NIST Special Publication 800-53 

 Revision 1 Recommended Security Controls 

for Federal Information Systems

Ron Ross 

Stu Katzke 

Arnold Johnson 

Marianne Swanson 

Gary Stoneburner 

George Rogers

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

Computer Security Division 

Information Technology Laboratory 

National Institute of Standards and Technology 

Gaithersburg, MD 20899-8930 

December 2006 

U.S. Department of Commerce 

Carlos M. Gutierrez, Secretary 

Technology Administration 

Robert Cresanti, Under Secretary of Commerce for Technology 

National Institute of Standards and Technology 

William Jeffrey, Director 
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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Special Publication 800-53, Revision 1 Recommended Security Controls for Federal Information Systems 

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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 in 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, 167 pages 

(December 2006) CODEN: NSPUE2 

 

 

 

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. 

Certain commercial entities, equipment, or materials may 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. 

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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Compliance with NIST Standards and Guidelines

NIST develops and issues standards, guidelines, and other publications to assist federal agencies 

in implementing the Federal Information Security Management Act (FISMA) of 2002 and in 

managing cost-effective programs to protect their information and information systems. 

• Federal Information Processing Standards (FIPS) are developed by NIST in accordance 

with FISMA. FIPS are approved by the Secretary of Commerce and are compulsory and 

binding for federal agencies. Since FISMA requires that federal agencies comply with 

these standards, agencies may not waive their use. 

• Guidance documents and recommendations are issued in the NIST Special Publication 

(SP) 800-series. Office of Management and Budget (OMB) policies (including OMB 

FISMA Reporting Instructions for the Federal Information Security Management Act and 

Agency Privacy Management) state that for other than national security programs and 

systems, agencies must follow NIST guidance.1

• Other security-related publications, including interagency and internal reports (NISTIRs), 

and ITL Bulletins, provide technical and other information about NIST's activities. 

These publications are mandatory only when so specified by OMB. 

Schedule for Compliance with NIST Standards and Guidelines 

• For legacy information systems, agencies are expected to be in compliance with NIST 

security standards and guidelines within one year of the publication date unless otherwise 

directed by OMB or NIST.2

• For information systems under development, agencies are expected to be in compliance 

with NIST security standards and guidelines immediately upon deployment of the 

system. 

 

1

 While agencies are required to follow NIST guidance in accordance with OMB policy, there is flexibility within 

NIST’s guidance in how agencies apply the guidance. Unless otherwise specified by OMB, the 800-series guidance 

documents published by NIST generally allow agencies some latitude in their application. Consequently, the 

application of NIST guidance by agencies can result in different security solutions that are equally acceptable, 

compliant with the guidance, and meet the OMB definition of adequate security for federal information systems. 

When assessing agency compliance with NIST guidance, auditors, evaluators, and/or assessors should consider the 

intent of the security concepts and principles articulated within the particular guidance document and how the agency 

applied the guidance in the context of its specific mission responsibilities, operational environments, and unique 

organizational conditions. 

2

 The one-year compliance date for revisions to NIST Special Publications applies only to the new and/or updated 

material in the publications resulting from the periodic revision process. Agencies are expected to be in compliance 

with previous versions of NIST Special Publications within one year of the publication date of the previous versions. 

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Acknowledgements

The authors, Ron Ross, Stu Katzke, Arnold Johnson, Marianne Swanson, Gary Stoneburner, and 

George Rogers, wish to thank their colleagues who reviewed drafts of this document and 

contributed to its development. A special note of thanks 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 Annabelle Lee for her contribution to earlier versions of the 

document. The authors also gratefully acknowledge and appreciate the many contributions from 

individuals in the public and private sectors whose thoughtful and constructive comments 

improved the quality and usefulness of this publication. 

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IMPLEMENTING SECURITY STANDARDS AND GUIDELINES

FIPS 200, Minimum Security Requirements for Federal Information and Information Systems, is a 

mandatory, non-waiverable standard developed in response to the Federal Information Security 

Management Act of 2002. 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 baseline security controls in NIST Special Publication 800-53, Recommended 

Security Controls for Federal Information Systems. Agencies have flexibility in applying the baseline 

security controls in accordance with 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. 

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

security for all federal information and information systems (other than national security information 

and information systems). The agency's risk assessment validates the security control set by 

determining if any additional controls are needed to protect agency operations (including mission, 

functions, image, or reputation), agency assets, or individuals. The resulting set of security controls 

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

In addition to the security requirements established by FISMA, there may also be specific security 

requirements in different business areas within agencies that are governed by other laws, Executive 

Orders, directives, policies, regulations, or associated governing documents, (e.g., the Health Insurance 

Portability and Accountability Act of 1996, the Federal Financial Management Improvement Act of 

1996, or OMB Circular A-127 on Financial Management Systems). These requirements may not be 

equivalent to the security requirements and implementing security controls required by FISMA or may 

enhance or further refine the security requirements and security controls. It is important that agency 

officials (including authorizing officials, chief information officers, senior agency information security 

officers, information system owners, information system security officers, and acquisition authorities) 

take steps to help ensure that: (i) all appropriate security requirements are addressed in agency 

acquisitions of information systems and information system services; and (ii) all necessary security 

controls are implemented in agency information systems when determining the tailored and 

supplemented control baselines described in this publication. 

See http://csrc.nist.gov/sec-cert/ca-compliance.html for additional information on compliance. 

FEDERAL INFORMATION SECURITY MANAGEMENT ACT
Special Publication 800-53, Revision 1 Recommended Security Controls for Federal Information Systems 

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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 SECURITY CONTROL BASELINES............................................................................................... 8

2.3 COMMON SECURITY CONTROLS ............................................................................................... 9

2.4 SECURITY CONTROLS IN EXTERNAL ENVIRONMENTS................................................................ 11

2.5 SECURITY CONTROL ASSURANCE........................................................................................... 13

2.6 REVISIONS AND EXTENSIONS................................................................................................. 14

CHAPTER THREE THE PROCESS........................................................................................15

3.1 MANAGING RISK.................................................................................................................... 15

3.2 SECURITY CATEGORIZATION.................................................................................................. 16

3.3 SELECTING AND TAILORING THE INITIAL BASELINE ................................................................... 18

3.4 SUPPLEMENTING THE TAILORED BASELINE ............................................................................. 21

3.5 UPDATING SECURITY CONTROLS............................................................................................ 23

APPENDIX A REFERENCES................................................................................................25

APPENDIX B GLOSSARY ...................................................................................................32

APPENDIX C ACRONYMS...................................................................................................43

APPENDIX D MINIMUM SECURITY CONTROLS – SUMMARY...................................................44

APPENDIX E MINIMUM ASSURANCE REQUIREMENTS...........................................................51

APPENDIX F SECURITY CONTROL CATALOG .......................................................................53

APPENDIX G SECURITY CONTROL MAPPINGS ...................................................................139

APPENDIX H STANDARDS AND GUIDANCE MAPPINGS ........................................................152

APPENDIX I INDUSTRIAL CONTROL SYSTEMS...................................................................166

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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 system3

are important tasks that can have major implications on the operations4

 and assets of an 

organization as well as the welfare of individuals. 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 for that organization 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 effective5 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.6

 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 and documented 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 address information security throughout 

the life cycle of each organizational information system; 

 

3

 An information system is a discrete set of information resources organized expressly for the collection, processing, 

maintenance, use, sharing, dissemination, or disposition of information. Information systems also include specialized 

systems such as industrial/process controls systems, telephone switching/private branch exchange (PBX) systems, and 

environmental control systems. 

4

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

5

 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 information 

system in its operational environment. 

6

 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 security for the information systems that support its operations and assets. 

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• Plans for providing adequate information security for networks, facilities, information 

systems, or groups of information systems, as appropriate; 

• 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 for continuity of operations for information systems that support the 

operations and assets of the organization. 

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

risks and other factors that could adversely affect organizational operations, organizational assets, 

or individuals. 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 to individuals, the organization, or its 

assets 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 components7

 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;

 

7

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

components, operating systems, middleware, and applications. Network components can include, for example, such 

devices as firewalls, sensors (local or remote), switches, guards, routers, gateways, wireless access points, and network 

appliances. Servers can include, for example, 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 and can be deployed in land-based, sea-based, airborne, and/or 

space-based information systems. 

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• Providing a stable, yet flexible catalog of security controls for information systems to meet 

current organizational protection needs and the demands of future protection needs based on 

changing requirements and technologies; and 

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

determining security control effectiveness. 

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

systems8

 other than those systems designated as national security systems as defined in 44 

U.S.C., Section 3542.9

 The guidelines have been broadly developed from a technical perspec

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 use these guidelines, as 

appropriate. 

tive 

 

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, 

mission/application owners, system designers, system and application programmers); (iii) 

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

information system owners, information owners, information system administrators, 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.10 The objective of NIST Special Publication 800-53 is to provide a set of security 

8 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. 

9

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

system. 

10 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 17799:2005, Code of 

Practice for Information Security Management. 

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controls that is sufficiently rich to satisfy the breadth and depth of security requirements11 levied 

on information systems and that is consistent with and complementary to other established 

security standards. 

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, 

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.12

1.4 ORGANIZATIONAL RESPONSIBILITIES

Organizations13 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. For each information system, the 

recommendation for minimum security controls from Special Publication 800-53 (i.e., the 

baseline security controls defined in Appendix D, tailored in accordance with the tailoring 

guidance in Section 3.3) is intended to be used as a starting point for and input to the 

organization’s risk assessment process.14 The risk assessment results are used to supplement the 

tailored baseline resulting in a set of agreed-upon controls documented in the security plan for the 

information system. While the FIPS 199 security categorization associates the operation of the 

information system with the potential impact on an organization’s operations, assets, or 

individuals, the incorporation of refined threat and vulnerability information during the risk 

assessment facilitates supplementing the tailored baseline security controls to address 

organizational needs and tolerance for risk. The final, agreed-upon set of security controls should 

be documented with appropriate rationale in the security plan for the information system.15

The use of security controls from Special Publication 800-53 and the incorporation of tailored 

baseline controls as a starting point in the control selection process, facilitates a more consistent 

level of security across federal information systems. It also offers the needed flexibility to 

 

11 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. 

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

(Second Public Draft), April 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. 

13 An organization typically exercises direct managerial, operational, and/or financial control over its information 

systems and the security provided to those systems, including the authority and capability to implement the appropriate 

security controls necessary to protect organizational operations, organizational assets, and individuals. 

14 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. NIST Special 

Publication 800-30, Risk Management Guide for Information Technology Systems, provides guidance on the 

assessment and mitigation of risk as part of an overall risk management process. 

15 NIST Special Publication 800-18, Guide for Developing Security Plans for Federal Information Systems, provides 

guidance on documenting information system security controls. The general guidance in Special Publication 800-18 is 

augmented by Special Publication 800-53 with recommendations for information and rationale to be included in the 

system security plan. 

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appropriately modify the controls based on specific organizational policy and requirements, 

particular conditions and circumstances, known threat and vulnerability information, and 

tolerance for risk to the organization’s operations, assets, or to individuals. 

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 products; (iii) sound systems/security engineering principles and 

practices to effectively integrate information technology products into the information system; 

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

system security planning and life cycle management.16 From a systems engineering viewpoint, 

security is 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 or to individuals 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 in light of the potential impacts, 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) minimum (baseline) security controls; (iii) the use of 

common security controls in support of organization-wide information security programs; 

(iv) security controls in external environments; (v) assurance in the effectiveness of security 

controls; and (vi) 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) defining the organization’s overall approach to managing 

risk; (ii) categorizing the system in accordance with FIPS 199; (iii) selecting and tailoring the 

initial set of minimum (baseline) security controls; (iv) supplementing the tailored security 

control baseline, as necessary, based upon risk assessment results; and (v) updating the 

controls as part of a comprehensive continuous monitoring process. 

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

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

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

mapping tables relating the security controls in this publication to other standards and control 

sets; (viii) crosswalks of NIST security standards and guidelines with associated security 

controls; and (ix) guidance on the application of security controls to industrial control 

systems. 

 

16 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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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) security control baselines; (iii) the identification and use 

of common security controls; (iv) security controls in external environments; (v) security control 

assurance; and (vi) 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

(i.e., management, operational, and technical) and seventeen security control families.17 Each 

family contains security controls related to the security functionality of the family. A twocharacter 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. 

TABLE 1: SECURITY CONTROL CLASSES, FAMILIES, AND IDENTIFIERS 

IDENTIFIER FAMILY CLASS 

AC Access Control Technical 

AT Awareness and Training Operational 

AU Audit and Accountability Technical 

CA Certification, Accreditation, and Security Assessments Management 

CM Configuration Management Operational 

CP Contingency Planning Operational 

IA Identification and Authentication Technical 

IR Incident Response Operational 

MA Maintenance Operational 

MP Media Protection Operational 

PE Physical and Environmental Protection Operational 

PL Planning Management 

PS Personnel Security Operational 

RA Risk Assessment Management 

SA System and Services Acquisition Management 

SC System and Communications Protection Technical 

SI System and Information Integrity Operational 

 

17 The seventeen security control families in NIST Special Publication 800-53 are closely aligned with the seventeen 

security-related areas in FIPS 200 specifying the minimum security requirements for protecting federal information and 

information systems. 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.18 The following 

example from the Auditing and Accountability family illustrates the structure of a typical security 

control. 

AU-2 AUDITABLE EVENTS 

Control: The information system generates audit records for the following events: [Assignment: 

organization-defined auditable events]. 

Supplemental Guidance: The purpose of this control is to identify important events which need to be 

audited as significant and relevant to the security of the information system. 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. Audit records can be generated at various levels of abstraction, 

including at the packet level as information traverses the network. Selecting the right level of 

abstraction for audit record generation is a critical aspect of an audit capability and can facilitate 

the identification of root causes to problems. Additionally, the security audit function is 

coordinated with the network health and status monitoring function to enhance the mutual support 

between the two functions by the selection of information to be recorded by each function. 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 afterthe-fact investigations of security incidents. NIST Special Publication 800-92 provides guidance 

on computer security log management. 

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. 

(3) The organization periodically reviews and updates the list of organization-defined auditable events. 

LOW AU-2 MOD AU-2 (3) HIGH AU-2 (1) (2) (3)

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 the specific events to be audited. 

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. 

 

18 A supplemental guidance section is also used for security control enhancements in situations where the guidance is 

not generally applicable to the entire control but instead focused on the particular control enhancement. 

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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 are expected to apply the supplemental guidance as appropriate, when 

defining, developing, and implementing security controls. In certain instances, the supplemental 

guidance provides more detail concerning the control requirements or 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. In addition, 

applicable laws, 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. 

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 that the enhancements can be easily identified when 

selected to supplement the basic control. In the example above, if all three control enhancements 

are selected, the control designation subsequently becomes AU-2 (1) (2) (3). The numerical 

designation of a security control enhancement is used only to identify a particular enhancement 

within the control structure. The designation is neither indicative of the relative strength of the 

control enhancement nor assumes any hierarchical relationship among enhancements. In the 

above example, enhancement (3) is used before (1) and (2) since that enhancement is appropriate 

at a lower level than the other two. This type of situation arises from the decision to enhance 

control stability in the face of change by not renumbering existing enhancements when new ones 

are added or when decisions about placement within baselines change. 

2.2 SECURITY CONTROL BASELINES

Organizations are required to employ security controls to meet security requirements defined by 

applicable laws, Executive Orders, directives, policies, standards, or regulations (e.g., Federal 

Information Security Management Act, OMB Circular A-130, Appendix III). 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 most cost-effectively comply with the stated 

security requirements.19 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 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 

 

19 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 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 as part of effective security and privacy architectures. 

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security categorization in accordance with FIPS 199.20 The tailored security control baseline 

(i.e., the appropriate control baseline from Appendix D tailored in accordance with the guidanc

in Section 3.3) serves as the starting point for organizations in determining the appropriat

safeguards and countermeasures necessary to protect their information systems. Because the 

baselines are intended to be broadly applicable starting points, supplements to the tailored 

baselines (see Section 3.4) will likely be necessary in order to achieve adequate risk mitigation. 

The tailored baselines are supplemented based on organizational assessments of risk and the 

resulting controls documented in the security plans for the information systems. 

e 

e 

 

Appendix D provides a listing of baseline security controls. Three sets of 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. Each of the 

three baselines provides an initial set of security controls for a particular impact level associated 

with a security category.21 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, how to apply the 

tailoring guidance to the baseline controls, and how to supplement the tailored baseline in order to 

achieve adequate risk mitigation. 

Implementation Tip 

Since the baseline security controls represent the minimum controls for low-impact, moderate-impact, 

and high-impact information systems, respectively, there are additional controls and control 

enhancements that appear in the catalog that are found in only higher-impact baselines or not used in 

any of the baselines. These additional security controls and control enhancements for the information 

system are available to organizations and can be used in supplementing the tailored baselines to 

achieve the needed level of protection in accordance with an organizational assessment of risk. 

Moreover, security controls and control enhancements contained in higher-level baselines can also be 

used by organizations to strengthen the level of protection provided in lower-level baselines, if deemed 

appropriate. At the end of the security control selection and specification process, the agreed-upon set 

of security controls documented in the security plan, must be sufficient to provide adequate security for 

the organization and mitigate risks to its operations, assets, and individuals. 

2.3 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 

20 FIPS 199 security categories are based on the potential impact on an organization or individuals 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. 

21 The baseline security controls contained in Appendix D are not necessarily absolutes in that the tailoring guidance 

described in Section 3.3 provides the organization the ability to eliminate certain controls or specify compensating 

controls under strict terms and conditions. 

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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.22

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, 

information owners, and information system security officers. The organization-wide exercise 

considers the categories of information systems within the organization in accordance with FIPS 

199 (i.e., low-impact, moderate-impact, or high-impact information systems) and the minimum 

security controls necessary to protect the operations and assets supported by those systems (see 

baseline security controls in Section 2.2). For example, common security controls can be 

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

that category 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 

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 

 

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

systems. 

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assessment results are shared with the appropriate information system owners to better support 

the security accreditation process. 

Partitioning security controls into common controls and system-specific controls can result in 

significant savings to the organization in development and implementation costs especially when 

the common controls serve multiple information systems and entities. 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. 

Implementation Tip 

The FIPS 199 security categorization process and the selection of common security controls are closely 

related activities that are most effectively accomplished on an organization-wide basis with the 

involvement of the organization’s senior leadership (i.e., authorizing officials, chief information officer, 

senior agency information security officer, information system owners, and mission/information owners). 

These individuals have the collective corporate knowledge to understand the organization’s priorities, the 

importance of the organization’s operations (including mission, functions, image, and reputation) and 

assets, and the relative importance of the organizational information systems that support those 

operations and assets. The organization’s senior leaders are also in the best position to select the 

common security controls for each of the security control baselines and assign organizational 

responsibilities for developing, implementing, and assessing those controls. 

2.4 SECURITY CONTROLS IN EXTERNAL ENVIRONMENTS

Organizations are becoming increasingly reliant on information system services provided by 

external service providers to carry out important missions and functions. External information 

system services are services that are implemented outside of the system’s accreditation boundary 

(i.e., services that are used by, but not a part of, the organizational information system). 

Relationships with external service providers are established in a variety of ways, for example, 

through joint ventures, business partnerships, outsourcing arrangements (i.e., through contracts, 

interagency agreements, lines of business23 arrangements), licensing agreements, and/or supply 

 

23 In March 2004, OMB initiated a governmentwide analysis of selected lines of business supporting the President's 

Management Agenda goal to expand Electronic Government. Interagency task forces examined business and 

information technology data and best practices for each line of business—Case Management, Financial Management, 

Grants Management, Human Resources Management, Federal Health Architecture, Information Systems Security, 

Budget Formulation and Execution, Geospatial, and IT Infrastructure. The goal of the effort is to identify opportunities 

to reduce the cost of government and improve services to citizens through business performance improvements.

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chain exchanges. The growing dependence on external service providers and new relationships 

being forged with those providers present new and difficult challenges for the organization, 

especially in the area of information system security. These challenges include, but are not 

limited to: (i) defining the types of external services provided to the organization;24 (ii) describing 

how the external services are protected in accordance with the security requirements of the 

organization; and (iii) obtaining the necessary assurances that the risk to the organization’s 

operations and assets, and to individuals, arising from the use of the external services is at an 

acceptable level. 

The assurance or confidence that the risk to the organization’s operations, assets, and individuals 

is at an acceptable level depends on the trust25 that the authorizing official places in the external 

service provider. In some cases, the level of trust is based on the amount of direct control the 

authorizing official is able to exert on the external service provider with regard to the 

employment of appropriate security controls necessary for the protection of the service and the 

evidence brought forth as to the effectiveness of those controls. The level of control is usually 

established by the terms and conditions of the contract or service-level agreement with the 

external service provider and can range from extensive (e.g., negotiating a contract or agreement 

that specifies detailed security control requirements for the provider26) to very limited (e.g., using 

a contract or service-level agreement to obtain commodity services27 such as commercial 

telecommunications services). In other cases, the level of trust is derived from other factors that 

convince the authorizing official that the requisite security controls have been employed and that 

a credible determination of control effectiveness exists. For example, a separately accredited 

external information system service provided to a federal agency through a line of business 

relationship may provide a degree of trust in the external service within the tolerable risk range of 

the authorizing official. 

 

24 Information exchanges may be required among the many possible relationships with external service providers. The 

risk of exchanging information among business partners and other external entities must be assessed and appropriate 

security controls employed. There may be contract language that establishes specific requirements to protect 

information exchanged and/or that specifies particular remedies for failure to protect the information as prescribed. In 

addition, there may be laws or regulations that protect this information from unauthorized disclosure. 

