

8.C.2.a 

8.D.2 

PE-6 Monitoring Physical Access 9.1.2 7.1.9 AC-4 PEPF-2 4.B.1.a(1) 

8.C.2.a 

8.D.2 

PE-7 Visitor Control 9.1.2 7.1.7 

7.1.11 

AC-3.1 PEVC-1 8.C.2.a 

8.D.2 

8.E 

PE-8 Access Logs 9.1.2 7.1.9 AC-4 PEPF-2 

PEVC-1 

8.C.2.a 

8.D.2 

8.E 

PE-9 Power Equipment and Power Cabling 9.2.2 7.1.16 SC-2.2 --- 8.D.2

9.2.3 

PE-10 Emergency Shutoff 9.2.2 --- --- PEMS-1 8.D.2

PE-11 Emergency Power 9.2.2 7.1.18 SC-2.2 COPS-1 

COPS-2 

COPS-3 

6.B.2.a(6) 

6.B.2.a(7) 

PE-12 Emergency Lighting 9.2.2 --- --- PEEL-1 8.D.2

PE-13 Fire Protection 9.1.4 7.1.12 SC-2.2 PEFD-1 8.C.2.a 

9.2.1 PEFS-1 8.D.2 

PE-14 Temperature and Humidity Controls 9.2.1 SC-2.2 

10.5.1 

10.7.1 

7.1.14 PEHC-1 

7.1.15 PETC-1 

8.D.2 

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PE-15 Water Damage Protection 9.1.4 

9.2.1 

7.1.17 SC-2.2 --- 8.C.2.a 

8.D.2 

PE-16 Delivery and Removal 9.1.6 

9.2.7 

10.7.1 

7.1.3 AC-3.1 --- 8.B.5.e

PE-17 Alternate Work Site 11.7.2 --- --- EBRU-1 ---

PE-18 Location of Information System 

Components 

9.2.1 --- --- --- ---

PE-19 Information Leakage --- --- --- --- ---

Planning

PL-1 Security Planning Policy and

Procedures 

6.1 

15.1.1 

5. --- DCAR-1 

E3.4.6 

DCID: B.2.a 

Manual: 

2.B.4.e(5) 

PL-2 System Security Plan 6.1 4.1.5 

5.1.1 

5.1.2 

12.2.1 

SP-2.1 DCSD-1 1.F.6 

2.B.6.c(3) 

2.B.7.c(5) 

9.E.2.a(1)(d) 

9.F.2.a 

Appendix C 

PL-3 System Security Plan Update 6.1 3.2.10 

5.2.1 

SP-2.1 5.7.5 2.B.7.c(5)

PL-4 Rules of Behavior 7.1.3 

8.1.3 

15.1.5 

4.1.3 

13.1.1 

--- PRRB-1 2.B.9.b

PL-5 Privacy Impact Assessment 15.1.4 --- --- --- DCID: B.3.a 

Manual: 

8.B.9 

PL-6 Security-Related Activity Planning 15.3.1 --- --- --- --- 

Personnel Security

PS-1 Personnel Security Policy and

Procedures 

8.1.1 

15.1.1 

6. --- PRRB-1 

DCAR-1 

DCID: B.2.a 

Manual: 

2.B.4.e(5); 

8.E 

PS-2 Position Categorization 8.1.2 6.1.1 

6.1.2 

SD-1.2 --- 8.E 

PS-3 Personnel Screening 8.1.2 6.2.1 

6.2.3 

SP-4.1 PRAS-1 2.B.7.c(2) 

2.B.8.b(5) 

8.E 

PS-4 Personnel Termination 8.1.3 

8.3 

11.2.1 

6.1.7 SP-4.1 5.12.7 2.B.9.b(6) 

4.B.2.a(3)(e) 

8.E 

PS-5 Personnel Transfer 8.3.1 

8.3.3 

11.2.1 

6.1.7 SP-4.1 5.12.7 2.B.9.b(6) 

PS-6 Access Agreements 6.1.5 

8.1.3 

6.1.5 

6.2.2 

SP-4.1 PRRB-1 1.E.2 

8.E 

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NO. CONTROL NAME ISO/IEC 17799 

NIST 

800-26 

GAO

FISCAM

DOD 

8500.2 

DCID 6/335

PS-7 Third-Party Personnel Security 6.2.1 

6.2.3 

8.1.1 

8.1.2 

8.1.3 

8.2.1 

8.2.2 

11.2.1 

--- SP-4.1 5.7.10 1.A.1 

8.D 

8.E 

PS-8 Personnel Sanctions 8.2.3 

11.2.1 

6.1.5 --- PRRB-1 4.B.2.a(3)(e) 

8.E 

Risk Assessment

RA-1 Risk Assessment Policy and 

Procedures 

4.1 

15.1.1 

1. --- DCAR-1 DCID: B.3.a 

Manual: 

2.B.4.e(5) 