25 The level of trust that an organization places in an external service provider can vary widely ranging from those who 

are highly trusted (e.g., business partners in a joint venture that share a common business model and common goals) to 

those who are less trusted and represent greater sources of risk (e.g., business partners in one endeavor who are also 

competitors in another market sector). 

26 In reality, the provision of services by providers external to the organization may result in some services without 

explicit agreements between the organization and the external entities responsible for the services. Whenever explicit 

agreements are feasible and practical (e.g., through contracts, service-level agreements, etc.), the organization should 

develop such agreements and require the use of the security controls in Special Publication 800-53. When the 

organization is not in a position to require explicit agreements with external service providers (e.g., when the service is 

imposed on the organization or when the service is commodity service), the organization should establish explicit 

assumptions about the service capabilities with regard to security. Contracts between the organization and external 

service providers may also require the active participation of the organization. For example, the organization may be 

required by the contract to install public key encryption-enabled client software recommended by the service provider. 

27 Normally, commercial providers of commodity-type services (e.g., telecommunications services) organize their 

business models and services around the concept of shared resources and devices for a broad and diverse customer 

base. Therefore, unless organizations obtain fully dedicated services from commercial service providers (including 

dedicated devices and management systems), there will likely be a need for greater reliance on compensating security 

controls to provide the necessary protections for the information system that relies on those external services. The 

organization’s risk assessment and risk mitigation activities should reflect this situation. 

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Ultimately, the responsibility for adequately mitigating risks to the organization’s operations and 

assets, and to individuals, arising from the use of external information system services remains 

with the authorizing official. Authorizing officials must require that an appropriate chain of trust

be established with external service providers when dealing with the many issues associated with 

information system security. For services external to the organization, a chain of trust requires 

that the organization establish and retain a level of confidence that each participating service 

provider in the potentially complex consumer-provider relationship provides adequate protection 

for the services rendered to the organization. The chain of trust can be very complicated due to 

the number of entities participating in the consumer-provider relationship and the type of 

relationship between the parties. External service providers may also in turn outsource the 

services to other external entities, making the chain of trust even more complicated and difficult 

to manage. Depending on the nature of the service, it may simply be unwise for the organization 

to wholly trust the provider—not due to any inherent untrustworthiness on the provider's part, but 

due to the intrinsic level of risk in the service. Where a sufficient level of trust cannot be 

established in the external services and/or service providers, the organization employs 

compensating controls or accepts the greater degree of risk to its operations and assets, or to 

individuals. 

2.5 SECURITY CONTROL ASSURANCE

Assurance is the grounds for confidence28 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 implementers29 of security controls in the 

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. 

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 increasing grounds for confidence in 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 increase grounds for 

confidence that 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 

 

28 Confidence that the necessary security controls have been effectively implemented in organizational information 

systems provides a foundation for trust between organizations that depend upon the information processed, stored, or 

transmitted by those information systems. 

29 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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implementers of security controls supplementing the minimum assurance requirements for the 

moderate and high baselines in order to protect against threats from highly skilled, highly 

motivated, and well-financed threat agents. This level of protection is necessary for those 

information systems where the organization is not willing to accept the risks associated with the 

type of threat agents cited above. 

2.6 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 reviewed 

and revised periodically to reflect: (i) the experience gained from using the controls; (ii) the 

changing security requirements within organizations; (iii) emerging threats and attack methods; 

and (iv) the availability of new security technologies.30 The controls in the control catalog are 

expected to change over time, as controls are eliminated or revised and new controls are added. 

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

expected to change over time as the level of security and due diligence for mitigating risks within 

organizations increases. In addition to the need for change, the need for stability will be 

addressed by requiring that proposed additions, deletions, or modifications to the catalog of 

security controls go through a rigorous public review process to obtain government and private 

sector feedback and to build consensus for the changes. A stable, yet flexible and technically 

rigorous set of security controls will be maintained in the control catalog.

 

30 Currently, NIST plans to review and revise the security control catalog and security control baselines in Special 

Publication 800-53 on a biennial basis. The proposed modifications to security controls and security control baselines 

will be carefully weighed with each revision cycle, considering the desire for stability on one hand, and the need to 

respond to changing threats and vulnerabilities, new attack methods, new technologies, and the important objective of 

raising the foundational level of security over time. 

 

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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) defining the organization’s overall approach to managing 

risk; (ii) categorizing the system in accordance with FIPS 199; (iii) selecting and tailoring 

the initial set of minimum (baseline) security controls;31 (iv) supplementing the tailored security 

control baseline as necessary based upon an organizational assessment of risk; and (v) updating 

the controls as part of a comprehensive continuous monitoring process. 

T 

3.1 MANAGING 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 

risk—that is, the risk to the organization or to individuals associated with the operation of an 

information system. The management of 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 individuals and the 

operations and assets of the organization. The risk-based approach to security control selection 

and specification considers effectiveness, efficiency, and constraints due to applicable laws, 

Executive Orders, directives, policies, standards, or regulations. The following activities related 

to managing risk (also known as the NIST Risk Management Framework) 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., security control baseline from Appendix D) for 

the information system based on the FIPS 199 security categorization and the minimum 

security requirements defined in FIPS 200; apply tailoring guidance from Section 3.3 as 

appropriate, to obtain the control set used as the starting point for the assessment of risk 

associated with the use of the system. 

• Supplement the initial set of tailored security controls based on an assessment of risk and 

local conditions including organization-specific security requirements, specific threat 

information, cost-benefit analyses, or special circumstances.32

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

organization’s rationale for any refinements or adjustments to the initial set of controls.33

 

31 Tailoring guidance provides organizations with specific considerations on the applicability and implementation of 

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

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

on the assessment and mitigation of risk. 

33 NIST Special Publication 800-18, 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.34

• Authorize information system operation based upon a determination of the risk to 

organizational operations, organizational assets, or to individuals resulting from the operation 

of the information system and the decision that this risk is acceptable.35 

• 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. 

Figure 1 illustrates the specific activities in the NIST Risk Management Framework and the 

information security standards and guidance documents associated with each activity.

Starting Point 

CATEGORIZE 

Information System

FIPS 199 / SP 800-60 

SELECT 

Security Controls

FIPS 200 / SP 800-53 

SUPPLEMENT 

Security Controls

SP 800-53 / SP 800-30 

DOCUMENT 

Security Controls

SP 800-18 

IMPLEMENT 

Security Controls

SP 800-70 

MONITOR 

Security Controls

SP 800-37 / SP 800-53A 

ASSESS 

Security Controls

SP 800-53A 

AUTHORIZE 

Information System

SP 800-37 RISK MANAGEMENT 

FRAMEWORK 

Security Life Cycle 

FIGURE 1: THE RISK MANAGEMENT FRAMEWORK 

The remainder of this chapter focuses on several key activities in the Risk Management 

Framework—the FIPS 199 categorization, the initial selection and tailoring of security controls, 

supplementing the initial controls based on the organization’s risk assessment, and updating the 

controls when necessary. 

 

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

(Second Public Draft), April 2006, provides guidance for determining the effectiveness of security controls. 

35 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. 

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3.2 SECURITY CATEGORIZATION

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 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.36 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 

security controls from one of the three security control baselines.37 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. 

• Third, determine the information system security categorization, that is, the highest impact level for 

each security objective (confidentiality, integrity, availability) from among the categorizations for the 

information types associated with the information system.

• Fourth, determine the overall impact level of the information system from the highest impact level 

among the three security objectives in the system security categorization.

Implementation Tip 

To determine the overall impact level of the information system: 

• First, determine the different types of information that are processed, stored, or transmitted by the 

information system (e.g., financial sector oversight, inspections and auditing, official information 

dissemination, etc.). NIST Special Publication 800-60 provides guidance on a variety of information 

types commonly used by organizations.

• Second, using the impact levels in FIPS 199 and the recommendations of NIST Special Publication 

800-60, categorize the confidentiality, integrity, and availability of each information type as low, 

moderate, or high impact. 

 

36 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. 

37 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 tailoring (see Section 3.3). 

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3.3 SELECTING AND TAILORING THE INITIAL BASELINE

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. 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; and (iii) the specification of 

organization-defined parameters in the security controls, where allowed. To achieve a costeffective, risk-based approach to providing 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). 

Tailoring decisions should be documented in the security plan for the information system.38

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: 

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. Every control in a baseline must be fully 

addressed either by the organization or the information system owner. 

Operational/environmental-related considerations— 

• Security controls that are dependent on the nature of the operational environment are 

applicable only if the information system is employed in an environment necessitating the 

controls. For example, certain physical security controls may not be applicable to spacebased information systems, and temperature and humidity controls may not be applicable to 

remote sensors that exist outside of the indoor facilities that contain information systems.

Physical 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, boundary 

protection devices, and communications equipment). 

 

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

process, providing a sound rationale 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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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 organizational 

personnel that maintain and support information systems providing the public access services, 

the same controls might not be required for access to 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 in some instances, for example, to access/change their personal information.

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. 

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

provide or support the security capability addressed by the control and are sources of 

potential risk being mitigated by the control.39 For example, when information system 

components 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 nonautomated 

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

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

Policy/regulatory-related considerations—

• Security controls that address matters governed by applicable laws, Executive Orders, 

directives, policies, standards, 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, Executive Orders, directives, policies, 

standards, or regulations. 

 

39 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. While the tailoring guidance may support not applying a particular security control 

to a specific component (e.g., the audit example above), any residual risks associated with the absence of that control 

must still be addressed and mitigated as necessary to adequately protect the organization’s operations, assets, and 

individuals. 

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Scalability-related considerations—

• Security controls are scalable with regard to the extent and rigor of the control 

implementation. Scalability is guided by the FIPS 199 security categorization of the 

information system being protected. For example, a contingency plan for a FIPS 199 highimpact information system may be quite lengthy and contain a significant amount of 

implementation detail. In contrast, a contingency plan for a FIPS 199 low-impact 

information system may be considerably shorter and contain much less implementation 

detail. Organizations should use discretion in applying the security controls to information 

systems, giving consideration to the scalability factors in particular environments. This 

approach facilitates a cost-effective, risk-based approach to security control implementation 

that expends no more resources than necessary, yet achieves sufficient risk mitigation and 

adequate security. 

Security objective-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;40 (ii) is supported by an organizational assessment of risk; and (iii) 

does not affect the security-relevant information within the information system.41 The 

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

[AC-15, MA-3 (3), MP-2 (1), MP-3, MP-4, MP-5 (1) (2) (3), MP-6, PE-5, SC-4, SC-9]; (ii) 

integrity [SC-8]; and (iii) availability [CP-2, CP-3, CP-4, CP-6, CP-7, CP-8, MA-6, PE-9, 

PE-10, PE-11, PE-13, PE-15, SC-6].42

 

40 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. 

41 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 result in insufficient protection for 

the security-relevant information within the information system. Security-relevant information must be protected at the 

high water mark in order to achieve that level of protection for any of the security objectives related to user-level 

information. 

42 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, 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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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 security control in the low, moderate, or 

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

comparable protection for an information system.43 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 NIST Special Publication 800-53, or if an 

appropriate compensating control is not available in the security control catalog, the organization 

adopts a suitable compensating control;44 (ii) the organization provides a complete and 

convincing rationale45 for how the compensating control provides an equivalent security 

capability or level of protection for the information system and why the related baseline security 

control could not be employed; 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 documented in the security plan for the information 

system and approved by the authorizing official. 

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 (see AU-2 example in Section 2.1). After the 

application of the scoping guidance and the selection of compensating security controls, 

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

and determine 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, Executive Orders, directives, 

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

mitigate risk. Organization-defined security control parameters should be documented in the 

security plan for the information system. 

3.4 SUPPLEMENTING THE TAILORED BASELINE

The tailored security control baseline should be viewed as the foundation or starting point in the 

selection of adequate security controls for an information system. The tailored baseline 

represents, for a particular class of information system (derived from the FIPS 199 security 

categorization and modified appropriately for local conditions), the starting point for determining 

the needed level of security due diligence to be 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 

 

43 More than one compensating control may be required to provide the equivalent or comparable protection for a 

particular security control in NIST Special Publication 800-53. 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, accountability, and personnel security controls within the information system. 

44 Organizations should make every attempt to select compensating controls from the security control catalog in NIST 

Special Publication 800-53. Organization-defined compensating controls should be used only as a last resort when the 

security control catalog does not contain suitable compensating controls. 

45 The depth and rigor of the rationale provided should be scaled to the FIPS 199 impact level of the information 

system, with significantly less explanation needed for a low-impact system than for a high-impact system. 

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system is a function of the organization’s assessment of risk and what is required to sufficiently 

mitigate the risks to organizational operations, organizational assets, or individuals.46

In many cases, additional security controls or control enhancements will be needed to address 

specific threats to and vulnerabilities in an information system or to satisfy the requirements of 

applicable laws, Executive Orders, directives, policies, standards, or regulations. The risk 

assessment at this stage in the security control selection process provides important inputs to 

determine the sufficiency of the security controls in the tailored baseline—that is, the security 

controls needed to adequately protect the organization’s operations (including mission, function, 

image, and reputation), the organization’s assets, and individuals. 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 tailored baseline. To assist in this process, the security 

control catalog in Appendix F contains numerous controls and control enhancements that are 

found only in higher-impact baselines or are not included in any of the baselines. 

There may be situations in which an organization discovers it is employing information 

technology beyond its ability to adequately protect critical and/or essential missions. That is, the 

organization cannot apply sufficient security controls within an information system to adequately 

reduce or mitigate mission risk. In those situations, an alternative strategy is needed to protect the 

mission from being impeded; a strategy that considers the mission risks that are being brought 

about by an aggressive use of information technology. Information system use restrictions 

provide an alternative method to reduce or mitigate risk, for example, when: (i) security controls 

cannot be implemented within technology and resource constraints; or (ii) security controls lack 

reasonable expectation of effectiveness against identified threat sources. Restrictions on the use 

of an information system are sometimes the only prudent or practical course of action to enable 

mission accomplishment in the face of determined adversaries. 

The determination of required system use restrictions should be made by organizational officials 

having a vested interest in the accomplishment of organizational missions. These officials 

typically include, but are not limited to, the information system owner, mission owner, 

authorizing official, senior agency information security officer, and chief information officer. 

Examples of use restrictions include: (i) limiting either the information an information system can 

process, store, or transmit or the manner in which a mission is automated; (ii) prohibiting external 

information system access to critical organizational information by removing selected system 

components from the network (i.e., air gapping); and (iii) prohibiting moderate- or high-impact 

information on an information system component to which the public has access, unless an 

explicit determination is made authorizing such access. 

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

selection process, providing a sound rationale 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. The resulting set of 

agreed-upon security controls along with the supporting rationale for control selection decisions 

and any information system use restrictions are documented in the security plan for the 

information system. 

 

46 The organization also considers potential impacts to other organizations and, in accordance with the USA 

PATRIOT Act and Homeland Security Presidential Directives, potential national-level impacts in categorizing the 

information system. 

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Figure 2 summarizes the security control selection process, including the tailoring of the initial 

security control baseline and any additional modifications to the baseline required based on the 

organization’s assessment of risk. 

 Application of 

Tailoring Guidance 

FIGURE 2: SECURITY CONTROL SELECTION PROCESS 

3.5 UPDATING SECURITY CONTROLS

As part of a comprehensive continuous monitoring program, organizations should initiate specific 

actions to determine if there is a need to update the current, agreed-upon set of security controls 

documented in the security plan and implemented within the information system. Specifically, 

the organization should revisit, on a regular basis, the risk management activities described in the 

Risk Management Framework in Section 3.1. Additionally, there are events which can trigger the 

immediate need to assess the security state of the information system and if required, update the 

current security controls. These events include, for example: 

• An incident results in a breach to the information system, producing a loss of confidence in 

the confidentiality, integrity, or availability of information processed, stored, or transmitted 

by the system; 

• A newly identified, credible threat exists to the organization’s operations or assets, or to 

individuals (due to the use of the information system supporting those operations, assets, or 

individuals) based on law enforcement information, intelligence information, or other 

credible sources of information; or 

• Significant changes to the configuration of the information system through the removal or 

addition of new or upgraded hardware, software, or firmware or changes in the operational 

environment potentially degrade the security state of the system. 

When events such as those described above occur, organizations should at a minimum:47

 

47 Organizations should determine the specific types of events that would trigger a modification to the security plan and 

changes to the security controls within the information system. The decision to commit resources in light of such 

events should be guided by an organizational assessment of risk to the organization’s operations and assets, or to 

individuals, that would result if these modifications and changes are not made. 

Scoping Guidance 

Compensating 

Controls 

Parameterization 

Assessment of 

Organizational 

Risk 

 

Supplements 

Tailored Baseline 

Controls to Mitigate 

Unacceptable Risks 

DOCUMENT THE SECURITY CONTROL SELECTION DECISIONS AT EACH STAGE 

 (Rationale that the agreed-upon set of security controls/use restrictions for the information system 

provide adequate protection of organizational operations, organizational assets, and individuals.) 

INITIAL SECURITY 

CONTROL 

BASELINE 

(Low, Mod, High) 

Before Tailoring 

TAILORED 

SECURITY 

CONTROL 

BASELINE 

(Low, Mod, High) 

After Tailoring

AGREED-UPON 

SET OF SECURITY 

CONTROLS 

(Low, Mod, High) 

After Risk 

Assessment

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• Reconfirm the criticality/sensitivity of the information system and the information processed, 

stored, and/or transmitted by that system. 

The organization should reexamine the FIPS 199 impact level of the information system to 

confirm the criticality/sensitivity of the system in supporting its mission operations or 

business case. The resulting impact on organizational operations, organizational assets, or 

individuals may provide new insights as to the overall importance of the system in allowing 

the organization to fulfill its mission responsibilities. 

• Assess the current security state of the information system and reassess the current risk to 

organizational operations, organizational assets, and individuals. 

The organization should investigate the information system vulnerability (or vulnerabilities) 

exploited by the threat source (or that are potentially exploitable by a threat source) and the 

security controls currently implemented within the system as described in the security plan. 

The exploitation of an information system vulnerability (or vulnerabilities) by a threat source 

may be traced to one or more factors including but not limited to: (i) the failure of currently 

implemented security controls; (ii) missing security controls; (iii) insufficient strength of 

security controls; and/or (iv) an increase in the sophistication or capability of the threat 

source. Using the results from the assessment of the current security state, the organization 

should reassess the risks to organizational operations, organizational assets, or individuals 

arising from use of the information system. 

• Plan for and initiate any necessary corrective actions. 

Based on the results of an updated risk assessment, the organization should determine what 

additional security controls and/or control enhancements may be necessary to address the 

vulnerability (or vulnerabilities) related to the event or what corrective actions may be needed 

to fix currently implemented controls deemed to be less than effective. 

The security plan for the information system should then be updated to reflect these 

corrective actions. A Plan of Action and Milestones (POA&M) should be developed for any 

deficiencies noted that are not immediately corrected and for the implementation of any 

security control upgrades or additional controls. After the security controls or control 

upgrades have been implemented and any other noted deficiencies corrected, the controls 

should be assessed for effectiveness. The assessment determines if the security controls are 

implemented correctly, operating as intended, and producing the desired outcome with 

respect to meeting the organization’s security policy. 

• Consider reaccrediting the information system. 

Depending on the severity of the event, the impact on organizational operations, 

organizational assets, or individuals, and the extent of the corrective actions required to fix 

the identified deficiencies in the information system, the organization may need to consider 

reaccrediting the information system in accordance with the provisions of NIST Special 

Publication 800-37. The authorizing official makes the final determination on the need to 

reaccredit the information system in consultation with the system and mission owners, the 

senior agency information security officer, and the chief information officer. The authorizing 

official may choose to conduct an abbreviated reaccreditation focusing only on the affected 

components of the information system and the associated security controls and/or control 

enhancements which have been changed during the update. Authorizing officials should have 

sufficient information from the security certification process to initiate, with an appropriate 

degree of confidence, the necessary corrective actions to adequately protect individuals and 

the organization’s operations and assets. 

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APPENDIX A

REFERENCES

LAWS, POLICIES, DIRECTIVES, REGULATIONS, MEMORANDA, 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 (P.L. 104-13), May 1995. 

4. USA PATRIOT Act (P.L. 107-56), October 2001. 

5. Privacy Act of 1974 (P.L. 93-579), December 1974. 

POLICIES, DIRECTIVES, REGULATIONS, AND MEMORANDA

6. Code of Federal Regulations, Title 5, Administrative Personnel, Section 731.106 

Designation of Public Trust Positions and Investigative Requirements, (5 C.F.R. 731.106). 

7. Code of Federal Regulations, Part 5 Administrative Personnel, Subpart C—Employees 

Responsible for the Management or Use of Federal Computer Systems, Section 930.301 

through 930.305 (5 C.F.R 930.301-305). 

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

February 2003. 

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

Information within Information Systems, June 1999. 

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

Information within Information Systems, May 2000. 

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

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

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

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

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

Submitting Security Plans of Action and Milestones, October 2001. 

14. Office of Management and Budget Memorandum M-03-19, Reporting Instructions for the 

Federal Information Security Management Act and Updated Guidance on Quarterly IT 

Security Reporting, August 2003. 

15. 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. 

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

Federal Agencies, December 2003. 

17. Office of Management and Budget Memorandum M-05-24, Implementation of Homeland 

Security Presidential Directive (HSPD) 12—Policy for a Common Identification Standard 

for Federal Employees and Contractors, August 2005. 

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18. Office of Management and Budget Memorandum M-06-20, FY 2006 Reporting 

Instructions for the Federal Information Security Management Act and Agency Privacy 

Management, July 2006. 

19. Office of Management and Budget Memorandum M-06-16, Protection of Sensitive 

Information, June 2006. 

STANDARDS

20. International Organization for Standardization/International Electrotechnical Commission 

27001, Information Security Management System Requirements, October 2005. 

21. International Organization for Standardization/International Electrotechnical Commission 

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

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

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

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

Publication 180-2, Secure Hash Standard (SHS), August 2002. 

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

Publication 186-2, Digital Signature Standard (DSS), January 2000. 

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

Publication 188, Standard Security Labels for Information Transfer, September 1994. 

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

Publication 190, Guideline for the Use of Advanced Authentication Technology 

Alternatives, September 1994. 

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

Publication 197, Advanced Encryption Standard (AES), November 2001. 

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

Publication 198, The Keyed-Hash Message Authentication Code (HMAC), March 2002. 

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

Publication 199, Standards for Security Categorization of Federal Information and 

Information Systems, February 2004. 

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

Publication 200, Minimum Security Requirements for Federal Information and Information 

Systems, March 2006. 

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

Publication 201-1, Personal Identity Verification of Federal Employees and Contractors, 

March 2006. 

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

Assurance Glossary, June 2006. 

33. National Security Telecommunications and Information Systems Security Instruction 

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

GUIDELINES

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

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

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35. National Institute of Standards and Technology Special Publication 800-13, 

Telecommunications Security Guidelines for Telecommunications Management Network, 

October 1995. 

36. National Institute of Standards and Technology Special Publication 800-14, Generally 

Accepted Principles and Practices for Securing Information Technology Systems, 

September 1996. 

37. National Institute of Standards and Technology Special Publication 800-15, Minimum 

Interoperability Specification for PKI Components (MISPC), Version 1, September 1997. 

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

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

April 1998. 

39. National Institute of Standards and Technology Special Publication 800-17, Modes of 

Operation Validation System (MOVS): Requirements and Procedures, February 1998. 

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

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

41. National Institute of Standards and Technology Special Publication 800-19, Mobile Agent 

Security, October 1999. 

42. National Institute of Standards and Technology Special Publication 800-20, Modes of 

Operation Validation System for the Triple Data Encryption Algorithm (TMOVS): 

Requirements and Procedures, April 2000. 

43. National Institute of Standards and Technology Special Publication 800-21-1, Second 

Edition, Guideline for Implementing Cryptography in the Federal Government, December 

2005. 

44. National Institute of Standards and Technology Special Publication 800-22, A Statistical 

Test Suite for Random and Pseudorandom Number Generators for Cryptographic 

Applications, May 2001. 

45. 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. 

46. National Institute of Standards and Technology Special Publication 800-24, PBX 

Vulnerability Analysis: Finding Holes in Your PBX Before Someone Else Does, August 

2000. 

47. National Institute of Standards and Technology Special Publication 800-25, Federal 

Agency Use of Public Key Technology for Digital Signatures and Authentication, October 

2000. 

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

49. National Institute of Standards and Technology Special Publication 800-27, Revision A, 

Engineering Principles for Information Technology Security (A Baseline for Achieving 

Security), June 2004. 

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

Active Content and Mobile Code, October 2001. 

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51. National Institute of Standards and Technology Special Publication 800-29, A Comparison 

of the Security Requirements for Cryptographic Modules in FIPS 140-1 and FIPS 140-2, 

June 2001. 

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

Management Guide for Information Technology Systems, July 2002. 

53. National Institute of Standards and Technology Special Publication 800-31, Intrusion 

Detection Systems (IDS), November 2001. 

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

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

55. National Institute of Standards and Technology Special Publication 800-33, Underlying 

Technical Models for Information Technology Security, December 2001. 

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

Planning Guide for Information Technology Systems, June 2002. 

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

Information Technology Security Services, October 2003. 

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

Selecting Information Security Products, October 2003. 

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

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

60. National Institute of Standards and Technology Special Publication 800-38A, 

Recommendation for Block Cipher Modes of Operation - Methods and Techniques, 

December 2001. 

61. National Institute of Standards and Technology Special Publication 800-38B, 

Recommendation for Block Cipher Modes of Operation: The CMAC Mode for 

Authentication, May 2005. 

62. National Institute of Standards and Technology Special Publication 800-38C, 

Recommendation for Block Cipher Modes of Operation: the CCM Mode for Authentication 

and Confidentiality, May 2004. 

63. National Institute of Standards and Technology Special Publication 800-38D, 

Recommendation for Block Cipher Modes of Operation: Galois/Counter Mode (GCM) for 

Confidentiality and Authentication (Draft), April 2006. 

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

Creating a Patch and Vulnerability Management Program, November 2005. 

65. National Institute of Standards and Technology Special Publication 800-41, Guidelines on 

Firewalls and Firewall Policy, January 2002. 

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

Network Security Testing, October 2003. 

67. National Institute of Standards and Technology Special Publication 800-43, Systems 

Administration Guidance for Windows 2000 Professional, November 2002. 

68. National Institute of Standards and Technology Special Publication 800-44, Guidelines on 

Securing Public Web Servers, September 2002. 

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69. National Institute of Standards and Technology Special Publication 800-45A (Draft), 

Guidelines on Electronic Mail Security, August 2006. 

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

Telecommuting and Broadband Communications, August 2002. 

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

for Interconnecting Information Technology Systems, August 2002. 

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

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

73. National Institute of Standards and Technology Special Publication 800-49, Federal 

S/MIME V3 Client Profile, November 2002. 

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

Information Technology Security Awareness and Training Program, October 2003. 

75. National Institute of Standards and Technology Special Publication 800-51, Use of the 

Common Vulnerabilities and Exposures (CVE) Vulnerability Naming Scheme, September 

2002. 

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

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

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

Assessing the Security Controls in Federal Information Systems (Second Public Draft), 

April 2006. 

78. National Institute of Standards and Technology Special Publication 800-54, Border 

Gateway Protocol Security (Draft), September 2006. 

79. National Institute of Standards and Technology Special Publication 800-55, Security 

Metrics Guide for Information Technology Systems, July 2003. 

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

Recommendation for Pair-Wise Key Establishment Schemes Using Discrete Logarithm 

Cryptography, March 2006. 

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

Recommendation on Key Management, August 2005. 

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

Considerations for Voice Over IP Systems, January 2005. 

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

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

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

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

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

Security Incident Handling Guide, January 2004. 

86. National Institute of Standards and Technology Special Publication 800-63, Version 1.0.2, 

Electronic Authentication Guideline: Recommendations of the National Institute of 

Standards and Guidelines, April 2006. 

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

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

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

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

89. National Institute of Standards and Technology Special Publication 800-66, An 

Introductory Resource Guide for Implementing the Health Insurance Portability and 

Accountability Act (HIPAA) Security Rule, March 2005. 

90. National Institute of Standards and Technology Special Publication 800-67, 

Recommendation for the Triple Data Encryption Algorithm (TDEA) Block Cipher, May 

2004. 

91. National Institute of Standards and Technology Special Publication 800-68, Guidance for 

Securing Microsoft Windows XP Systems for IT Professionals: A NIST Security 

Configuration Checklist, October 2005. 

92. National Institute of Standards and Technology Special Publication 800-69, Guidance for 

Securing Microsoft Windows XP Home Edition: A NIST Security Configuration Checklist, 

September 2006. 

93. 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. 

94. National Institute of Standards and Technology Special Publication 800-72, Guidelines on 

PDA Forensics, November 2004. 

95. National Institute of Standards and Technology Special Publication 800-73, Revision 1, 

Interfaces for Personal Identity Verification, April 2006. 

96. National Institute of Standards and Technology Special Publication 800-76-1, Biometric 

Data Specification for Personal Identity Verification (Draft), September 2006. 

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

VPNs, December 2005. 

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

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

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

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

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

 Domain Name System (DNS) Deployment Guide, May 2006. 

101. National Institute of Standards and Technology Special Publication 800-82, Guide to

 Supervisory Control and Data Acquisition (SCADA) and Industrial Control Systems 

 Security (Draft), September 2006. 

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

 Malware Incident Prevention and Handling, November 2005. 

103. National Institute of Standards and Technology Special Publication 800-84, Guide to

 Test, Training, and Exercise Programs for IT Plans and Capabilities, September 2006. 

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

 Card Application and Middleware Interface Test Guidelines, April 2006. 

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

 Data Model Test Guidelines, July 2006. 

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106. National Institute of Standards and Technology Special Publication 800-86, Guide to

 Integrating Forensic Techniques into Incident Response, August 2006.

107. National Institute of Standards and Technology Special Publication 800-87, Codes for

 the Identification of Federal and Federally-Assisted Organizations, January 2006. 

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

 For Media Sanitization, September 2006. 

109. National Institute of Standards and Technology Special Publication 800-89, 

 Recommendation for Obtaining Assurances for Digital Signature Applications 

 November 2006. 

110. National Institute of Standards and Technology Special Publication 800-90, 

 Recommendation for Random Number Generation Using Deterministic Random Bit 

 Generators, June 2006. 

111. National Institute of Standards and Technology Special Publication 800-92, Guide to

 Computer Security Log Management, September 2006. 

112. National Institute of Standards and Technology Special Publication 800-94, Guide to

 Intrusion Detection and Prevention (IDP) Systems (Draft), August 2006. 

113. National Institute of Standards and Technology Special Publication 800-95, Guide to

 Secure Web Services (Draft), August 2006. 

114. National Institute of Standards and Technology Special Publication 800-96, PIV Card /

 Reader Interoperability Guidelines, September 2006. 

115. National Institute of Standards and Technology Special Publication 800-97, Guide to

 IEEE 802.11i: Establishing Robust Security Networks (Draft), June 2006. 

116. National Institute of Standards and Technology Special Publication 800-98, Guidance

 for Securing Radio Frequency Identification (RFID) Systems (Draft), September 2006. 

117. National Institute of Standards and Technology Special Publication 800-100, 

 Information Security Handbook: A Guide for Managers, October 2006. 

118. National Institute of Standards and Technology Special Publication 800-101, 

 Guidelines on Cell Phone Forensics (Draft), August 2006. 

MISCELLANEOUS PUBLICATIONS

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

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

120. 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 

[FIPS 200, 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 

[FIPS 200]

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 

[FIPS 200, 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. Synonymous with 

Accreditation Authority. 

Availability 

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

Ensuring timely and reliable access to and use of information. 

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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 boundary protection devices (e.g., proxies, gateways, 

routers, firewalls, guards, encrypted tunnels). 

Boundary Protection 

Device 

A device with appropriate mechanisms that: (i) facilitates the 

adjudication of different interconnected system security policies 

(e.g., controlling the flow of information into or out of an 

interconnected system); and/or (ii) monitors and controls 

communications at the external boundary of an information 

system to prevent and detect malicious and other unauthorized 

communications. Boundary protection devices include such 

components as proxies, gateways, routers, firewalls, guards, and 

encrypted tunnels. 

Certification 

[FIPS 200, 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 

[PL 104-106, 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.

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Commodity Service An information system service (e.g., telecommunications service) 

provided by a commercial service provider typically to a large 

and diverse set of consumers. The organization acquiring and/or 

receiving the commodity service possesses limited visibility into 

the management structure and operations of the provider and 

while the organization may be able to negotiate service-level 

agreements, the organization is typically not in a position to 

require that the provider implement specific security controls. 

Common Carrier In a telecommunications context, a telecommunications company 

that holds itself out to the public for hire to provide 

communications transmission services. Note: In the United 

States, such companies are usually subject to regulation by 

federal and state regulatory commissions. 

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. 

Configuration Control 

[CNSS Inst. 4009] 

Process for controlling modifications to hardware, firmware, 

software, and documentation to protect the information system 

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 Area Any area or space for which the organization has confidence that 

the physical and procedural protections provided are sufficient to 

meet the requirements established for protecting the information 

and/or information 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. 

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External Information 

System (or Component) 

An information system or component of an information system 

that is outside of the accreditation boundary established by the 

organization and for which the organization typically has no 

direct control over the application of required security controls or 

the assessment of security control effectiveness. 

External Information 

System Service 

An information system service that is implemented outside of the 

accreditation boundary of the organizational information system 

(i.e., a service that is used by, but not a part of, the organizational 

information system). 

External Information 

System Service Provider 

A provider of external information system services to an 

organization through a variety of consumer-producer 

relationships including but not limited to: joint ventures; business 

partnerships; outsourcing arrangements (i.e., through contracts, 

interagency agreements, lines of business arrangements); 

licensing agreements; and/or supply chain exchanges. 

Federal Enterprise 

Architecture 

[FEA Program Management 

Office]

A business-based framework for governmentwide 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 

[FIPS 200]

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. 

Incident 

[FIPS 200] 

An occurrence that actually or potentially jeopardizes the 

confidentiality, integrity, or availability of an information system 

or the information the system processes, stores, or transmits or 

that constitutes a violation or imminent threat of violation of 

security policies, security procedures, or acceptable use policies. 

Industrial Control System An information system used to control industrial processes such 

as manufacturing, product handling, production, and distribution. 

Industrial control systems include supervisory control and data 

acquisition (SCADA) systems used to control geographically 

dispersed assets, as well as distributed control systems (DCS) and 

smaller control systems using programmable logic controllers to 

control localized processes. 

Information 

[FIPS 199] 

An instance of an information type. 

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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. 

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 maintaining the 

appropriate operational security posture 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. 

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Label See Security Label. 

Line of Business The following OMB-defined process areas common to virtually 

all federal agencies: Case Management, Financial Management, 

Grants Management, Human Resources Management, Federal 

Health Architecture, Information Systems Security, Budget 

Formulation and Execution, Geospatial, and IT Infrastructure. 

Local Access Access to an organizational information system by a user (or an 

information system) communicating through an internal 

organization-controlled network (e.g., local area network) or 

directly to a device without the use of a network. 

Low-Impact System 

[FIPS 200]

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. 

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. 

Spyware and some forms of adware are also examples of 

malicious code. 

Malware See Malicious Code. 

Management Controls 

[FIPS 200] 

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 

[FIPS 200] 

Physical devices or writing surfaces including, but not limited to, 

magnetic tapes, optical disks, magnetic disks, Large-Scale 

Integration (LSI) memory chips, and printouts (but not including 

display media) onto which information is recorded, stored, or 

printed within an information system. 

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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. 

Media Sanitization 

[NIST SP 800-88]

A general term referring to the actions taken to render data 

written on media unrecoverable by both ordinary and 

extraordinary means. 

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 

[FIPS 200]

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. 

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. 

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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 

[FIPS 200]

The security controls (i.e., safeguards or countermeasures) for an 

information system that are primarily implemented and executed 

by people (as opposed to systems). 

Organization 

[FIPS 200] 

A federal agency or, as appropriate, any of its operational 

elements. 

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. 

Privileged Function A function executed on an information system involving the 

control, monitoring, or administration of the system. 

Privileged User 

[CNSS Inst. 4009]

Individual who has access to system control, monitoring, or 

administration functions (e.g., system administrator, information 

system security officer, maintainer, system programmer). 

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. 

Records The recordings (automated and/or manual) 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 to an organizational information system by a user (or an 

information system) communicating through an external, nonorganization-controlled network (e.g., the Internet). 

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Remote Maintenance Maintenance activities conducted by individuals communicating 

through an external, non-organization-controlled network (e.g., 

the Internet). 

Risk 

[FIPS 200] 

The level of impact on organizational operations (including 

mission, functions, image, or reputation), organizational 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, Adapted] 

The process of identifying risks to agency operations (including 

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

individuals arising through the operation of the information 

system. Part of risk management, synonymous with risk analysis, 

incorporates threat and vulnerability analyses, and considers 

mitigations provided by planned or in place security controls. 

Risk Management 

[FIPS 200] 

The process of managing risks to organizational operations 

(including mission, functions, image, or reputation), 

organizational assets, or individuals resulting from the operation 

of an information system, and includes: (i) the conduct of a risk 

assessment; (ii) the implementation of a risk mitigation strategy; 

and (iii) employment of techniques and procedures for the 

continuous monitoring of the security state of the information 

system. 

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. 

Scoping Guidance Provides organizations with specific policy/regulatory-related, 

technology-related, physical infrastructure-related, 

operational/environmental-related, public access-related, 

scalability-related, common security control-related, and security 

objective-related considerations on the applicability and 

implementation of individual security controls in the control 

baseline. 

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 

[FIPS 200]

The set of minimum security controls defined for a low-impact, 

moderate-impact, or high-impact information system. 

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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 Functions The hardware, software, and firmware of the information system 

responsible for supporting and enforcing the system security 

policy and supporting the isolation of code and data on which the 

protection is based. 

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 Incident See Incident. 

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 

[FIPS 199]

Confidentiality, integrity, or availability. 

Security Perimeter See Accreditation Boundary. 

Security Plan See System Security Plan. 

Security Requirements 

[FIPS 200] 

Requirements levied on an information system that are derived 

from applicable laws, Executive Orders, directives, policies, 

standards, instructions, regulations, procedures, or organizational 

mission/business case 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. 

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. 

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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. 

Tailoring The process by which a security control baseline selected in 

accordance with the FIPS 199 security categorization of the 

information system is modified based on: (i) the application of 

scoping guidance; (ii) the specification of compensating security 

controls, if needed; and (iii) the specification of organizationdefined parameters in the security controls, where allowed. 

Tailored Security Control 

Baseline 

Set of security controls resulting from the application of the 

tailoring guidance to the security control baseline. 

Technical Controls 

[FIPS 200]

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 Source 

[FIPS 200]

The intent and method targeted at the intentional exploitation of a 

vulnerability or a situation and method that may accidentally 

trigger a vulnerability. Synonymous with threat agent. 

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 

DCID Director of Central Intelligence Directive 

DNS Domain Name System 

FIPS Federal Information Processing Standards 

FISMA Federal Information Security Management Act 

IEEE Institute of Electrical and Electronics Engineers 

IPsec Internet Protocol Security 

NIST National Institute of Standards and Technology 

NSTISSI National Security Telecommunications and Information System Security 

Instruction 

OMB Office of Management and Budget 

PIV Personal Identity Verification 

PKI Public Key Infrastructure 

POAM Plan of Action and Milestones 

SP Special Publication 

TSP Telecommunications Service Priority 

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. The three security 

control baselines are hierarchical in nature with regard to the security controls employed in 

those baselines.48 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 use by organizations if needed; for example, when the results of 

a risk assessment indicate the need for additional controls or control enhancements in order to 

adequately mitigate risks to individuals, the organization, or its assets. 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 

 

48 The hierarchical nature applies to the security requirements of each control (i.e., the base control plus all of its 

enhancements) at the low-impact, moderate-impact, and high-impact level in that the control requirements at a 

particular impact level (e.g., AC-18 Wireless Access Restrictions—Moderate: AC-18 (1)) meets a stronger set of 

security requirements for that control than the next lower impact level of the same control (e.g., AC-18 Wireless Access 

Restrictions—Low: AC-18). Since the numerical designation of a control enhancement is neither indicative of the 

relative strength of the enhancement nor assumes any hierarchical relationship among enhancements, there are some 

controls (e.g., IA-2) that may not appear to satisfy the hierarchical nature of the security requirements of each control 

even though they do. For example, with IA-2 User Identification and Authentication, enhancement (1) is called out for 

the moderate baseline and enhancements (2) and (3) are called out for the high baseline. In this case, high [IA-2(2)(3)] 

is hierarchical to moderate [IA-2(1)] with regard to the security requirements being imposed. 