RA-2 Security Categorization 7.2.1 1.1.3 

3.1.1 

SP-1 

AC-1.1 

AC-1.2 

E3.4.2 3.C 

3.D 

9.E.2.a(1)(a) 

9.E.2.a(1)(d) 

RA-3 Risk Assessment 4.0 

4.1 

4.2 

6.2.1 

10.10.2 

10.10.5 

12.5.1 

12.6.1 

14.1.1 

14.1.2 

1.1.2 

1.1.4 

1.1.5 

1.1.6 

1.2.1 

1.2.2 

1.2.3 

3.1.7 

3.1.8 

4.1.7 

7.1.13 

7.1.19 

12.2.4 

SP-1 DCDS-1 

DCII-1 

E3.3.10 

9.B 

RA-4 Risk Assessment Update 4.1 1.1.2 

4.1.2 

SP-1 DCAR-1 

DCII-1 

9.B.4.f 

9.D.1.d 

RA-5 Vulnerability Scanning 12.6.1 10.3.2 

14.2.1 

--- ECMT-1 

VIVM-1 

4.B.3.a(8)(b) 

4.B.3.b(6)(b) 

9.B.4.e 

System and Services Acquisition

SA-1 System and Services Acquisition

Policy and Procedures 

12.1 

15.1.1 

3. --- DCAR-1 DCID: B.2.a 

Manual: 

2.B.4.e(5) 

SA-2 Allocation of Resources 10.3.1 3.1.2 

3.1.3 

3.1.5 

5.1.3 

--- DCPB-1 

E3.3.4 

DCID: C.2.a 

Manual: 

2.B.4.e(8) 

SA-3 Life Cycle Support --- 3.1 --- 5.8.1 DCID: B.2.a 

Manual: 

9.E.2 

SA-4 Acquisitions 12.1.1 3.1.6 

3.1.7 

3.1.10 

3.1.11 

3.1.12 

--- DCAS-1 

DCDS-1 

DCIT-1 

DCMC-1 

DCID: B.2.a; 

C.2.a 

Manual: 

9.B.4 

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NO. CONTROL NAME ISO/IEC 17799 

NIST 

800-26 

GAO

FISCAM

DOD 

8500.2 

DCID 6/335

SA-5 Information System Documentation 10.7.4 3.2.3 

3.2.4 

3.2.8 

12.1.1 

12.1.2 

12.1.3 

12.1.6 

12.1.7 

CC-2.1 DCCS-1 

DCHW-1 

DCID-1 

DCSD-1 

DCSW-1 

ECND-1 

DCFA-1 

4.B.2.b(2) 

4.B.2.b(3) 

4.B.4.b(4) 

9.C.3 

SA-6 Software Usage Restrictions 15.1.2 10.2.10

10.2.13 

SS-3.2 

SP-2.1 

DCPD-1 2.B.9.b(11)

SA-7 User Installed Software 15.1.2 10.2.10 SS-3.2 --- 2.B.9.b(11)

SA-8 Security Design Principles 12.1 3.2.1 --- DCBP-1 

DCCS-1 

E3.4.4 

1.H.1 

SA-9 Outsourced Information System 

Services

6.2.1 

6.2.3 

10.2.1 

10.2.2 

10.6.2 

12.2.3 --- DCDS-1 

DCID-1 

DCIT-1 

DCPP-1 

1.B.1 

8.C.2 

8.E 

SA-10 Developer Configuration

Management 

12.5.1 

12.5.2 

--- CM-3 --- 4.B.4.b(4) 

8.C.2.a 

SA-11 Developer Security Testing 12.5.1 

12.5.2 

3.2.1 

3.2.2 

10.2.5 

12.1.5 

CM-3 E3.4.4 4.B.4.b(4) 

System and Communications Protection

SC-1 System and Communications 

Protection Policy and Procedures 

10.8.1 

15.1.1 

--- --- DCAR-1 DCID: B.2.a 

Manual: 

2.B.4.e(5) 

SC-2 Application Partitioning 11.4.5 --- --- DCPA-1 4.B.3.b(6)(a) 

4.B.4.b(8) 

5.B.3.b(2) 

SC-3 Security Function Isolation 11.4.5 --- --- DCSP-1 4.B.3.b(6)(a) 

4.B.4.b(8) 

5.B.3.b(1) 

5.B.3.b(2) 

SC-4 Information Remnants 10.8.1 --- AC-3.4 ECRC-1 4.B.2.a(14) 

SC-5 Denial of Service Protection 10.8.4 

13.2.1 

--- --- --- 6.B.3.a(6) 

SC-6 Resource Priority --- --- --- --- 6.B.3.a(11) 

SC-7 Boundary Protection 11.4.6 16.2.2 

16.2.7 

16.2.9 

16.2.10 

16.2.11 

16.2.14 

AC-3.2 COEB-1 

EBBD-1 

ECIM-1 

ECVI-1 

4.B.4.a(27) 