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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) 

(4) 

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 (1) 

AC-13 Supervision and Review—Access Control AC-13 AC-13 (1) 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) (4) 

AC-17 (1) (2) 

(3) (4) 

AC-18 Wireless Access Restrictions AC-18 AC-18 (1) AC-18 (1) (2) 

AC-19 Access Control for Portable and Mobile Devices Not Selected AC-19 AC-19 

AC-20 Use of External Information Systems AC-20 AC-20 (1) AC-20 (1) 

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 (3) AU-2 (1) (2) (3) 

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 Response to Audit Processing Failures AU-5 AU-5 AU-5 (1) (2) 

AU-6 Audit Monitoring, Analysis, and Reporting Not Selected AU-6 (2) AU-6 (1) (2) 

AU-7 Audit Reduction and Report Generation Not Selected AU-7 (1) AU-7 (1) 

AU-8 Time Stamps AU-8 AU-8 (1) AU-8 (1) 

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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 Record 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 CA-2 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 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) 

CM-8 Information System Component Inventory CM-8 CM-8 (1) CM-8 (1) (2) 

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) (2) 

CP-3 Contingency Training Not Selected CP-3 CP-3 (1) 

CP-4 Contingency Plan Testing and Exercises Not Selected CP-4 (1) CP-4 (1) (2) 

CP-5 Contingency Plan Update CP-5 CP-5 CP-5 

CP-6 Alternate Storage Site Not Selected CP-6 (1) (3) CP-6 (1) (2) (3) 

CP-7 Alternate Processing Site 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) (4) CP-9 (1) (2) (3) 

(4) 

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 (1) IA-2 (2) (3) 

IA-3 Device Identification and Authentication Not Selected IA-3 IA-3 

IA-4 Identifier Management IA-4 IA-4 IA-4 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

IA-5 Authenticator Management IA-5 IA-5 IA-5 

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 and Exercises 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 Controlled 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 (1) (2) 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 (1) MP-2 (1) 

MP-3 Media Labeling Not Selected Not Selected MP-3 

MP-4 Media Storage Not Selected MP-4 MP-4 

MP-5 Media Transport Not Selected MP-5 (1) (2) MP-5 (1) (2) (3) 

MP-6 Media Sanitization and Disposal MP-6 MP-6 MP-6 (1) (2) 

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 (1) 

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 Records PE-8 PE-8 PE-8 (1) (2) 

PE-9 Power Equipment and Power Cabling Not Selected PE-9 PE-9 

PE-10 Emergency Shutoff Not Selected PE-10 PE-10 (1) 

PE-11 Emergency Power Not Selected PE-11 PE-11 (1) 

PE-12 Emergency Lighting PE-12 PE-12 PE-12 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

PE-13 Fire Protection PE-13 PE-13 (1) (2) 

(3) 

PE-13 (1) (2) 

(3) 

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 (1) 

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 (1) SA-4 (1) 

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 Engineering Principles Not Selected SA-8 SA-8 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

SA-9 External Information System Services SA-9 SA-9 SA-9 

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 Remnance 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) (2) (3) 

(4) (5) 

SC-7 (1) (2) (3) 

(4) (5) (6) 

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 

Management 

Not Selected SC-12 SC-12 

SC-13 Use of 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 /Address Resolution Service 

(Authoritative Source) 

Not Selected SC-20 SC-20 

SC-21 Secure Name /Address Resolution Service 

(Recursive or Caching Resolver) 

Not Selected Not Selected SC-21 

SC-22 Architecture and Provisioning for Name/Address 

Resolution Service 

Not Selected SC-22 SC-22 

SC-23 Session Authenticity Not Selected SC-23 SC-23 

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 (2) SI-2 (1) (2) 

SI-3 Malicious Code Protection SI-3 SI-3 (1) (2) SI-3 (1) (2) 

SI-4 Information System Monitoring Tools and 

Techniques 

Not Selected SI-4 (4) SI-4 (2) (4) (5) 

SI-5 Security Alerts and Advisories SI-5 SI-5 SI-5 (1) 

SI-6 Security Functionality Verification Not Selected Not Selected SI-6 

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CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

SI-7 Software and Information Integrity Not Selected Not Selected SI-7 (1) (2) 

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 

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 implementers49 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 controls 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 supporting increased confidence 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 actions supporting 

increased confidence in the 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 supporting increased confidence that 

the control meets its required function or purpose. This documentation is also needed by assessors to 

analyze and test the functional properties of the control as part of the overall assessment of the control. 

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 

 

49 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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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 supporting increased confidence 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, 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. 

This documentation is also 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 

supporting increased confidence 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 necessary 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 functionality 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 within 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 are expected to apply the supplemental guidance as appropriate, when 

defining, developing, and implementing security controls. In certain instances, the supplemental 

guidance provides more detail concerning the control requirements or 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. In addition, 

applicable laws, 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.50

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. The numerical designation of a security control 

enhancement is used only to identify a particular enhancement within the control structure. The 

designation is neither indicative of the relative strength of the control enhancement nor assumes 

any hierarchical relationship among enhancements. 

 

50 NIST Special Publications listed in the supplemental guidance sections of security controls are assumed to refer to 

the most recent updates to those publications. For example, a reference to NIST Special Publication 800-18 refers to 

the Special Publication 800-18, Revision 1, which is the latest version of the security planning guideline. 

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PAGE 54 

The security controls described in this catalog should be employed in federal information systems in 

accordance with the risk management guidance provided in Chapter Three. 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; and (iii) inserting 

organization-defined security control parameters, where allowed. Since the baseline security controls 

represent the minimum controls for low-impact, moderate-impact, and high-impact information systems, 

respectively, there are additional controls and control enhancements that appear in the catalog that are 

not used in any of the baselines. These additional security controls and control enhancements are 

available to organizations and can be used in supplementing the tailored baselines to achieve the 

needed level of protection in accordance with an organizational assessment of risk. Moreover, security 

controls and control enhancements contained in higher-level baselines can also be used by 

organizations to strengthen the level of protection provided in lower-level baselines, if deemed 

appropriate. 

Cautionary Note 
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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 

laws, Executive Orders, 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, at least annually]. 

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/need-to-share 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. 

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/need-to-share 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 audit account creation, modification, 

disabling, and termination actions and to notify, as required, appropriate individuals. 

LOW AC-2 MOD AC-2 (1) (2) (3) (4) 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, 

rule-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. Consideration is given 

to the implementation of a controlled, audited, and manual override of automated mechanisms in 

the event of emergencies or other serious events. If encryption of stored information is employed 

as an access enforcement mechanism, the cryptography used is FIPS 140-2 (as amended) 

compliant. Related security control: SC-13. 

Control Enhancements: 

(1) The information system restricts access to privileged functions (deployed in hardware, software, 

and firmware) and security-relevant information to explicitly authorized personnel. 

Enhancement Supplemental Guidance: Explicitly authorized personnel include, for example, 

security administrators, system and network administrators, and other privileged users. 

Privileged users are individuals who have access to system control, monitoring, or 

administration functions (e.g., system administrators, information system security officers, 

maintainers, system programmers).

LOW AC-3 MOD AC-3 (1) HIGH AC-3 (1)

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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 regulates where information is allowed to travel 

within an information system and between information systems (as opposed to who is allowed to 

access the information) and without explicit regard to subsequent accesses to that information. A 

few, of many, generalized examples of possible restrictions that are better expressed as flow 

control than access control are: keeping export controlled information from being transmitted in 

the clear to the Internet, blocking outside traffic that claims to be from within the organization, and 

not passing any web requests to the Internet that are not from the internal web proxy. Information 

flow control policies and enforcement mechanisms are commonly employed by organizations to 

control the flow of information between designated sources and destinations (e.g., networks, 

individuals, devices) within information systems and between interconnected systems. Flow 

control is based on the characteristics of the information and/or the information path. Specific 

examples of flow control enforcement can be found in boundary protection devices (e.g., proxies, 

gateways, guards, encrypted tunnels, firewalls, and routers) that employ rule sets or establish 

configuration settings that restrict information system services or provide a packet filtering 

capability. Related security control: SC-7.

Control Enhancements:

(1) The information system implements information flow control enforcement using explicit labels on 

information, source, and destination objects as a basis for flow control decisions. 

Enhancement Supplemental Guidance: Information flow control enforcement using explicit 

labels is used, for example, to control the release of certain types of information.

(2) The information system implements information flow control enforcement using protected 

processing domains (e.g., domain type-enforcement) as a basis for flow control decisions. 

(3) The information system implements information flow control enforcement using dynamic security 

policy mechanisms as a basis for flow control decisions. 

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 laws, Executive 

Orders, 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 and when appropriate, is displayed before granting access; (ii) any references to 

monitoring, recording, or auditing are in keeping with privacy accommodations for such systems 

that 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 

after [Assignment: organization-defined time period] of inactivity, and the session lock remains in 

effect until the user reestablishes access using appropriate identification and authentication 

procedures. 

Supplemental Guidance: Users can directly initiate session lock mechanisms. A session lock is not a 

substitute for logging out of the information system. Organization-defined time periods of 

inactivity comply with federal policy; for example, in accordance with OMB Memorandum 06-16, 

the organization-defined time period is no greater than thirty minutes for remote access and 

portable devices. 

Control Enhancements: None. 

LOW Not Selected MOD AC-11 HIGH AC-11

AC-12 SESSION TERMINATION 

Control: The information system automatically terminates a remote session after [Assignment: 

organization-defined time period] of inactivity. 

Supplemental Guidance: A remote session is initiated whenever an organizational information 

system is accessed by a user (or an information system) communicating through an external, nonorganization-controlled network (e.g., the Internet). 

Control Enhancements:

(1) Automatic session termination applies to local and remote sessions. 

LOW Not Selected MOD AC-12 HIGH AC-12 (1)

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. The extent of the audit record reviews is 

based on the FIPS 199 impact level of the information system. For example, for low-impact 

systems, it is not intended that security logs be reviewed frequently for every workstation, but 

rather at central points such as a web proxy or email servers and when specific circumstances 

warrant review of other audit records. NIST Special Publication 800-92 provides guidance on 

computer security log management. 

Control Enhancements: 

(1) The organization employs automated mechanisms to facilitate the review of user activities. 

LOW AC-13 MOD AC-13 (1) HIGH AC-13 (1)

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AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION 

Control: The organization identifies and documents 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 (e.g., 

individuals accessing a federal information system at http://www.firstgov.gov). Related security 

control: IA-2. 

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 markings employed on external media (e.g., 

hardcopy documents output from the information system). The markings 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 authorizes, monitors, and controls all methods of remote access to the 

information system. 

Supplemental Guidance: Remote access is any access to an organizational information system by a 

user (or an information system) communicating through an external, non-organization-controlled 

network (e.g., the Internet). Examples of remote access methods include dial-up, broadband, and 

wireless. 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). 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. Related security control: IA-2. 

Control Enhancements: 

(1) The organization employs automated mechanisms to facilitate the monitoring and control of 

remote access methods. 

(2) The organization uses cryptography to protect the confidentiality and integrity of remote access 

sessions. 

(3) The organization controls all remote accesses through a limited number of managed access 

control points. 

(4) The organization permits remote access for privileged functions only for compelling operational 

needs and documents the rationale for such access in the security plan for the information system. 

LOW AC-17 MOD AC-17 (1) (2) (3) (4) HIGH AC-17 (1) (2) (3) (4)

AC-18 WIRELESS ACCESS RESTRICTIONS 

Control: The organization: (i) establishes usage restrictions and implementation guidance for 

wireless technologies; and (ii) authorizes, monitors, controls wireless access to the information 

system.

Supplemental Guidance: NIST Special Publications 800-48 and 800-97 provide guidance on 

wireless network security. NIST Special Publication 800-94 provides guidance on wireless 

intrusion detection and prevention. 

Control Enhancements: 

(1) The organization uses authentication and encryption to protect wireless access to the information 

system. 

(2) The organization scans for unauthorized wireless access points [Assignment: organization-defined 

frequency] and takes appropriate action if such an access points are discovered. 

Enhancement Supplemental Guidance: Organizations conduct a thorough scan for unauthorized 

wireless access points in facilities containing high-impact information systems. The scan is 

not limited to only those areas within the facility containing the high-impact information 

systems.

LOW AC-18 MOD AC-18 (1) HIGH AC-18 (1) (2)

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AC-19 ACCESS CONTROL FOR PORTABLE AND MOBILE DEVICES 

Control: The organization: (i) establishes usage restrictions and implementation guidance for 

organization-controlled portable and mobile devices; and (ii) authorizes, monitors, and controls 

device access to organizational information systems. 

Supplemental Guidance: Portable and mobile devices (e.g., notebook computers, personal digital 

assistants, cellular telephones, and other computing and communications devices with network 

connectivity and the capability of periodically operating in different physical locations) are only 

allowed access to organizational information systems in accordance with organizational security 

policies and procedures. Security policies and procedures include device identification and 

authentication, implementation of mandatory protective software (e.g., malicious code detection, 

firewall), configuration management, scanning devices for malicious code, updating virus 

protection software, scanning for critical software updates and patches, conducting primary 

operating system (and possibly other resident software) integrity checks, and disabling 

unnecessary hardware (e.g., wireless, infrared). Protecting information residing on portable and 

mobile devices (e.g., employing cryptographic mechanisms to provide confidentiality and integrity 

protections during storage and while in transit when outside of controlled areas) is covered in the 

media protection family. Related security controls: MP-4, MP-5. 

Control Enhancements: None.

LOW Not Selected MOD AC-19 HIGH AC-19

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AC-20 USE OF EXTERNAL INFORMATION SYSTEMS 

Control: The organization establishes terms and conditions for authorized individuals to: (i) access 

the information system from an external information system; and (ii) process, store, and/or 

transmit organization-controlled information using an external information system. 

Supplemental Guidance: External information systems are information systems or components of 

information systems that are outside of the accreditation boundary established by the organization 

and for which the organization typically has no direct control over the application of required 

security controls or the assessment of security control effectiveness. External information systems 

include, but are not limited to, personally owned information systems (e.g., computers, cellular 

telephones, or personal digital assistants); privately owned computing and communications 

devices resident in commercial or public facilities (e.g., hotels, convention centers, or airports); 

information systems owned or controlled by nonfederal governmental organizations; and federal 

information systems that are not owned by, operated by, or under the direct control of the 

organization. 

Authorized individuals include organizational personnel, contractors, or any other individuals with 

authorized access to the organizational information system. This control does not apply to the use 

of external information systems to access organizational information systems and information that 

are intended for public access (e.g., individuals accessing federal information through public 

interfaces to organizational information systems). The organization establishes terms and 

conditions for the use of external information systems in accordance with organizational security 

policies and procedures. The terms and conditions address as a minimum; (i) the types of 

applications that can be accessed on the organizational information system from the external 

information system; and (ii) the maximum FIPS 199 security category of information that can be 

processed, stored, and transmitted on the external information system. 

Control Enhancements:

(1) The organization prohibits authorized individuals from using an external information system to 

access the information system or to process, store, or transmit organization-controlled information 

except in situations where the organization: (i) can verify the employment of required security 

controls on the external system as specified in the organization’s information security policy and 

system security plan; or (ii) has approved information system connection or processing 

agreements with the organizational entity hosting the external information system. 

LOW AC-20 MOD AC-20 (1) HIGH AC-20 (1)

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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 laws, Executive Orders, 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 provides basic security awareness training to all information system 

users (including managers and senior executives) before authorizing access to the system, when 

required by system changes, 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 C.F.R. Part 5 Subpart C (5 C.F.R 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 that have significant information system security 

roles and responsibilities during the system development life cycle, documents those roles and 

responsibilities, and provides appropriate information system security training: (i) before 

authorizing access to the system or performing assigned duties; (ii) when required by system 

changes; and (iii) [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 provides system managers, system 

and network administrators, and other personnel having access to system-level software, adequate 

technical training to perform their assigned duties. The organization’s security training program is 

consistent with the requirements contained in C.F.R. Part 5 Subpart C (5 C.F.R 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, professional associations, news groups, and/or peer groups of security 

professionals in similar organizations to stay up to date with the latest recommended security 

practices, techniques, and technologies and to share the latest security-related information 

including threats, vulnerabilities, and incidents. 

Supplemental Guidance: To facilitate ongoing security education and training for organizational 

personnel in an environment of rapid technology changes and dynamic threats, the organization 

establishes and institutionalizes contacts with selected groups and associations within the security 

community. The groups and associations selected are in keeping with the organization’s mission 

requirements. Information sharing activities regarding threats, vulnerabilities, and incidents 

related to information systems are consistent with applicable laws, Executive Orders, directives, 

policies, regulations, standards, and guidance. 

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 laws, Executive Orders, 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 purpose of this control is to identify important events which need to be 

audited as significant and relevant to the security of the information system. 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. Audit records can be generated at various levels of abstraction, 

including at the packet level as information traverse the network. Selecting the right level of 

abstraction for audit record generation is a critical aspect of an audit capability and can facilitate 

the identification of root causes to problems. Additionally, the security audit function is 

coordinated with the network health and status monitoring function to enhance the mutual support 

between the two functions by the selection of information to be recorded by each function. 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 afterthe-fact investigations of security incidents. NIST Special Publication 800-92 provides guidance 

on computer security log management. 

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. 

(3) The organization periodically reviews and updates the list of organization-defined auditable events. 

LOW AU-2 MOD AU-2 (3) HIGH AU-2 (1) (2) (3)

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AU-3 CONTENT OF AUDIT RECORDS 

Control: The information system produces audit records that contain sufficient information 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) user/subject identity; and (v) the 

outcome (success or failure) of the event. NIST Special Publication 800-92 provides guidance on 

computer security log management. 

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 reduce the likelihood of such capacity being exceeded.

Supplemental Guidance: The organization provides sufficient audit storage capacity, taking into 

account the auditing to be performed and the online audit processing requirements. Related 

security controls: AU-2, AU-5, AU-6, AU-7, SI-4. 

Control Enhancements: None. 

LOW AU-4 MOD AU-4 HIGH AU-4

AU-5 RESPONSE TO AUDIT PROCESSING FAILURES 

Control: The information system alerts appropriate organizational officials in the event of an audit 

processing failure 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: Audit processing failures include, for example, software/hardware errors, 

failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. 

Related security control: AU-4. 

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]. 

(2) The information system provides a real-time alert when the following audit failure events occur: 

[Assignment: organization-defined audit failure events requiring real-time alerts]. 

LOW AU-5 MOD AU-5 HIGH AU-5 (1) (2)

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AU-6 AUDIT MONITORING, ANALYSIS, AND REPORTING 

Control: The organization regularly reviews/analyzes information system 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: Organizations increase the level of audit monitoring and analysis activity 

within the information system whenever there is an indication of increased risk to organizational 

operations, organizational assets, or individuals based on law enforcement information, 

intelligence information, or other credible sources of information. 

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 alert security personnel of the following 

inappropriate or unusual activities with security implications: [Assignment: organization-defined 

list of inappropriate or unusual activities that are to result in alerts]. 

LOW Not Selected MOD AU-6 (2) HIGH AU-6 (1) (2)

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 (1) 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 (including date and time) of audit records are generated using 

internal system clocks. 

Control Enhancements:

(1) The organization synchronizes internal information system clocks [Assignment: organizationdefined frequency]. 

LOW AU-8 MOD AU-8 (1) HIGH AU-8 (1)

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AU-9 PROTECTION OF AUDIT INFORMATION 

Control: The information system protects audit information and audit tools from unauthorized 

access, modification, and deletion. 

Supplemental Guidance: Audit information includes all information (e.g., audit records, audit 

settings, and audit reports) needed to successfully audit information system activity. 

Control Enhancements: 

(1) The information system produces audit records on hardware-enforced, write-once media. 

LOW AU-9 MOD AU-9 HIGH AU-9

AU-10 NON-REPUDIATION 

Control: The information system provides the capability to determine whether a given individual 

took a particular action.

Supplemental Guidance: Examples of particular actions taken by individuals include creating 

information, sending a message, approving information (e.g., indicating concurrence or signing a 

contract), and receiving a message. 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 not having 

signed a document. Non-repudiation 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 RECORD RETENTION 

Control: The organization retains audit records 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: The organization retains audit records until it is determined that they are no 

longer needed for administrative, legal, audit, or other operational purposes. This includes, for 

example, retention and availability of audit records relative to Freedom of Information Act (FOIA) 

requests, subpoena, and law enforcement actions. Standard categorizations of audit records 

relative to such types of actions and standard response processes for each type of action are 

developed and disseminated. NIST Special Publication 800-61 provides guidance on computer 

security incident handling and audit record 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 laws, Executive Orders, 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. The organization 

defines what constitutes a significant change to the information system to achieve consistent 

security reaccreditations. 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

 

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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 assessed 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 in the security certification and accreditation process. To satisfy the 

annual FISMA assessment requirement, organizations can draw upon the security control 

assessment results from any of the following sources, including but not limited to: (i) security 

certifications conducted as part of an information system accreditation or reaccreditation process 

(see CA-4); (ii) continuous monitoring activities (see CA-7); or (iii) testing and evaluation of the 

information system as part of the ongoing system development life cycle process (provided that 

the testing and evaluation results are current and relevant to the determination of security control 

effectiveness). Existing security assessment results are reused to the extent that they are still valid 

and are supplemented with additional assessments as needed. 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. 

OMB does not require an annual assessment of all security controls employed in an organizational 

information system. In accordance with OMB policy, organizations must annually assess a subset 

of the security controls based on: (i) the FIPS 199 security categorization of the information 

system; (ii) the specific security controls selected and employed by the organization to protect the 

information system; and (iii) the level of assurance (or confidence) that the organization must have 

in determining the effectiveness of the security controls in the information system. It is expected 

that the organization will assess all of the security controls in the information system during the 

three-year accreditation cycle. The organization can use the current year’s assessment results 

obtained during security certification to meet the annual FISMA assessment requirement (see CA4). NIST Special Publication 800-53A provides guidance on security control assessments to 

include reuse of existing assessment results. Related security controls: CA-4, CA-6, CA-7, SA11. 

Control Enhancements: None.

LOW CA-2 MOD CA-2 HIGH CA-2

CA-3 INFORMATION SYSTEM CONNECTIONS 

Control: The organization authorizes all connections from the information system to other 

information systems outside of the accreditation boundary through the use of system connection 

agreements and monitors/controls the system connections on an ongoing basis. 

Supplemental Guidance: Since FIPS 199 security categorizations apply to individual information 

systems, the organization carefully considers 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 also include 

information systems sharing the same networks. NIST Special Publication 800-47 provides 

guidance on connecting information systems. Related security controls: SC-7, SA-9. 

Control Enhancements: None. 

LOW CA-3 MOD CA-3 HIGH CA-3

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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 security accreditation (i.e., authorization) decisions and 

is integrated into and spans the system development life cycle. The organization assesses all 

security controls in an information system during the initial security accreditation. Subsequent to 

the initial accreditation and in accordance with OMB policy, the organization assesses a subset of 

the controls annually during continuous monitoring (see CA-7). The organization can use the 

current year’s assessment results obtained during security certification to meet the annual FISMA 

assessment requirement (see CA-2). NIST Special Publication 800-53A provides guidance on 

security control assessments. NIST Special Publication 800-37 provides guidance on security 

certification and accreditation. Related security controls: CA-2, CA-6, SA-11. 

Control Enhancements: 

(1) The organization employs an independent certification agent or certification team to conduct an 

assessment of the security controls in the information system. 

Enhancement Supplemental Guidance: An independent certification agent or certification team is 

any individual or group capable of conducting an impartial assessment of an organizational 

information system. Impartiality implies that the assessors are free from any perceived or 

actual conflicts of interest with respect to the developmental, operational, and/or management 

chain of command associated with the information system or to the determination of security 

control effectiveness. Independent security certification services can be obtained from other 

elements within the organization or can be contracted to a public or private sector entity 

outside of the organization. Contracted certification services are considered independent if 

the information system owner is not directly involved in the contracting process or cannot 

unduly influence the independence of the certification agent or certification team conducting 

the assessment of the security controls in the information system. The authorizing official 

decides on the required level of certifier independence based on the criticality and sensitivity 

of the information system and the ultimate risk to organizational operations and 

organizational assets, and to individuals. The authorizing official determines if the level of 

certifier independence is sufficient to provide confidence that the assessment results produced 

are sound and can be used to make a credible, risk-based decision. In special situations, for 

example when the organization that owns the information system is small or the 

organizational structure requires that the assessment of the security controls be accomplished 

by individuals that are in the developmental, operational, and/or management chain of the 

system owner or authorizing official, independence in the certification process can be 

achieved by ensuring the assessment results are carefully reviewed and analyzed by an 

independent team of experts to validate the completeness, consistency, and veracity of the 

results. The authorizing official should consult with the Office of the Inspector General, the 

senior agency information security officer, and the chief information officer to fully discuss 

the implications of any decisions on certifier independence in the types of special 

circumstances described above. 

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 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 is a key document in the security 

accreditation package developed for the authorizing official and is subject to federal reporting 

requirements established by OMB. The plan of action and milestones updates are based on the 

findings from security control assessments, security impact analyses, and continuous monitoring 

activities. OMB FISMA reporting guidance contains instructions regarding organizational plans 

of action and milestones. 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] or when there is a significant change to the system. 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. The security accreditation of an information system is not a static process. Through 

the employment of a comprehensive continuous monitoring process (the fourth and final phase of 

the certification and accreditation process), the critical information contained in the accreditation 

package (i.e., the system security plan, the security assessment report, and the plan of action and 

milestones) is updated on an ongoing basis providing the authorizing official and the information 

system owner with an up-to-date status of the security state of the information system. To reduce 

the administrative burden of the three-year reaccreditation process, the authorizing official uses 

the results of the ongoing continuous monitoring process to the maximum extent possible as the 

basis for rendering a reaccreditation decision. NIST Special Publication 800-37 provides guidance 

on the security certification and accreditation of information systems. Related security controls: 

CA-2, CA-4, CA-7. 

Control Enhancements: None. 

LOW CA-6 MOD CA-6 HIGH CA-6

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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 assesses all 

security controls in an information system during the initial security accreditation. Subsequent to 

the initial accreditation and in accordance with OMB policy, the organization assesses a subset of 

the controls annually during continuous monitoring. The selection of an appropriate subset of 

security controls is based on: (i) the FIPS 199 security categorization of the information system; 

(ii) the specific security controls selected and employed by the organization to protect the 

information system; and (iii) the level of assurance (or grounds for confidence) that the 

organization must have in determining the effectiveness of the security controls in the information 

system. The organization establishes the selection criteria and subsequently selects a subset of the 

security controls employed within the information system for assessment. The organization also 

establishes the schedule for control monitoring to ensure adequate coverage is achieved. Those 

security controls that are volatile or critical to protecting the information system are assessed at 

least annually. All other controls are assessed at least once during the information system’s threeyear accreditation cycle. The organization can use the current year’s assessment results obtained 

during continuous monitoring to meet the annual FISMA assessment requirement (see CA-2). 

This control is closely related to and mutually supportive of the activities required in monitoring 

configuration changes to the information system. An effective continuous monitoring program 

results in ongoing updates to the information system security plan, the security assessment report, 

and the plan of action and milestones—the three principle documents in the security accreditation 

package. A rigorous and well executed continuous monitoring process significantly reduces the 

level of effort required for the reaccreditation of the information system. 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. Related security 

controls: CA-2, CA-4, CA-5, CA-6, CM-4. 

Control Enhancements: 

(1) The organization employs an independent certification agent or certification team to monitor the 

security controls in the information system on an ongoing basis. 

Enhancement Supplemental Guidance: The organization can extend and maximize the value of 

the ongoing assessment of security controls during the continuous monitoring process by 

requiring an independent certification agent or team to assess all of the security controls 

during the information system’s three-year accreditation cycle. Related security controls: 

CA-2, CA-4, CA-5, CA-6, CM-4.

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 laws, Executive Orders, 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 

Control: The organization develops, documents, and maintains a current baseline configuration of 

the information system. 

Supplemental Guidance: This control establishes a baseline configuration for the information 

system. The baseline configuration provides information about a particular component’s makeup 

(e.g., the standard software load for a workstation or notebook computer including updated patch 

information) and the component’s logical placement within the information system architecture. 

The baseline configuration also provides the organization with a well-defined and documented 

specification to which the information system is built and deviations, if required, are documented 

in support of mission needs/objectives. The baseline configuration of the information system is 

consistent with the Federal Enterprise Architecture. Related security controls: CM-6, CM-8. 

Control Enhancements: 

(1) The organization updates the baseline configuration of the information system 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. 

LOW CM-2 MOD CM-2 (1) HIGH CM-2 (1) (2)

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CM-3 CONFIGURATION CHANGE CONTROL 

Control: The organization authorizes, documents, and controls changes to the information system. 

Supplemental Guidance: The organization manages configuration changes to the information system 

using an organizationally approved process (e.g., a chartered Configuration Control Board). 

Configuration change control involves the systematic proposal, justification, implementation, 

test/evaluation, review, and disposition of changes to the information system, including upgrades 

and modifications. Configuration change control includes changes to the configuration settings 

for information technology products (e.g., operating systems, firewalls, routers). The organization 

includes emergency changes in the configuration change control process, including changes 

resulting from the remediation of flaws. The approvals to implement a change to the information 

system include successful results from the security analysis of the change. The organization audits 

activities associated with configuration changes to the information system. Related security 

controls: CM-4, CM-6, SI-2. 

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 conducting security impact 

analyses to determine the effects of the changes. 

Supplemental Guidance: Prior to change implementation, and as part of the change approval 

process, the organization analyzes changes to the information system for potential security 

impacts. After the information system is changed (including upgrades and modifications), the 

organization checks the security features to verify that the features are still functioning properly. 

The organization audits activities associated with configuration changes to the information system. 

Monitoring configuration changes and conducting security impact analyses are important elements 

with regard to the ongoing assessment of security controls in the information system. Related 

security control: CA-7. 

Control Enhancements: None. 

LOW Not Selected MOD CM-4 HIGH CM-4

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CM-5 ACCESS RESTRICTIONS FOR CHANGE 

Control: The organization: (i) approves individual access privileges and enforces physical and 

logical access restrictions associated with changes to the information system; and (ii) 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, only qualified and authorized individuals obtain access to information 

system components for purposes of initiating changes, including upgrades, and modifications. 

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)

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: Configuration settings are the configurable parameters of the information 

technology products that compose the information system. Organizations monitor and control 

changes to the configuration settings in accordance with organizational policies and procedures. 

OMB FISMA reporting instructions provide guidance on configuration requirements for federal 

information systems. NIST Special Publication 800-70 provides guidance on producing and using 

configuration settings for information technology products employed in organizational 

information systems. Related security controls: CM-2, CM-3, SI-4. 

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)

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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). Additionally, it is 

sometimes convenient to provide multiple services from a single component of an information 

system, but doing so increases risk over limiting the services provided by any one component. 

Where feasible, the organization limits component functionality to a single function per device 

(e.g., email server or web server, not both). The functions and services provided by information 

systems, or individual components of information systems, are 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)

CM-8 INFORMATION SYSTEM COMPONENT INVENTORY 

Control: The organization develops, documents, and maintains a current inventory of the 

components of the information system and relevant ownership information. 

Supplemental Guidance: The organization determines the appropriate level of granularity for the 

information system components included in the inventory that are subject to management control 

(i.e., tracking, and reporting). The inventory of information system components includes any 

information determined to be necessary by the organization to achieve effective property 

accountability (e.g., manufacturer, model number, serial number, software license information, 

system/component owner). The component inventory is consistent with the accreditation 

boundary of the information system. Related security controls: CM-2, CM-6. 

Control Enhancements: 

(1) The organization updates the inventory of information system components as an integral part of 

component installations. 

(2) The organization employs automated mechanisms to help maintain an up-to-date, complete, 

accurate, and readily available inventory of information system components. 

LOW CM-8 MOD CM-8 (1) HIGH CM-8 (1) (2)

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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 laws, Executive Orders, 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. 

Enhancement Supplemental Guidance: Examples of related plans include Business Continuity 

Plan, Disaster Recovery Plan, Continuity of Operations Plan, Business Recovery Plan, 

Incident Response Plan, and Emergency Action Plan. 

(2) The organization conducts capacity planning so that necessary capacity for information 

processing, telecommunications, and environmental support exists during crisis situations. 

LOW CP-2 MOD CP-2 (1) HIGH CP-2 (1) (2)

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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)

CP-4 CONTINGENCY PLAN TESTING AND EXERCISES 

Control: The organization: (i) tests and/or exercises the contingency plan for the information 

system [Assignment: organization-defined frequency, at least annually] using [Assignment: 

organization-defined tests and/or exercises] to determine the plan’s effectiveness and the 

organization’s readiness to execute the plan; and (ii) reviews the contingency plan test/exercise 

results and initiates corrective actions. 

Supplemental Guidance: There are several methods for testing and/or exercising contingency plans 

to identify potential weaknesses (e.g., full-scale contingency plan testing, functional/tabletop 

exercises). The depth and rigor of contingency plan testing and/or exercises increases with the 

FIPS 199 impact level of the information system. Contingency plan testing and/or exercises also 

include a determination of the effects on organizational operations and assets (e.g., reduction in 

mission capability) and individuals arising due to contingency operations in accordance with the 

plan. NIST Special Publication 800-84 provides guidance on test, training, and exercise programs 

for information technology plans and capabilities. 

Control Enhancements:

(1) The organization coordinates contingency plan testing and/or exercises with organizational 

elements responsible for related plans. 

Enhancement Supplemental Guidance: Examples of related plans include Business Continuity 

Plan, Disaster Recovery Plan, Continuity of Operations Plan, Business Recovery Plan, 

Incident Response Plan, and Emergency Action Plan. 

(2) The organization tests/exercises 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/exercise 

the contingency plan by providing more complete coverage of contingency issues, selecting more 

realistic test/exercise scenarios and environments, and more effectively stressing the information 

system and supported missions. 

LOW Not Selected MOD CP-4 (1) HIGH CP-4 (1) (2)

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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, Emergency Action Plan). 

Control Enhancements: None. 

LOW CP-5 MOD CP-5 HIGH CP-5

CP-6 ALTERNATE STORAGE SITE 

Control: The organization identifies an alternate storage site and initiates necessary agreements to 

permit the storage of information system backup information. 

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

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

organization’s recovery time objectives and recovery point objectives. 

Control Enhancements:

(1) The organization identifies an alternate storage site that is geographically separated from the 

primary storage site so as not to be susceptible to the same hazards. 

(2) The organization configures the alternate storage site 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) (3) HIGH CP-6 (1) (2) (3)

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CP-7 ALTERNATE PROCESSING SITE 

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. Timeframes to resume information system operations are consistent 

with organization-established recovery time objectives. 

Control Enhancements:

(1) The organization identifies an alternate processing site that 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) The organization develops alternate processing site agreements that contain priority-of-service 

provisions in accordance with the organization’s availability requirements. 

(4) The organization fully configures the alternate processing site so that it is ready to be used as the 

operational site supporting a minimum required operational capability. 

LOW Not Selected MOD CP-7 (1) (2) (3) HIGH CP-7 (1) (2) (3) (4)

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 common carrier, the organization 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) The organization develops primary and alternate telecommunications service agreements that 

contain priority-of-service provisions in accordance with the organization’s availability 

requirements. 

(2) The organization obtains alternate telecommunications services that do not share a single point of 

failure with primary telecommunications services. 

(3) The organization obtains alternate telecommunications service providers that are sufficiently 

separated from primary service providers so as not to be susceptible to the same hazards. 

(4) The organization requires primary and alternate telecommunications service providers to have 

adequate contingency plans. 

LOW Not Selected MOD CP-8 (1) (2) HIGH CP-8 (1) (2) (3) (4)

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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 protects backup information at the storage 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. While integrity and 

availability are the primary concerns for system backup information, protecting backup 

information from unauthorized disclosure is also an important consideration depending on the type 

of information residing on the backup media and the FIPS 199 impact level. An organizational 

assessment of risk guides the use of encryption for backup information. The protection of system 

backup information while in transit is beyond the scope of this control. Related security controls: 

MP-4, MP-5. 

Control Enhancements: 

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

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 protects system backup information from unauthorized modification. 

Enhancement Supplemental Guidance: The organization employs appropriate mechanisms (e.g., 

digital signatures, cryptographic hashes) to protect the integrity of information system 

backups. Protecting the confidentiality of system backup information is beyond the scope of 

this control. Related security controls: MP-4, MP-5. 

LOW CP-9 MOD CP-9 (1) (4) HIGH CP-9 (1) (2) (3) (4)

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 a known secure state after a disruption or 

failure. 

Supplemental Guidance: Information system recovery and reconstitution to a known secure state 

means that all system parameters (either default or organization-established) are set to secure 

values, security-critical patches are reinstalled, security-related configuration settings are 

reestablished, system documentation and operating procedures are available, application and 

system software is reinstalled and configured with secure settings, information from the most 

recent, known secure backups is loaded, 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 

laws, Executive Orders, 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

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IA-2 USER IDENTIFICATION AND AUTHENTICATION 

Control: The information system uniquely identifies and authenticates users (or processes acting on 

behalf of users). 

Supplemental Guidance: Users are uniquely identified and authenticated for all accesses other than 

those accesses explicitly identified and documented by the organization in accordance security 

control AC-14. Authentication of user identities is accomplished through the use of passwords, 

tokens, biometrics, or in the case of multifactor authentication, some combination thereof. NIST 

Special Publication 800-63 provides guidance on remote electronic authentication including 

strength of authentication mechanisms. For purposes of this control, the guidance provided in 

Special Publication 800-63 is applied to both local and remote access to information systems. 

Remote access is any access to an organizational information system by a user (or an information 

system) communicating through an external, non-organization-controlled network (e.g., the 

Internet). Local access is any access to an organizational information system by a user (or an 

information system) communicating through an internal organization-controlled network (e.g., 

local area network) or directly to a device without the use of a network. Unless a more stringent 

control enhancement is specified, authentication for both local and remote information system 

access is NIST Special Publication 800-63 level 1 compliant. FIPS 201 and Special Publications 

800-73, 800-76, and 800-78 specify a personal identity verification (PIV) credential for use in the 

unique identification and authentication of federal employees and contractors. In addition to 

identifying and authenticating users at the information system level (i.e., at system logon), 

identification and authentication mechanisms are employed at the application level, when 

necessary, to provide increased information security for the organization. 

In accordance with OMB policy and E-Authentication E-Government initiative, authentication of 

public users accessing federal information systems may also be required to protect nonpublic or 

privacy-related information. The e-authentication risk assessment conducted in accordance with 

OMB Memorandum 04-04 is used in determining the NIST Special Publication 800-63 

compliance requirements for such accesses with regard to the IA-2 control and its enhancements. 

Scalability, practicality, and security issues are simultaneously considered in balancing the need to 

ensure ease of use for public access to such information and information systems with the need to 

protect organizational operations, organizational assets, and individuals. Related security controls: 

AC-14, AC-17. 

Control Enhancements:

(1) The information system employs multifactor authentication for remote system access that is NIST 

Special Publication 800-63 [Selection: organization-defined level 3, level 3 using a hardware 

authentication device, or level 4] compliant. 

(2) The information system employs multifactor authentication for local system access that is NIST 

Special Publication 800-63 [Selection: organization-defined level 3 or level 4] compliant. 

(3) The information system employs multifactor authentication for remote system access that is NIST 

Special Publication 800-63 level 4 compliant. 

LOW IA-2 MOD IA-2 (1) HIGH IA-2 (2) (3)

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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 Protocol/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 

required strength of the device authentication mechanism is determined by the FIPS 199 security 

categorization of the information system with higher impact levels requiring stronger 

authentication. 

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) issuing the user identifier to the intended party; (v) disabling 

the 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) credential 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 by: (i) defining initial 

authenticator content; (ii) establishing administrative procedures for initial authenticator 

distribution, for lost/compromised, or damaged authenticators, and for revoking authenticators; 

(iii) changing default authenticators upon information system installation; and (iv) 

changing/refreshing authenticators periodically. 

Supplemental Guidance: Information system authenticators include, for example, tokens, PKI 

certificates, biometrics, passwords, and key cards. 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 PKIbased 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. In accordance with OMB 

policy and related E-authentication initiatives, authentication of public users accessing federal 

information systems (and associated authenticator management) may also be required to protect 

nonpublic or privacy-related information. FIPS 201 and Special Publications 800-73, 800-76, and 

800-78 specify a personal identity verification (PIV) credential 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 feedback from the information system does not provide information 

that would allow an unauthorized user to compromise the authentication mechanism. Displaying 

asterisks when a user types in a password is an example of obscuring feedback of authentication 

information. 

Control Enhancements: None. 

LOW IA-6 MOD IA-6 HIGH IA-6

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IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION 

Control: The information system employs authentication methods that meet the requirements of 

applicable laws, Executive Orders, directives, policies, regulations, standards, and guidance for 

authentication to a cryptographic module.

Supplemental Guidance: The applicable federal standard for authentication to a cryptographic 

module is FIPS 140-2 (as amended). Validation certificates issued by the NIST Cryptographic 

Module Validation Program (including FIPS 140-1, FIPS 140-2, and future amendments) remain 

in effect, and the modules remain available for continued use and purchase until a validation 

certificate is specifically revoked. Additional information on the use of validated cryptography is 

available at http://csrc.nist.gov/cryptval. 

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 

laws, Executive Orders, 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 800-12 

provides guidance on security policies and procedures. NIST Special Publication 800-61 provides 

guidance on incident handling and reporting. NIST Special Publication 800-83 provides guidance 

on malware incident handling and prevention. 

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)

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IR-3 INCIDENT RESPONSE TESTING AND EXERCISES 

Control: The organization tests and/or exercises the incident response capability for the information 

system [Assignment: organization-defined frequency, at least annually] using [Assignment: 

organization-defined tests and/or exercises] to determine the incident response effectiveness and 

documents the results. 

Supplemental Guidance: NIST Special Publication 800-84 provides guidance on test, training, and 

exercise programs for information technology plans and capabilities. 

Control Enhancements:

(1) The organization employs automated mechanisms to more thoroughly and effectively test/exercise 

the incident response capability. 

Enhancement Supplemental Guidance: Automated mechanisms can provide the ability to more 

thoroughly and effectively test or exercise the capability by providing more complete 

coverage of incident response issues, selecting more realistic test/exercise scenarios and 

environments, and more effectively stressing the response capability.

LOW Not Selected MOD IR-3 HIGH IR-3 (1)

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: Incident-related information can be obtained from a variety of sources 

including, but not limited to, audit monitoring, network monitoring, physical access monitoring, 

and user/administrator reports. The organization incorporates the lessons learned from ongoing 

incident handling activities into the incident response procedures and implements the procedures 

accordingly. Related security controls: AU-6, PE-6. 

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)

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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 laws, Executive Orders, directives, policies, regulations, standards, and guidance. 

Organizational officials report cyber security incidents to the United States Computer Emergency 

Readiness Team (US-CERT) at http://www.us-cert.gov within the specified timeframe designated 

in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling. 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)

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 laws, Executive Orders, 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 CONTROLLED MAINTENANCE 

Control: The organization schedules, performs, documents, and reviews records of routine 

preventative and regular maintenance (including repairs) on the components of the information 

system in accordance with manufacturer or vendor specifications and/or organizational 

requirements. 

Supplemental Guidance: All maintenance activities to include routine, scheduled maintenance and 

repairs are controlled; whether performed on site or remotely and whether the equipment is 

serviced on site or removed to another location. 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 all potentially 

impacted security controls to verify that the controls are still functioning properly. 

Control Enhancements: 

(1) The organization maintains maintenance records for the information system that include: (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 schedule and conduct maintenance as 

required, and to create up-to date, accurate, complete, and available records of all maintenance 

actions, both needed and completed. 

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: The intent of this control is to address hardware and software brought into 

the information system specifically for diagnostic/repair actions (e.g., a hardware or software 

packet sniffer that is introduced for the purpose of a particular maintenance activity). Hardware 

and/or software components that may support information system maintenance, yet are a part of 

the system (e.g., the software implementing “ping,” “ls,” “ipconfig,” or the hardware and software 

implementing the monitoring port of an Ethernet switch) are not covered by this control. 

Control Enhancements: 

(1) The organization inspects all maintenance tools carried into a facility by maintenance personnel 

for obvious improper modifications. 

Enhancement Supplemental Guidance: Maintenance tools include, for example, diagnostic and 

test equipment used to conduct maintenance on the information system.

(2) The organization checks all media containing diagnostic and test programs 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 so 

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 restrict the use of maintenance tools to 

authorized personnel only. 

LOW Not Selected MOD MA-3 HIGH MA-3 (1) (2) (3)

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MA-4 REMOTE MAINTENANCE 

Control: The organization authorizes, monitors, and controls any remotely executed maintenance 

and diagnostic activities, if employed. 