5.B.3.a(11)(b) 

7.A.3 

7.B 

7.C 

7.D 

SC-8 Transmission Integrity 10.6.1 

10.8.1 

10.9.1 

11.2.1 

11.2.4 

11.2.9 

16.2.14 

AC-3.2 ECTM-1 5.B.3.a(11)

SC-9 Transmission Confidentiality 10.6.1 

10.8.1 

10.9.1 

--- --- ECCT-1 4.B.1.a(8)(a)

SC-10 Network Disconnect 11.5.6 16.2.6 AC-3.2 --- 4.B.2.a(17)

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NIST 

800-26 

GAO

FISCAM

DOD 

8500.2 

DCID 6/335

SC-11 Trusted Path 10.9.2 16.2.7 --- --- 4.B.4.a(14)

SC-12 Cryptographic Key Establishment 

and Management

12.3.1 

12.3.2 

16.1.7 

16.1.8 

--- IAKM-1 1.G

SC-13 Use of Validated Cryptography --- 16.1.7 

16.1.8 

--- IAKM-1 

IATS-1 

1.G.1 

SC-14 Public Access Protections 10.7.4 

10.9.3 

--- --- EBPW-1 ---

SC-15 Collaborative Computing --- --- --- ECVI-1 7.G

SC-16 Transmission of Security Parameters 7.2.2 

10.8.2 

10.9.2 

16.1.6 AC-3.2 ECTM-2 4.B.1.a(3)

SC-17 Public Key Infrastructure Certificates 12.3.2 --- --- IAKM-1 2.B.4.e(5) 

4.B.3.a(11) 

SC-18 Mobile Code 10.4.1 

10.4.2 

--- --- DCMC-1 2.B.4.e(5) 

7.E 

SC-19 Voice Over Internet Protocol --- --- --- ECVI-1 ---36

SC-20 Secure Name Lookup Service 

(Authoritative Source) 

--- --- --- --- ---

SC-21 Secure Name Lookup Service 

(Resolution) 

--- --- --- --- ---

System and Information Integrity

SI-1 System and Information Integrity 

Policy and Procedures 

15.1.1 11. --- DCAR-1 DCID: B.2.a 

Manual: 

2.B.4.e(5) 

5.B.1.b(1)

5.B.2.a(5)(a)(1) 

SI-2 Flaw Remediation 10.10.5 

12.4.1 

12.5.1 

12.5.2 

12.6.1 

10.3.2 

11.1.1 

11.1.2 

11.2.2 

11.2.7 

SS-2.2 DCSQ-1 

DCCT-1 

E3.3.5.7 

5.B.2.a(5)(a)(3) 

6.B.2.a(5) 

SI-3 Malicious Code Protection 10.4.1 11.1.1 

11.1.2 

--- ECVP-1 

VIVM-1 

5.B.1.a(4) 

7.B.4.b(1) 

SI-4 Information System Monitoring 

Tools and Techniques 

10.6.2 

10.10.1 

10.10.2 

10.10.4 

11.2.5 

11.2.6 

--- EBBD-1 

EBVC-1 

ECID-1 

4.B.2.a(5)(b) 

4.B.3.a(8)(b) 

6.B.3.a(8) 

SI-5 Security Alerts and Advisories 6.1.7 

10.4.1 

14.1.1 

14.1.2 

14.1.5 

SP-3.4 VIVIM-1 8.B.7

SI-6 Security Functionality Verification --- 11.2.1 

11.2.2 

SS-2.2 DCSS-1 4.B.1.c(2) 

5.B.2.b(2) 

SI-7 Software and Information Integrity 12.2.1 

12.2.2 

12.2.4 

11.2.1 

11.2.4 

--- ECSD-2 4.B.1.c(2) 

 5.B.1.a(3)

 5.B.2.a(6)

SI-8 Spam Protection --- --- --- --- 5.B.1.a(4)

SI-9 Information Input Restrictions 12.2.1 

12.2.2 

--- SD-1 --- 2.B.9.b(11)

 

36 Appropriate authorizing officials approve the use of specific technologies, including Voice Over Internet Protocol. 

See also DCID 6/3 paragraph 2.B.4.d and 9.D.1.a. 

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NO. CONTROL NAME ISO/IEC 17799 

NIST 

800-26 

GAO

FISCAM

DOD 

8500.2 

DCID 6/335

SI-10 Information Accuracy, Completeness, 7.B.2.h 

Validity, and Authenticity

10.7.3 

12.2.1 

12.2.2 

--- --- ---

2.B.4.d 

SI-11 Error Handling 12.2.1 

12.2.2 

12.2.3 

12.2.4 

--- --- --- 2.B.4.d

SI-12 Information Output Handling and 

Retention 

10.7.3 

12.2.4 

--- --- PESP-1 2.B.4.d 

8.B.9 

8.G 

 

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