Supplemental Guidance: Remote maintenance and diagnostic activities are conducted by individuals 

communicating through an external, non-organization-controlled network (e.g., the Internet). The 

use of remote maintenance and diagnostic tools is consistent with organizational policy and 

documented in the security plan for the information system. The organization maintains records 

for all remote maintenance and diagnostic activities. Other techniques and/or controls to consider 

for improving the security of remote maintenance include: (i) encryption and decryption of 

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 invoked in the performance of that activity. If 

password-based authentication is used to accomplish remote maintenance, the organization 

changes the passwords following each remote maintenance service. NIST Special Publication 

800-88 provides guidance on media sanitization. The National Security Agency provides a listing 

of approved media sanitization products at http://www.nsa.gov/ia/government/mdg.cfm. Related 

security controls: IA-2, MP-6. 

Control Enhancements: 

(1) The organization audits all remote maintenance and diagnostic sessions and appropriate 

organizational personnel review the maintenance records of the remote sessions. 

(2) The organization addresses the installation and use of remote maintenance and diagnostic links in 

the security plan for the information system. 

(3) The organization does not allow remote maintenance or diagnostic services to be performed by a 

provider that does not implement for its own information system, a level of security at least as high 

as that implemented on the system being serviced, unless the component being serviced is 

removed from the information system and sanitized (with regard to organizational information) 

before the service begins and also sanitized (with regard to potentially malicious software) after 

the service is performed and before being reconnected to the information system. 

LOW MA-4 MOD MA-4 (1) (2) HIGH MA-4 (1) (2) (3)

MA-5 MAINTENANCE PERSONNEL 

Control: The organization allows only authorized personnel to perform maintenance on the 

information system. 

Supplemental Guidance: Maintenance personnel (whether performing maintenance locally or 

remotely) have appropriate access authorizations to the information system when maintenance 

activities allow access to organizational information or could result in a future compromise of 

confidentiality, integrity, or availability. 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

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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 

laws, Executive Orders, 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 restricts access to information system media to authorized individuals. 

Supplemental Guidance: Information system media includes both digital media (e.g., diskettes, 

magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video 

disks) and non-digital media (e.g., paper, microfilm). This control also applies to portable and 

mobile computing and communications devices with information storage capability (e.g., 

notebook computers, personal digital assistants, cellular telephones). 

An organizational assessment of risk guides the selection of media and associated information 

contained on that media requiring restricted access. Organizations document in policy and 

procedures, the media requiring restricted access, individuals authorized to access the media, and 

the specific measures taken to restrict access. The rigor with which this control is applied is 

commensurate with the FIPS 199 security categorization of the information contained on the 

media. For example, fewer protection measures are needed for media containing information 

determined by the organization to be in the public domain, to be publicly releasable, or to have 

limited or no adverse impact on the organization or individuals if accessed by other than 

authorized personnel. In these situations, it is assumed that the physical access controls where the 

media resides provide adequate protection. 

Control Enhancements: 

(1) The organization employs automated mechanisms to restrict access to media storage areas and to 

audit access attempts and access granted. 

Enhancement Supplemental Guidance: This control enhancement is primarily applicable to 

designated media storage areas within an organization where a significant volume of media is 

stored and is not intended to apply to every location where some media is stored (e.g., in 

individual offices).

LOW MP-2 MOD MP-2 (1) HIGH MP-2 (1)

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MP-3 MEDIA LABELING 

Control: The organization: (i) affixes external labels to removable information system media and 

information system output indicating the distribution limitations, handling caveats and applicable 

security markings (if any) of the information; and (ii) exempts [Assignment: organization-defined 

list of media types or hardware components] from labeling so long as they remain within 

[Assignment: organization-defined protected environment]. 

Supplemental Guidance: An organizational assessment of risk guides the selection of media 

requiring labeling. Organizations document in policy and procedures, the media requiring labeling 

and the specific measures taken to afford such protection. The rigor with which this control is 

applied is commensurate with the FIPS 199 security categorization of the information contained 

on the media. For example, labeling is not required for media containing information determined 

by the organization to be in the public domain or to be publicly releasable. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH MP-3

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MP-4 MEDIA STORAGE 

Control: The organization physically controls and securely stores information system media within 

controlled areas. 

Supplemental Guidance: Information system media includes both digital media (e.g., diskettes, 

magnetic tapes, external/removable hard drives, flash/thumb drives, compact disks, digital video 

disks) and non-digital media (e.g., paper, microfilm). A controlled area is any area or space for 

which the organization has confidence that the physical and procedural protections provided are 

sufficient to meet the requirements established for protecting the information and/or information 

system. This control applies to portable and mobile computing and communications devices with 

information storage capability (e.g., notebook computers, personal digital assistants, cellular 

telephones). Telephone systems are also considered information systems and may have the 

capability to store information on internal media (e.g., on voicemail systems). Since telephone 

systems do not have, in most cases, the identification, authentication, and access control 

mechanisms typically employed in other information systems, organizational personnel exercise 

extreme caution in the types of information stored on telephone voicemail systems. 

An organizational assessment of risk guides the selection of media and associated information 

contained on that media requiring physical protection. Organizations document in policy and 

procedures, the media requiring physical protection and the specific measures taken to afford such 

protection. The rigor with which this control is applied is commensurate with the FIPS 199 

security categorization of the information contained on the media. For example, fewer protection 

measures are needed for media containing information determined by the organization to be in the 

public domain, to be publicly releasable, or to have limited or no adverse impact on the 

organization or individuals if accessed by other than authorized personnel. In these situations, it is 

assumed that the physical access controls to the facility where the media resides provide adequate 

protection. The organization protects information system media identified by the organization 

until the media are destroyed or sanitized using approved equipment, techniques, and procedures. 

As part of a defense-in-depth protection strategy, the organization considers routinely encrypting 

information at rest on selected secondary storage devices. FIPS 199 security categorization guides 

the selection of appropriate candidates for secondary storage encryption. The organization 

implements effective cryptographic key management in support of secondary storage encryption 

and provides protections to maintain the availability of the information in the event of the loss of 

cryptographic keys by users. NIST Special Publications 800-56 and 800-57 provide guidance on 

cryptographic key establishment and cryptographic key management. Related security controls: 

CP-9, RA-2. 

Control Enhancements: None.

LOW Not Selected MOD MP-4 HIGH MP-4

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MP-5 MEDIA TRANSPORT 

Control: The organization protects and controls information system media during transport outside 

of controlled areas and restricts the activities associated with transport of such media to authorized 

personnel. 

Supplemental Guidance: Information system media includes both digital media (e.g., diskettes, 

tapes, removable hard drives, flash/thumb drives, compact disks, digital video disks) and nondigital media (e.g., paper, microfilm). A controlled area is any area or space for which the 

organization has confidence that the physical and procedural protections provided are sufficient to 

meet the requirements established for protecting the information and/or information system. This 

control also applies to portable and mobile computing and communications devices with 

information storage capability (e.g., notebook computers, personal digital assistants, cellular 

telephones) that are transported outside of controlled areas. Telephone systems are also 

considered information systems and may have the capability to store information on internal 

media (e.g., on voicemail systems). Since telephone systems do not have, in most cases, the 

identification, authentication, and access control mechanisms typically employed in other 

information systems, organizational personnel exercise extreme caution in the types of information 

stored on telephone voicemail systems that are transported outside of controlled areas. An 

organizational assessment of risk guides the selection of media and associated information 

contained on that media requiring protection during transport. Organizations document in policy 

and procedures, the media requiring protection during transport and the specific measures taken to 

protect such transported media. The rigor with which this control is applied is commensurate with 

the FIPS 199 security categorization of the information contained on the media. An organizational 

assessment of risk also guides the selection and use of appropriate storage containers for 

transporting non-digital media. Authorized transport and courier personnel may include 

individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or 

delivery service).

Control Enhancements:

(1) The organization protects digital and non-digital media during transport outside of controlled areas 

using [Assignment: organization-defined security measures, e.g., locked container, cryptography]. 

Enhancement Supplemental Guidance: Physical and technical security measures for the 

protection of digital and non-digital media are approved by the organization, commensurate 

with the FIPS 199 security categorization of the information residing on the media, and 

consistent with applicable laws, Executive Orders, directives, policies, regulations, standards, 

and guidance. Cryptographic mechanisms can provide confidentiality and/or integrity 

protections depending upon the mechanisms used. 

(2) The organization documents, where appropriate, activities associated with the transport of 

information system media using [Assignment: organization-defined system of records]. 

Enhancement Supplemental Guidance: Organizations establish documentation requirements for 

activities associated with the transport of information system media in accordance with the 

organizational assessment of risk. 

(3) The organization employs an identified custodian at all times to transport information system 

media. 

Enhancement Supplemental Guidance: Organizations establish documentation requirements for 

activities associated with the transport of information system media in accordance with the 

organizational assessment of risk. 

LOW Not Selected MOD MP-5 (1) (2) HIGH MP-5 (1) (2) (3)

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MP-6 MEDIA SANITIZATION AND DISPOSAL 

Control: The organization sanitizes information system media, both digital and non-digital, prior to 

disposal or release for reuse. 

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, prevent the disclosure of 

organizational information 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 publicly releasable, or deemed to 

have no adverse impact on the organization or individuals if released for reuse or disposed. NIST 

Special Publication 800-88 provides guidance on media sanitization. The National Security 

Agency also provides media sanitization guidance and maintains a listing of approved sanitization 

products at http://www.nsa.gov/ia/government/mdg.cfm. 

Control Enhancements:

(1) The organization tracks, documents, and verifies media sanitization and disposal actions. 

(2) The organization periodically tests sanitization equipment and procedures to verify correct 

performance. 

LOW MP-6 MOD MP-6 HIGH MP-6 (1) (2)

 

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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 laws, Executive Orders, 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 a list of personnel with authorized access to 

the facility where the information system resides (except for those areas within the facility 

officially designated as publicly accessible) and issues appropriate authorization credentials. 

Designated officials within the organization review and approve the access list and authorization 

credentials [Assignment: organization-defined frequency, at least annually]. 

Supplemental Guidance: Appropriate authorization credentials include, for example, badges, 

identification cards, and smart cards. The organization promptly removes from the access list 

personnel no longer requiring access to the facility where the information system resides. 

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 the facility where the information system resides (except for those areas within the 

facility officially designated as publicly accessible) and verifies individual access authorizations 

before granting access to the facility. The organization 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. 

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 tokenbased 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:

(1) The organization controls physical access to the information system independent of the physical 

access controls for the facility. 

Enhancement Supplemental Guidance: This control enhancement, in general, applies to server 

rooms, communications centers, or any other areas within a facility containing large 

concentrations of information system components or components with a higher impact level 

than that of the majority of the facility. The intent is to provide an additional layer of physical 

security for those areas where the organization may be more vulnerable due to the 

concentration of information system components or the impact level of the components. The 

control enhancement is not intended to apply to workstations or peripheral devices that are 

typically dispersed throughout the facility and used routinely by organizational personnel. 

LOW PE-3 MOD PE-3 HIGH PE-3 (1)

PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM 

Control: The organization controls physical access to information system distribution and 

transmission lines within organizational facilities. 

Supplemental Guidance: Physical protections applied to information system distribution and 

transmission lines help prevent accidental damage, disruption, and physical tampering. 

Additionally, physical protections are necessary to help prevent eavesdropping or in transit 

modification of unencrypted transmissions. 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

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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

PE-6 MONITORING PHYSICAL ACCESS 

Control: The organization monitors physical access to the information system to detect and respond 

to physical security incidents. 

Supplemental Guidance: The organization reviews physical access logs periodically and investigates 

apparent security violations or suspicious physical access activities. Response to detected physical 

security incidents is part of the organization’s incident response capability. 

Control Enhancements:

(1) The organization monitors real-time physical intrusion alarms and surveillance equipment. 

(2) The organization employs automated mechanisms to recognize potential intrusions and initiate 

appropriate response actions. 

LOW PE-6 MOD PE-6 (1) HIGH PE-6 (1) (2)

PE-7 VISITOR CONTROL 

Control: The organization controls physical access to the information system by authenticating 

visitors before authorizing access to the facility where the information system resides 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 

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)

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PE-8 ACCESS RECORDS 

Control: The organization maintains visitor access records to the facility where the information 

system resides (except for those areas within the facility 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 visitor access records [Assignment: organization-defined frequency]. 

Supplemental Guidance: None. 

Control Enhancements:

(1) The organization employs automated mechanisms to facilitate the maintenance and review of 

access records. 

(2) The organization maintains a record of all physical access, both visitor and authorized individuals. 

LOW PE-8 MOD PE-8 HIGH PE-8 (1) (2)

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: The organization provides, for specific locations within a facility containing 

concentrations of information system resources, the capability of shutting off power to any 

information system component that may be malfunctioning or threatened without endangering 

personnel by requiring them to approach the equipment. 

Supplemental Guidance: Facilities containing concentrations of information system resources may 

include, for example, data centers, server rooms, and mainframe rooms. 

Control Enhancements:

(1) The organization protects the emergency power-off capability from accidental or unauthorized 

activation. 

LOW Not Selected MOD PE-10 HIGH PE-10 (1)

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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 that activates in 

the event of a power outage or disruption and that covers emergency exits and evacuation routes. 

Supplemental Guidance: None. 

Control Enhancements: None. 

LOW PE-12 MOD PE-12 HIGH PE-12

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) The organization employs fire detection devices/systems that activate automatically and notify the 

organization and emergency responders in the event of a fire. 

(2) The organization employs fire suppression devices/systems that provide automatic notification of 

any activation to the organization and emergency responders. 

(3) The organization employs an automatic fire suppression capability in facilities that are not staffed 

on a continuous basis. 

LOW PE-13 MOD PE-13 (1) (2) (3) HIGH PE-13 (1) (2) (3)

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PE-14 TEMPERATURE AND HUMIDITY CONTROLS 

Control: The organization regularly maintains, within acceptable levels, and monitors the 

temperature and humidity within the facility where the information system resides. 

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 providing master shutoff valves that 

are accessible, working properly, and known to key personnel. 

Supplemental Guidance: None. 

Control Enhancements:

(1) The organization employs mechanisms that, without the need for manual intervention, protect the 

information system from water damage 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 authorizes and controls information system-related items 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 physical access. 

Control Enhancements: None. 

LOW PE-16 MOD PE-16 HIGH PE-16

PE-17 ALTERNATE WORK SITE 

Control: The organization employs appropriate management, operational, and technical 

information system security controls at alternate work sites. 

Supplemental Guidance: The organization provides a means for employees to communicate with 

information system security staff in case of security problems. NIST Special Publication 800-46 

provides guidance on security in telecommuting and broadband communications. 

Control Enhancements: None. 

LOW Not Selected MOD PE-17 HIGH PE-17

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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, fire, 

tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electrical interference, and 

electromagnetic radiation. Whenever possible, the organization also considers the location or site 

of the facility with regard to physical and environmental hazards. 

Control Enhancements:

(1) The organization plans the location or site of the facility where the information system resides with 

regard to physical and environmental hazards and for existing facilities, considers the physical and 

environmental hazards in its risk mitigation strategy. 

LOW Not Selected MOD PE-18 HIGH PE-18 (1)

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 

laws, Executive Orders, directives, policies, regulations, standards, and guidance. The security 

planning policy addresses the overall policy requirements for confidentiality, integrity, and 

availability and 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: The security plan is aligned with the organization’s information system 

architecture and information security architecture. 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, at least annually] 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. NIST Special Publication 800-18 provides 

guidance on security plan updates. 

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 unless specifically prohibited by organizational policy. 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 in 

accordance with OMB policy. 

Supplemental Guidance: OMB Memorandum 03-22 provides guidance for implementing the privacy 

provisions of the E-Government Act of 2002. 

Control Enhancements: None.

LOW PL-5 MOD PL-5 HIGH PL-5

PL-6 SECURITY-RELATED ACTIVITY PLANNING 

Control: The organization plans and coordinates security-related activities affecting the information 

system before conducting such activities in order to reduce the impact on organizational 

operations (i.e., mission, functions, image, and reputation), organizational assets, and individuals. 

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. Organizational advance planning and coordination includes both emergency and 

non-emergency (i.e., routine) situations. 

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 laws, Executive Orders, 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; (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: The organization, upon termination of individual employment, terminates information 

system access, conducts exit interviews, retrieves all organizational information system-related 

property, and provides appropriate personnel with access to official records created by the 

terminated employee that are stored on organizational information systems. 

Supplemental Guidance: Information system-related property includes, for example, keys, 

identification cards, and building passes. Timely execution of this control is particularly essential 

for employees or contractors terminated for cause. 

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 

personnel are reassigned or transferred to other positions within the organization and initiates 

appropriate actions. 

Supplemental Guidance: Appropriate actions that may be required include: (i) returning old and 

issuing new keys, identification cards, building passes; (ii) closing old accounts and establishing 

new accounts; (iii) changing system access authorizations; and (iv) providing for access to official 

records created or controlled by the employee at the old work location and in the old accounts. 

Control Enhancements: None. 

LOW PS-5 MOD PS-5 HIGH PS-5

PS-6 ACCESS AGREEMENTS 

Control: The organization completes appropriate signed access 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: Access agreements include, for example, nondisclosure agreements, 

acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Electronic 

signatures are acceptable for use in acknowledging access agreements unless specifically 

prohibited by organizational policy. 

Control Enhancements: None. 

LOW PS-6 MOD PS-6 HIGH PS-6

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PS-7 THIRD-PARTY PERSONNEL SECURITY 

Control: The organization establishes personnel security requirements including security roles and 

responsibilities for third-party providers and monitors provider compliance. 

Supplemental Guidance: Third-party providers include, for example, service bureaus, contractors, 

and other organizations providing information system development, information technology 

services, outsourced applications, and network and security management. 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

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 laws, Executive Orders, 

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 

laws, Executive Orders, 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 applicable laws, Executive Orders, 

directives, policies, regulations, standards, and guidance 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: The applicable federal standard for security categorization of nonnational 

security information and information systems is FIPS 199. The organization conducts FIPS 199 

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. The organization also considers potential impacts to other organizations and, 

in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential 

Directives, potential national-level impacts in categorizing the information system. As part of a 

defense-in-depth protection strategy, the organization considers partitioning higher-impact 

information systems into separate physical domains (or environments) and restricting or 

prohibiting network access in accordance with an organizational assessment of risk. NIST Special 

Publication 800-60 provides guidance on determining the security categories of the information 

types resident on the information system. Related security controls: MP-4, SC-7. 

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. The organization also considers potential impacts to other organizations and, 

in accordance with the USA PATRIOT Act and Homeland Security Presidential Directives, 

potential national-level impacts in categorizing 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). In accordance with OMB policy and related E-authentication initiatives, authentication 

of public users accessing federal information systems may also be required to protect nonpublic or 

privacy-related information. As such, organizational assessments of risk also address public 

access to federal information systems. The General Services Administration provides tools 

supporting that portion of the risk assessment dealing with public access to federal information 

systems. 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 potentially 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) The organization employs vulnerability scanning tools that 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) The organization employs vulnerability scanning procedures that can demonstrate the breadth and 

depth of scan coverage, including 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 includes information security 

considerations and 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 laws, Executive Orders, 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 and in accordance with applicable laws, Executive Orders, directives, policies, regulations, 

and standards. 

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 (security needs and, as necessary, specific security controls and other specific FISMA 

requirements); (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 800-36 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. 

Information System Documentation 

The solicitation documents include requirements for appropriate information system 

documentation. The documentation addresses user and systems administrator guidance and 

information regarding the implementation of the security controls in the information system. The 

level of detail required in the documentation is based on the FIPS 199 security category for the 

information system. 

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. OMB FISMA reporting instructions provide guidance on 

configuration requirements for federal information systems. NIST Special Publication 800-70 

provides guidance on configuration settings for information technology products. 

Control Enhancements:

(1) The organization requires in solicitation documents that appropriate documentation be provided 

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 requires in solicitation documents that appropriate documentation be provided 

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-4 MOD SA-4 (1) HIGH SA-4 (1)

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SA-5 INFORMATION SYSTEM DOCUMENTATION 

Control: The organization obtains, protects as required, and makes available to authorized 

personnel, adequate documentation for the information system. 

Supplemental Guidance: Documentation includes administrator and user guides with information 

on: (i) configuring, installing, and operating the information system; and (ii) effectively using the 

system’s security features. When adequate information system documentation is either 

unavailable or non existent (e.g., due to the age of the system or lack of support from the 

vendor/manufacturer), the organization documents attempts to obtain such documentation and 

provides compensating security controls, if needed. 

Control Enhancements:

(1) The organization includes, in addition to administrator and user guides, 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, in addition to administrator and user guides, 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)

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 installation of software by users. 

Supplemental Guidance: If provided the necessary privileges, users have the ability to install 

software. The organization identifies what types of software installations are permitted (e.g., 

updates and security patches to existing software) and what types of installations are prohibited 

(e.g., software that is free only for personal, not government use, and software whose pedigree 

with regard to being potentially malicious is unknown or suspect). 

Control Enhancements: None.

LOW SA-7 MOD SA-7 HIGH SA-7

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SA-8 SECURITY ENGINEERING 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. The application of security engineering principles is 

primarily targeted at new development information systems or systems undergoing major 

upgrades and is integrated into the system development life cycle. For legacy information 

systems, the organization applies security engineering principles to system upgrades and 

modifications, to the extent feasible, given the current state of the hardware, software, and 

firmware components within the system. 

Control Enhancements: None. 

LOW Not Selected MOD SA-8 HIGH SA-8

SA-9 EXTERNAL INFORMATION SYSTEM SERVICES 

Control: The organization: (i) requires that providers of external information system services 

employ adequate security controls in accordance with applicable laws, Executive Orders, 

directives, policies, regulations, standards, guidance, and established service-level agreements; and 

(ii) monitors security control compliance. 

Supplemental Guidance: An external information system service is a service that is implemented 

outside of the accreditation boundary of the organizational information system (i.e., a service that 

is used by, but not a part of, the organizational information system). Relationships with external 

service providers are established in a variety of ways, for example, through joint ventures, 

business partnerships, outsourcing arrangements (i.e., through contracts, interagency agreements, 

lines of business arrangements), licensing agreements, and/or supply chain exchanges. Ultimately, 

the responsibility for adequately mitigating risks to the organization’s operations and assets, and to 

individuals, arising from the use of external information system services remains with the 

authorizing official. Authorizing officials must require that an appropriate chain of trust be 

established with external service providers when dealing with the many issues associated with 

information system security. For services external to the organization, a chain of trust requires 

that the organization establish and retain a level of confidence that each participating service 

provider in the potentially complex consumer-provider relationship provides adequate protection 

for the services rendered to the organization. Where a sufficient level of trust cannot be 

established in the external services and/or service providers, the organization employs 

compensating security controls or accepts the greater degree of risk to its operations and assets, or 

to individuals. The external 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

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SA-10 DEVELOPER CONFIGURATION MANAGEMENT 

Control: The organization requires that information system developers create and implement 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: This control also applies to the development actions associated with 

information system changes. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH SA-10

SA-11 DEVELOPER SECURITY TESTING 

Control: The organization requires that information system developers create a security test and 

evaluation plan, implement the plan, and document the results.

Supplemental Guidance: Developmental security test results are used to the greatest extent feasible 

after verification of the results and recognizing that these results are impacted whenever there have 

been security relevant modifications to the information system subsequent to developer testing. 

Test results may be used in support of the security certification and accreditation process for the 

delivered information system. Related security controls: CA-2, CA-4. 

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 laws, Executive Orders, 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 isolates critical security functions (i.e., functions enforcing access and 

information flow control) from both nonsecurity functions and from other security functions. 

(3) The information system minimizes the number of nonsecurity functions included within the 

isolation boundary containing security functions. 

(4) The information system security functions are implemented as largely independent modules that 

avoid unnecessary interactions between modules. 

(5) The information system security functions are implemented as a layered structure minimizing 

interactions between layers of the design and avoiding any dependence by lower layers on the 

functionality or correctness of higher layers. 

LOW Not Selected MOD Not Selected HIGH SC-3

SC-4 INFORMATION REMNANCE

Control: The information system prevents unauthorized and unintended information transfer via 

shared system resources. 

Supplemental Guidance: Control of information system remnance, sometimes referred to as object 

reuse, or data remnance, 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, boundary protection 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 helps prevent a lower-priority process from delaying or 

interfering with the information system servicing any higher-priority process. 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

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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 managed interfaces consisting of appropriate boundary protection devices 

(e.g., proxies, gateways, routers, firewalls, guards, encrypted tunnels) arranged in an effective 

architecture (e.g., routers protecting firewalls and application gateways residing on a protected 

subnetwork commonly referred to as a demilitarized zone or DMZ). Information system boundary 

protections at any designated alternate processing sites provide the same levels of protection as 

that of the primary site. 

As part of a defense-in-depth protection strategy, the organization considers partitioning higherimpact information systems into separate physical domains (or environments) and applying the 

concepts of managed interfaces described above to restrict or prohibit network access in 

accordance with an organizational assessment of risk. FIPS 199 security categorization guides the 

selection of appropriate candidates for domain partitioning. 

The organization carefully considers the intrinsically shared nature of commercial 

telecommunications services in the implementation of security controls associated with the use of 

such services. Commercial telecommunications services are commonly based on network 

components and consolidated management systems shared by all attached commercial customers, 

and may include third party provided access lines and other service elements. Consequently, such 

interconnecting transmission services may represent sources of increased risk despite contract 

security provisions. Therefore, when this situation occurs, the organization either implements 

appropriate compensating security controls or explicitly accepts the additional risk. NIST Special 

Publication 800-77 provides guidance on virtual private networks. Related security controls: MP4, RA-2. 

Control Enhancements:

(1) The organization physically allocates publicly accessible information system components to 

separate subnetworks with separate, physical network interfaces. 

Enhancement Supplemental Guidance: Publicly accessible information system components 

include, for example, public web servers.

(2) The organization prevents public access into the organization’s internal networks except as 

appropriately mediated. 

(3) The organization limits the number of access points to the information system to allow for better 

monitoring of inbound and outbound network traffic. 

(4) The organization implements a managed interface (boundary protection devices in an effective 

security architecture) with any external telecommunication service, implementing controls 

appropriate to the required protection of the confidentiality and integrity of the information being 

transmitted. 

(5) The information system denies network traffic by default and allows network traffic by exception 

(i.e., deny all, permit by exception). 

(6) The organization prevents the unauthorized release of information outside of the information 

system boundary or any unauthorized communication through the information system boundary 

when there is an operational failure of the boundary protection mechanisms. 

LOW SC-7 MOD SC-7 (1) (2) (3) (4) (5) HIGH SC-7 (1) (2) (3) (4) (5) (6)

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SC-8 TRANSMISSION INTEGRITY

Control: The information system protects the integrity of transmitted information. 

Supplemental Guidance: If the organization is relying on a commercial service provider for 

transmission services as a commodity item rather than a fully dedicated service, it may be more 

difficult to obtain the necessary assurances regarding the implementation of needed security 

controls for transmission integrity. When it is infeasible or impractical to obtain the necessary 

security controls and assurances of control effectiveness through appropriate contracting vehicles, 

the organization either implements appropriate compensating security controls or explicitly 

accepts the additional risk. 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. NIST Special Publication 

800-81 provides guidance on Domain Name System (DNS) message authentication and integrity 

verification. NSTISSI No. 7003 contains guidance on the use of Protective Distribution Systems. 

Control Enhancements:

(1) The organization employs cryptographic mechanisms to recognize changes to information during 

transmission unless otherwise protected by alternative physical measures. 

Enhancement Supplemental Guidance: Alternative physical protection measures include, for 

example, protected 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: If the organization is relying on a commercial service provider for 

transmission services as a commodity item rather than a fully dedicated service, it may be more 

difficult to obtain the necessary assurances regarding the implementation of needed security 

controls for transmission confidentiality. When it is infeasible or impractical to obtain the 

necessary security controls and assurances of control effectiveness through appropriate contracting 

vehicles, the organization either implements appropriate compensating security controls or 

explicitly accepts the additional risk. 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. 

NSTISSI No. 7003 contains guidance on the use of Protective Distribution Systems. Related 

security control: AC-17. 

Control Enhancements:

(1) The organization employs cryptographic mechanisms to prevent unauthorized disclosure of 

information during transmission unless otherwise protected by alternative physical measures. 

Enhancement Supplemental Guidance: Alternative physical protection measures include, for 

example, protected distribution systems.

LOW Not Selected MOD SC-9 HIGH SC-9 (1)

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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: The organization applies this control within the context of risk 

management that considers specific mission or operational requirements. 

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 following security functions of the system: [Assignment: organization-defined security 

functions to include at a minimum, information system authentication and reauthentication]. 

Supplemental Guidance: A trusted path is employed for high-confidence connections between the 

security functions of the information system and the user (e.g., for login). 

Control Enhancements: None. 

LOW Not Selected MOD Not Selected HIGH Not Selected

SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Control: When cryptography is required and employed within the information system, the 

organization establishes and manages cryptographic keys using automated mechanisms with 

supporting procedures or manual procedures. 

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

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SC-13 USE OF CRYPTOGRAPHY

Control: For information requiring cryptographic protection, the information system implements 

cryptographic mechanisms that comply with applicable laws, Executive Orders, directives, 

policies, regulations, standards, and guidance. 

Supplemental Guidance: The applicable federal standard for employing cryptography in nonnational 

security information systems is FIPS 140-2 (as amended). Validation certificates issued by the 

NIST Cryptographic Module Validation Program (including FIPS 140-1, FIPS 140-2, and future 

amendments) remain in effect and the modules remain available for continued use and purchase 

until a validation certificate is specifically revoked. NIST Special Publications 800-56 and 800-57 

provide guidance on cryptographic key establishment and cryptographic key management. 

Additional information on the use of validated cryptography is available at 

http://csrc.nist.gov/cryptval. 

Control Enhancements: None. 

LOW SC-13 MOD SC-13 HIGH SC-13

SC-14 PUBLIC ACCESS PROTECTIONS

Control: The information system protects the integrity and availability of publicly available 

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 and provides an explicit indication of use to the local users. 

Supplemental Guidance: Collaborative computing mechanisms include, for example, video and 

audio conferencing capabilities. Explicit indication of use includes, for example, signals to local 

users when cameras and/or microphones are activated. 

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 with information 

exchanged between information systems. 

Supplemental Guidance: Security parameters include, for example, security labels and markings. 

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 issues public key certificates under an appropriate certificate policy or 

obtains public key certificates under an appropriate certificate policy from an approved service 

provider. 

Supplemental Guidance: For user certificates, each agency either establishes an agency certification 

authority cross-certified with the Federal Bridge Certification Authority at medium assurance or 

higher or uses certificates from an approved, shared service provider, as required by OMB 

Memorandum 05-24. 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) authorizes, monitors, and controls the use of mobile code within the 

information system. 

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. 

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) authorizes, monitors, and controls the use of VoIP 

within the information system.

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 / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

Control: The information system that provides name/address resolution service provides additional 

data origin and integrity artifacts along with the authoritative data it returns in response to 

resolution queries. 

Supplemental Guidance: This control enables remote clients to obtain origin authentication and 

integrity verification assurances for the name/address resolution information obtained through the 

service. A domain name system (DNS) server is an example of an information system that 

provides name/address resolution service; digital signatures and cryptographic keys are examples 

of additional artifacts; and DNS resource records are examples of authoritative data. NIST Special 

Publication 800-81 provides guidance on secure domain name system deployment. 

Control Enhancements:

(1) The information system, when operating as part of a distributed, hierarchical namespace, provides 

the means to indicate the security status of child subspaces and (if the child supports secure 

resolution services) enable verification of a chain of trust among parent and child domains. 

Enhancement Supplemental Guidance: An example means to indicate the security status of child 

subspaces is through the use of delegation signer resource records.

LOW Not Selected MOD SC-20 HIGH SC-20

SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

Control: The information system that provides name/address resolution service for local clients 

performs data origin authentication and data integrity verification on the resolution responses it 

receives from authoritative sources when requested by client systems. 

Supplemental Guidance: A resolving or caching domain name system (DNS) server is an example of 

an information system that provides name/address resolution service for local clients and 

authoritative DNS servers are examples of authoritative sources. 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 on all 

resolution responses whether or not local clients explicitly request this service. 

Enhancement Supplemental Guidance: Local clients include, for example, DNS stub resolvers.

LOW Not Selected MOD Not Selected HIGH SC-21

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SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE 

Control: The information systems that collectively provide name/address resolution service for an 

organization are fault tolerant and implement role separation. 

Supplemental Guidance: A domain name system (DNS) server is an example of an information 

system that provides name/address resolution service. To eliminate single points of failure and to 

enhance redundancy, there are typically at least two authoritative domain name system (DNS) 

servers, one configured as primary and the other as secondary. Additionally, the two servers are 

commonly located in two different network subnets and geographically separated (i.e., not located 

in the same physical facility). If organizational information technology resources are divided into 

those resources belonging to internal networks and those resources belonging to external 

networks, authoritative DNS servers with two roles (internal and external) are established. The 

DNS server with the internal role provides name/address resolution information pertaining to both 

internal and external information technology resources while the DNS server with the external role 

only provides name/address resolution information pertaining to external information technology 

resources. The list of clients who can access the authoritative DNS server of a particular role is 

also specified. NIST Special Publication 800-81 provides guidance on secure DNS deployment. 

Control Enhancements: None.

LOW Not Selected MOD SC-22 HIGH SC-22

SC-23 SESSION AUTHENTICITY

Control: The information system provides mechanisms to protect the authenticity of 

communications sessions. 

Supplemental Guidance: This control focuses on communications protection at the session, versus 

packet, level. The intent of this control is to implement session-level protection where needed 

(e.g., in service-oriented architectures providing web-based services). NIST Special Publication 

800-52 provides guidance on the use of transport layer security (TLS) mechanisms. NIST Special 

Publication 800-77 provides guidance on the deployment of IPsec virtual private networks (VPNs) 

and other methods of protecting communications sessions. NIST Special Publication 800-95 

provides guidance on secure web services. 

Control Enhancements: None.

LOW Not Selected MOD SC-23 HIGH SC-23

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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 laws, Executive Orders, 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). 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, incident response activities, or 

information system error handling are also addressed expeditiously. Flaw remediation is 

incorporated into configuration management as an emergency change. NIST Special Publication 

800-40, provides guidance on security patch installation and patch management. Related security 

controls: CA-2, CA-4, CA-7, CM-3, IR-4, SI-11. 

Control Enhancements:

(1) The organization centrally manages the flaw remediation process and installs updates 

automatically. 

(2) The organization employs automated mechanisms to periodically and upon demand determine the 

state of information system components with regard to flaw remediation. 

LOW SI-2 MOD SI-2 (2) HIGH SI-2 (1) (2)

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SI-3 MALICIOUS CODE PROTECTION 

Control: The information system implements malicious code protection. 

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., USB 

devices, 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. The organization considers 

using malicious code protection software products from multiple vendors (e.g., using one vendor 

for boundary devices and servers and another vendor for workstations). The organization also 

considers the receipt of false positives during malicious code detection and eradication and the 

resulting potential impact on the availability of the information system. 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) (2) HIGH SI-3 (1) (2)

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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 is achieved through a variety of 

tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious 

code protection software, audit record monitoring software, network monitoring software). 

Monitoring devices are strategically deployed within the information system (e.g., at selected 

perimeter locations, near server farms supporting critical applications) to collect essential 

information. Monitoring devices are also deployed at ad hoc locations within the system to track 

specific transactions. Additionally, these devices are used to track the impact of security changes 

to the information system. The granularity of the information collected is determined by the 

organization based upon its monitoring objectives and the capability of the information system to 

support such activities. Organizations consult appropriate legal counsel with regard to all 

information system monitoring activities. Organizations heighten the level of information system 

monitoring activity whenever there is an indication of increased risk to organizational operations, 

organizational assets, or individuals based on law enforcement information, intelligence 

information, or other credible sources of information. NIST Special Publication 800-61 provides 

guidance on detecting attacks through various types of security technologies. NIST Special 

Publication 800-83 provides guidance on detecting malware-based attacks through malicious code 

protection software. NIST Special Publication 800-92 provides guidance on monitoring and 

analyzing computer security event logs. NIST Special Publication 800-94 provides guidance on 

intrusion detection and prevention. Related security control: AC-8. 

Control Enhancements:

(1) The organization interconnects and configures 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. 

(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 or conditions. 

Enhancement Supplemental Guidance: Unusual/unauthorized activities or conditions include, for 

example, the presence of malicious code, the unauthorized export of information, or signaling 

to an external information system.

(5) The information system provides a real-time alert when the following indications of compromise or 

potential compromise occur: [Assignment: organization-defined list of compromise indicators]. 

LOW Not Selected MOD SI-4 (4) HIGH SI-4 (2) (4) (5)

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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 (1)

SI-6 SECURITY FUNCTIONALITY VERIFICATION 

Control: The information system verifies 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: The need to verify security functionality applies to all security functions. 

For those security functions that are not able to execute automated self-tests, the organization 

either implements compensating security controls or explicitly accepts the risk of not performing 

the verification as required. 

Control Enhancements:

(1) The organization employs automated mechanisms to provide notification of failed automated 

security tests. 

(2) The organization employs automated mechanisms to support management of distributed security 

testing. 

LOW Not Selected MOD Not Selected HIGH SI-6

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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:

(1) The organization reassesses the integrity of software and information by performing [Assignment: 

organization-defined frequency] integrity scans of the system. 

(2) The organization employs automated tools that provide notification to appropriate individuals upon 

discovering discrepancies during integrity verification. 

(3) The organization employs centrally managed integrity verification tools. 

LOW Not Selected MOD Not Selected HIGH SI-7 (1) (2)

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)

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SI-9 INFORMATION INPUT RESTRICTIONS 

Control: The organization restricts the capability to input information to the information system to 

authorized personnel. 

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 are 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 verify that inputs match specified definitions for format and content. Inputs 

passed to interpreters are prescreened to prevent the content from being unintentionally interpreted 

as commands. The extent to which the information system is able to check the accuracy, 

completeness, validity, and authenticity of information is guided by organizational policy and 

operational requirements. 

Control Enhancements: None.

LOW Not Selected MOD SI-10 HIGH SI-10

SI-11 ERROR HANDLING 

Control: The information system identifies and handles error conditions in an expeditious manner 

without providing information that could be exploited by adversaries. 

Supplemental Guidance: The structure and content of error messages are carefully considered by the 

organization. Error messages are revealed only to authorized personnel. Error messages 

generated by the information system provide timely and useful information without revealing 

potentially harmful information that could be used by adversaries. Sensitive information (e.g., 

account numbers, social security numbers, and credit card numbers) are not listed in error logs or 

associated administrative messages. The extent to which the information system is able to identify 

and handle error conditions is guided by organizational policy and operational requirements. 

Control Enhancements: None. 

LOW Not Selected MOD SI-11 HIGH SI-11

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SI-12 INFORMATION OUTPUT HANDLING AND RETENTION 

Control: The organization handles and retains output from the information system in accordance 

with applicable laws, Executive Orders, directives, policies, regulations, standards, 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.51 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 1779952

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 control 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.

 

51 The security control mapping table includes references to: (i) ISO/IEC 17799: 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. 

52 ISO/IEC 17799, Code of Practice for Information Security Management, is expected to be renamed to ISO 27002 

consistent with the new designations for the ISO series of information security publications. ISO/IEC 17799 security 

controls are also referenced in ISO/IEC 27001:2005 Specification for an Information Security Management System. 

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CNTL 

NO. CONTROL NAME ISO/IEC 17799 

NIST 

800-26 

GAO 

FISCAM 

DOD 

8500.2 

DCID 6/353

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 

16.2.13 

16.3.1 

17.1.9 

AC-3.2 ECWM-1 4.B.1.a(6) 

AC-9 Previous Logon Notification 11.5.1 --- AC-3.2 ECLO-2 --- 

 

53 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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DCID 6/353 CNTL ISO/IEC NIST GAO DOD CONTROL NAME NO. 17799 800-26 FISCAM 8500.2 

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 Devices 

11.7.1 7.3.1 

7.3.2 

--- ECWN-1 8.B.6.c 

9.G.4 

AC-20 Use of External 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 --- --- --- --- 

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) 

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DCID 6/353 CNTL ISO/IEC NIST GAO DOD CONTROL NAME NO. 17799 800-26 FISCAM 8500.2 

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 Response to Audit Processing 

Failures 

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 Record 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) 

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 

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DCID 6/353 CNTL ISO/IEC NIST GAO DOD CONTROL NAME NO. 17799 800-26 FISCAM 8500.2 

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 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 

E3.3.8 

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 

E3.3.8 

4.B.2.a(10) 

CM-7 Least Functionality --- 10.3.1 --- DCPP-1 

ECIM-1 

ECVI-1 

E3.3.8 

4.B.2.a(10) 

7.D.2.b 

CM-8 Information 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) 

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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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 and 

Exercises 

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 Site 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 Site 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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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 and 

Exercises 

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 

E3.3.9 

8.B.7 

9.B.2.e 

IR-5 Incident Monitoring --- 14.1.3 --- VIIR-1 8.B.7.a 

IR-6 Incident Reporting 6.1.6 

6.2.2 

6.2.3 

13.1.1 

13.1.2 

14.1.2 

14.1.3 

14.2.1 

14.2.2 

14.2.3 

--- VIIR-1 

E3.3.9 

8.B.7 

IR-7 Incident Response Assistance 14.1.3 8.1.1 

14.1.1 

SP-3.4 --- 8.B.7.c 

Maintenance

MA-1 System Maintenance Policy and 

Procedures 

10.1.1 

15.1.1 

10. --- PRMP-1 

DCAR-1 

DCID: B.2.a 

Manual: 

2.B.4.e(5); 

6.B.2.a(5) 

MA-2 Controlled Maintenance 9.2.4 10.1.1 

10.1.3 

10.2.1 

SS-3.1 --- 6.B.2.a(5) 

8.B.8.c 

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 

17.1.1 

SS-3.1 EBRP-1 8.B.8.d 

MA-5 Maintenance Personnel 6.2.3 

9.2.4 

10.1.1 

10.1.3 

SS-3.1 PRMP-1 8.B.8.a 

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 

8.2 --- PESP-1 

DCAR-1 

DCID: B.2.a 

Manual: 

2.B.6.c(7); 

8.B.2 

MP-2 Media Access 10.7.3 8.2.1 

8.2.2 

8.2.3 

8.2.6 

8.2.7 

--- PEDI-1 

PEPF-1 

2.B.9.b(4) 

4.B.1.a(1) 

4.B.1.a(7) 

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MP-3 Media Labeling 7.2.2 

10.7.3 

10.8.2 

15.1.3 

8.2.5 

8.2.6 

10.2.9 

--- ECML-1 2.B.9.b(4) 

8.B.2.a 

8.B.2.c 

MP-4 Media Storage 10.7.1 

10.7.2 

10.7.3 

10.7.4 

15.1.3 

7.1.4 

8.2.1 

8.2.2 

8.2.9 

10.1.2 

AC-3.1 PESS-1 2.B.9.b(4) 

4.B.1.a(7) 

MP-5 Media Transport 10.8.3 8.2.2 

8.2.4 

--- --- 2.B.9.b(4) 

MP-6 Media Sanitization and Disposal 9.2.6 

10.7.1 

10.7.2 

3.2.11 

3.2.12 

3.2.13 

8.2.8 

8.2.9 

8.2.10 

AC-3.4 PECS-1 

PEDD-1 

8.B.5 

2.B.9.b(4) 

8.B.5.a(4) 

8.B.5.d 

8.B.5.e 

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 Records 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 

9.2.3 

7.1.16 SC-2.2 --- 8.D.2 

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 

9.2.1 

7.1.12 SC-2.2 PEFD-1 

PEFS-1 

8.C.2.a 

8.D.2 

PE-14 Temperature and Humidity Controls 9.2.1 

10.5.1 

10.7.1 

7.1.14 

7.1.15 

SC-2.2 PEHC-1 

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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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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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 Engineering Principles 12.1 3.2.1 --- DCBP-1 

DCCS-1 

E3.4.4 

1.H.1 

SA-9 External 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 

--- SS-3.1 

CC-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 

SS-3.1 

CC-2.1 

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 Remnance 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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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 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 ---54

SC-20 Secure Name /Address Resolution 

Service (Authoritative Source) 

--- --- --- --- --- 

SC-21 Secure Name /Address Resolution 

Service (Recursive or Caching 

Resolver) 

--- --- --- --- --- 

SC-22 Architecture and Provisioning for 

Name/Address Resolution Service 

--- --- --- --- --- 

SC-23 Session Authenticity --- --- --- --- --- 

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 

VIVM-1

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 VIVM-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) 

 

54 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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________________________________________________________________________________________________ 

CNTL 

NO. CONTROL NAME ISO/IEC NIST 800-26 

GAO 

FISCAM 

DOD 

17799 8500.2 

DCID 6/353

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) 

SI-10 Information Accuracy, Completeness, 

Validity, and Authenticity 

10.7.3 

12.2.1 

12.2.2 

--- --- --- 7.B.2.h 

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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APPENDIX H

STANDARDS AND GUIDANCE MAPPINGS 

CROSSWALK BETWEEN NIST STANDARDS AND GUIDELINES AND SECURITY CONTROLS 

he mapping table in this appendix provides organizations with a two-way crosswalk 

between NIST security standards and guidance documents (i.e., the current version of the 

FIPS Publications and Special Publications in the 800- series) and the security controls in 

the catalog of controls listed in Appendix F. The first crosswalk maps a specific NIST security 

publication to the associated security controls in NIST Special Publication 800-53 that are 

relevant to that publication. The second crosswalk maps each security control in Special 

Publication 800-53 to the appropriate NIST standards and guidance documents that apply to that 

particular control.55 The purpose of the crosswalk is to provide organizations with additional 

useful information regarding security control selection and implementation. The two-way 

crosswalk between publications and security controls and security controls and publications is not 

intended to be exhaustive. In addition to providing useful information for organizations, the 

crosswalk also indicates particular areas where additional security guidance might be needed.

T 

 

55 There are certain FIPS and NIST Special Publications that are listed in the crosswalk for a particular security control 

in Appendix H that do not appear in the supplemental guidance for that control. The supplemental guidance for 

security controls lists only the most relevant NIST publications associated with that control or the publications that 

provide the most extensive guidance for that security control area. 

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CROSSWALK ONE: NIST PUBLICATIONS TO SECURITY CONTROLS 

PUBLICATION 

NO. PUBLICATION TITLE RELATED SECURITY CONTROLS

FIPS 140-2 Security Requirements for Cryptographic 

Modules, May 2001 

IA-7, SC-12, SC-13 

FIPS 180-2 Secure Hash Standard (SHS), August 2002 SC-13 

FIPS 186-2 Digital Signature Standard (DSS), January 2000 SC-13 

FIPS 188 Standard Security Labels for Information 

Transfer, September 1994 

AC-16 

FIPS 190 Guideline for the Use of Advanced 

Authentication Technology Alternatives, 

September 1994 

IA-1, IA-5, SC-13 

FIPS 197 Advanced Encryption Standard, November 2001 SC-13 

FIPS 198 The Keyed-Hash Message Authentication Code 

(HMAC), March 2002 

AU-10, SC-8, SC-13 

FIPS 199 Standards for Security Categorization of Federal 

Information and Information Systems, February 

2004 

PL-2, RA-2 

FIPS 200 Minimum Security Requirements for Federal 

Information and Information Systems, March 

2006 

AC-1, AT-1, AU-1, CA-1, CM-1, CP-1, 

IA-1, IR-1, MA-1, MP-1, PE-1, PL-1, PL-2, 

PS-1, RA-1, SA-1, SC-1, SI-1 

FIPS 201-1 Personal Identity Verification (PIV) of Federal 

Employees and Contractors, March 2006 

AC-1, AC-3, AC-17, IA-1, IA-2, IA-4, IA-5, 

PL-5, SC-13, SC-17 

SP 800-12 An Introduction to Computer Security: The NIST 

Handbook, October 1995 

AC-1, AC-2, AC-3, AC-6, AC-13, AC-16, 

AT-1, AU-1, AU-2, AU-3, AU-6, AU-7, 

AU-9, CA-1, CM-1, CP-1, CP-2, CP-4, 

IA-1, IA-2, IR-1, MA-1, MP-1, PE-1, PE-3, 

PE-4, PE-13, PL-1, PL-2, PL-5, PS-1, PS-2, 

PS-3, PS-4, PS-5, RA-1, RA-3, RA-4, SA-1, 

SA-3, SC-1, SC-12, SC-13, SC-14, SI-1 

SP 800-13 Telecommunications Security Guidelines for 

Telecommunications Management Network, 

October 1995 

CP-8, RA-3, RA-4 

SP 800-14 Generally Accepted Principles and Practices for 

Securing Information Technology Systems, 

September 1996 

AC-1, AT-1, AU-1, CA-1, CM-1, CP-1, 

CP-2, CP-5, IA-1, IR-1, MA-1, MP-1, PE-1, 

PL-1, PL-2, PS-1, PS-4, RA-1, RA-3, RA-4, 

SA-1, SA-3, SC-1, SI-1 

SP 800-15 Minimum Interoperability Specification for PKI 

Components (MISPC), Version 1, September 

1997 

SC-17 

SP 800-16 Information Technology Security Training 

Requirements: A Role- and Performance-Based 

Model, April 1998 

AT-3 

SP 800-17 Modes of Operation Validation System (MOVS): 

Requirements and Procedures, February 1998 

CA-2, SC-13 

SP 800-18 Guide for Developing Security Plans for Federal 

Information Systems, February 2006 

CA-3, CA-5, PL-1, PL-2, PL-3 

SP 800-19 Mobile Agent Security, October 1999 AC-1, AC-3, AC-6, AU-3, AU-9, PL-2, 

PL-5, RA-3, RA-4, SC-2, SI-3, SI-7 

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SP 800-20 Modes of Operation Validation System for the 

Triple Data Encryption Algorithm (TMOVS): 

Requirements and Procedures, April 2000 

CA-2, SC-13 

SP 800-21-1 Second Edition, Guideline for Implementing 

Cryptography in the Federal Government, 

December 2005 

CP-9, CP-10, PL-2, SA-3, SC-12, SC-13 

SP 800-22 A Statistical Test Suite for Random and 

Pseudorandom Number Generators for 

Cryptographic Applications, May 2001 

CA-2, SC-13 

SP 800-23 Guideline to Federal Organizations on Security 

Assurance and Acquisition/Use of 

Tested/Evaluated Products, August 2000 

CA-1, CA-2, RA-3, RA-4, SA-4 

SP 800-24 PBX Vulnerability Analysis: Finding Holes in 

Your PBX Before Someone Else Does, August 

2000 

AC-17, CP-10, IA-2, MA-2, MP-6, PE-3, 

RA-3, RA-4, RA-5 

SP 800-25 Federal Agency Use of Public Key Technology 

for Digital Signatures and Authentication, 

October 2000 

CP-9, IA-1, IA-5, PL-2, RA-3, RA-4, SC-17 

SP 800-26 Security Self-Assessment Guide for Information 

Technology Systems, November 2001 

CA-1, CA-2, CA-7, PL-2, RA-2 

SP 800-27 Engineering Principles for Information 

Technology Security (A Baseline for Achieving 

Security), Revision A, June 2004 

PL-2, SA-3, SA-8 

SP 800-28 Guidelines on Active Content and Mobile Code, 

October 2001 

AC-6, RA-3, RA-4, SC-1, SC-7, SC-15, 

SC-18, SI-2 

SP 800-29 A Comparison of the Security Requirements for 

Cryptographic Modules in FIPS 140-1 and FIPS 

140-2, June 2001 

SC-13 

SP 800-30 Risk Management Guide for Information 

Technology Systems, July 2002 

CA-5, PL-2, RA-1, RA-2, RA-3, RA-4, 

SA-3 

SP 800-31 Intrusion Detection Systems (IDS), November 

2001 

IR-4, PL-2, RA-3, RA-4, RA-5, SA-4, SI-1, 

SI-4, SI-7 

SP 800-32 Introduction to Public Key Technology and the 

Federal PKI Infrastructure, February 2001 

IA-5, PL-2, RA-3, RA-4, SC-17, SC-20 

SP 800-33 Underlying Technical Models for Information 

Technology Security, December 2001 

PL-2, SA-8 

SP 800-34 Contingency Planning Guide for Information 

Technology Systems, June 2002 

CP-1, CP-2, CP-3, CP-4, CP-5, CP-6, CP-7, 

CP-8, CP-9, CP-10, MA-1, PL-2, RA-3, 

RA-4, SA-3 

SP 800-35 Guide to Information Technology Security 

Services, October 2003 

CA-2, CM-2, CM-8, SA-1, SA-2, SA-3, SA9 

SP 800-36 Guide to Selecting Information Technology 

Security Products, October 2003 

AC-1, CA-2, IA-1, IR-4, MP-6, RA-5, SA-1, 

SA-4, SC-7, SC-17, SI-3, SI-4

SP 800-37 Guide for the Security Certification and 

Accreditation of Federal Information Systems, 

May 2004 

CA-1, CA-2, CA-4, CA-5, CA-6, CA-7, 

CM-1, PL-2, PL-3, RA-1, RA-2, RA-3, 

RA-4, RA-5 

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PUBLICATION PUBLICATION TITLE RELATED SECURITY CONTROLS NO.

SP 800-38A Recommendation for Block Cipher Modes of 

Operation - Methods and Techniques, December 

2001 

SC-13 

SP 800-38B Recommendation for Block Cipher Modes of 

Operation: The CMAC Mode for Authentication, 

May 2005 

SC-13 

SP 800-38C Recommendation for Block Cipher Modes of 

Operation: the CCM Mode for Authentication and 

Confidentiality, May 2004 

SC-13 

SP 800-38D Recommendation for Block Cipher Modes of 

Operation: Galois/Counter Mode (GCM) for 

Confidentiality and Authentication (Draft), April 

2006 

SC-13 

SP 800-40 Creating a Patch and Vulnerability Management 

Program, Version 2, November 2005 

AT-3, AT-5, CM-2, CM-6, CM-8, PL-2, 

RA-2, RA-3, RA-4, RA-5, SI-2, SI-4, SI-5 

SP 800-41 Guidelines on Firewalls and Firewall Policy, 

January 2002 

AC-1, AC-4, CP-9, PL-2, SC-7 

SP 800-42 Guideline on Network Security Testing, October 

2003 

AU-6, CA-7, PL-1, RA-3, RA-4, RA-5, SI-3, 

SI-4 

SP 800-43 Systems Administration Guidance for Windows 

2000 Professional, November 2002 

AC-2, CM-6, SI-2, CP-9, CP-10 

SP 800-44 Guidelines on Securing Public Web Servers, 

September 2002 

AC-1, AC-17, AU-1, AU-2, AU-6, AU-7, 

IA-2, CM-6, CP-9, CP-10, IA-1, PL-2, PL-5, 

RA-3, RA-4, RA-5, SC-5, SC-7, SC-8, SC-9, 

SI-4, SI-7, SI-10 

SP 800-45A Guidelines on Electronic Mail Security (Draft), 

August 2006 

AC-1, AC-17, AU-2, AU-6, AU-9, 

CM-6, CP-9, IA-1, PL-2. PL-4, RA-3, RA-4, 

RA-5, SC-8, SC-9, SI-3, SI-8 

SP 800-46 Security for Telecommuting and Broadband 

Communications, August 2002 

AC-1, AC-17, AC-18, AC-20, CM-6. IA-1, 

IA-2, PL-4, RA-3, RA-4, RA-5, SC-7, 

SC-10 

SP 800-47 Security Guide for Interconnecting Information 

Technology Systems, August 2002 

CA-3 

SP 800-48 Wireless Network Security: 802.11, Bluetooth, 

and Handheld Devices, November 2002 

AC-18, CM-6, IA-3, PL-4, RA-3, RA-4, 

SI-4 

SP 800-49 Federal S/MIME V3 Client Profile, November 

2002 

AU-10, SC-8, SC-9 

SP 800-50 Building an Information Technology Security 

Awareness and Training Program, October 2003 

AT-1, AT-2, AT-3, AT-4, CP-3, IR2 

SP 800-51 Use of the Common Vulnerabilities and 

Exposures (CVE) Vulnerability Naming Scheme, 

September 2002 

RA-5, SI-2, SI-5 

SP 800-52 Guidelines for the Selection and Use of Transport 

Layer Security (TLS) Implementations, June 

2005 

AU-10, IA-3, SC-8, SC-9, SC-12, SC-23 

SP 800-53A Guide for Assessing the Security Controls in 

Federal Information Systems (Second Public 

Draft), April 2006 

CA-2 

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PUBLICATION PUBLICATION TITLE RELATED SECURITY CONTROLS NO.

SP 800-54 Border Gateway Protocol Security (Draft), 

September 2006 

CM-6, RA-3, RA-4, SC-5, SC-7, SC-8, 

SC-9, SC-23

SP 800-55 Security Metrics Guide for Information 

Technology Systems, July 2003 

CA-1, CA-2, CA-4, CA-7, RA-3, RA-4 

SP 800-56A Recommendation for Pair-Wise Key 

Establishment Schemes Using Discrete 

Logarithm Cryptography, March 2006 

CP-4, SC-12, SC-17 

SP 800-57 Recommendation on Key Management, August 

2005 

AC-16, AU-1, CP-9, CP-10, MP-5, PL-2, 

SC-8, SC-9, SC-12, SC-17, SI-7, SI-10 

SP 800-58 Security Considerations for Voice Over IP 

Systems, January 2005 

AC-4, AC-17, AC-18, IA-3, PE-4, PE-11, 

PL-2, SC-7, SC-8, SC-9, SC-12, SC-16, 

SC-19 

SP 800-59 Guideline for Identifying an Information System 

as a National Security System, August 2003 

RA-2 

SP 800-60 Guide for Mapping Types of Information and 

Information Systems to Security Categories, June 

2004 

RA-2, RA-3, RA-4 

SP 800-61 Computer Security Incident Handling Guide, 

January 2004 

IR-1, IR-2, IR-3, IR-4, IR-5, IR-6, IR-7, SI-5

SP 800-63 Electronic Authentication Guideline: 

Recommendations of the National Institute of 

Standards and Technology, Version 1.0.2, April 

2006 

IA-1, IA-5, RA-3, RA-4 

SP 800-64 Security Considerations in the Information 

System Development Life Cycle, Revision 1, 

June 2004 

PL-2, SA-1, SA-2, SA-3, SA-4 

SP 800-65 Integrating Security into the Capital Planning and 

Investment Control Process, January 2005 

CA-5, PL-1, RA-3, RA-4, SA-1, SA-2 

SP 800-66 An Introductory Resource Guide for 

Implementing the Health Insurance Portability 

and Accountability Act (HIPAA) Security Rule, 

March 2005 

AC-1, AC-2, AC-3, AC-5, AC-6, AT-1, 

AT-2, AT-3, AU-1, AU-2, CA-1, CA-2, 

CA-3, CA-4, CA-6, CP-1, CP-2, CP-4, IA-4, 

IA-5, IR-1, MP-1, MP-4, MP-6, PE-1, PE-3, 

PE-18, PL-1, PS-1, PS-4, PS-8, RA-1, 

RA-2, RA-3, RA-4, SA-1, SA-9, SC-8, 

SC-9, SI-1, SI-7 

SP 800-67 Recommendation for the Triple Data Encryption 

Algorithm (TDEA) Block Cipher, May 2004 

SC-13 

SP 800-68 Guidance for Securing Microsoft Windows XP 

Systems for IT Professionals: A NIST Security 

Configuration Checklist, October 2005 

AC-3, AC-6, AC-7, AC-17, AU-2, AU-4, 

CM-6, IA-2, IA-5, SC-5 

SP 800-69 Guidance for Securing Microsoft Windows XP 

Home Edition: A NIST Security Configuration 

Checklist, September 2006 

AC-6, CP-9, IA-2, SI-3 

SP 800-70 Security Configuration Checklists Program for IT 

Products: Guidance for Checklists Users and 

Developers, May 2005 

CM-6, SC-7 

SP 800-72 Guidelines on PDA Forensics, November 2004 AU-1, AU-2, AU-9, IA-3, IA-4, IA-6, MP-1, 

MP-2, MP-5 

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PUBLICATION PUBLICATION TITLE RELATED SECURITY CONTROLS NO.

SP 800-73 Interfaces for Personal Identity Verification, 

Revision 1, April 2006 

AC-3, AC-17, IA-1, IA-2, IA-3, IA-4, IA-5, 

IA-7, PE-3, SC-12 

SP 800-76-1 Biometric Data Specification for Personal Identity 

Verification (Draft), September 2006 

AC-3, AC-17, CA-2, CA-4, IA-1, IA-2, 

IA-5, PE-3, SA-11 

SP 800-77 Guide to IPsec VPNs, December 2005 AC-4, AC-17, AC-20, IA-3, IA-5, MA-4, 

SC-7, SC-8, SC-9, SC-12, SC-23 

SP 800-78 Cryptographic Algorithms and Key Sizes for 

Personal Identity Verification, April 2005 

AC-3, AC-17, IA-2, IA-4, IA-5, IA-7, PE-3, 

SC-13 

SP 800-79 Guidelines for the Certification and Accreditation 

of PIV Card Issuing Organizations, July 2005 

CA-1, CA-2, CA-4, CA-6, CA-7 

SP 800-81 Secure Domain Name System (DNS) 

Deployment Guide, May 2006 

AC-6, CM-6, CM-7, CP-10, IA-3, PL-2, 

SC-3, SC-5, SC-8, SC-20, SC-21, SC-22 

SP 800-82 Guide to Supervisory Control and Data 

Acquisition (SCADA) and Industrial Control 

Systems Security (Draft), September 2006 

AC-4, CM-6, CP-2, PE-3, RA-3, RA-4, 

RA-5, SC-7 

SP 800-83 Guide to Malware Incident Prevention and 

Handling, November 2005 

AC-6, AU-2, AU-5, AU-6, CM-4, CM-6, 

CM-7, CP-10, IR-1, IR-4, RA-5, SA-7, 

SC-7, SI-2, SI-3, SI-4 

SP 800-84 Guide to Test, Training, and Exercise Programs 

for IT Plans and Capabilities, September 2006 

CP-1, CP-3, CP-4, IR-1, IR-2, IR-3 

SP 800-85A PIV Card Application and Middleware Interface 

Test Guidelines, April 2006 

CA-4, CA-7, SA-11, SI-6 

SP 800-85B PIV Data Model Test Guidelines, July 2006 CA-4, CA-7, SA-11, SI-6 

SP 800-86 Guide to Integrating Forensic Techniques into 

Incident Response, August 2006 

IR-1, IR-4 

SP 800-87 Codes for the Identification of Federal and 

Federally-Assisted Organizations, January 2006 

AC-3, AC-17, IA-1, IA-2, IA-4, IA-5, IA-7 

SP 800-88 Guidelines for Media Sanitization, September 

2006 

MA-1, MP-1, MP-4, MP-6 

SP 800-89 Recommendation for Obtaining Assurances for 

Digital Signature Applications, November 2006 

AU-10, PL-4, SC-17 

SP 800-90 Recommendation for Random Number 

Generation Using Deterministic Random Bit 

Generators, June 2006 

SC-13 

SP 800-92 Guide to Computer Security Log Management, 

September 2006 

AU-1, AU-2, AU-3, AU-4, AU-5, AU-6, 

AU-7, AU-8, AU-9, AU-11, IR-4, MP-4, 

MP-5, SI-4 

SP 800-94 Guide to Intrusion Detection and Prevention 

(IDP) Systems (Draft), August 2006 

AU-2, AU-3, AU-6, AU-8, AU-9, IR-4, 

SA-4, SC-5, SI-1, SI-3, SI-4, SI-7 

SP 800-95 Guide to Secure Web Services (Draft), August 

2006 

AC-3, AU-10, SC-5, SC-8, SC-9, SC-23 

SP 800-96 PIV Card / Reader Interoperability Guidelines, 

September 2006 

AC-3, AC-17, IA-2, IA-3, IA-4, IA-5, PE-3 

SP 800-97 Guide to IEEE 802.11i: Establishing Robust 

Security Networks (Draft), June 2006 

AC-18, IA-2, IA-3, SC-8, SC-9, SC-12, 

SA-3 

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SP 800-98 Guidance for Securing Radio Frequency 

Identification (RFID) Systems (Draft), September 

2006 

AC-3, AC-5, CP-10, MP-6, PE-3, PE-19, 

PL-5, RA-3, RA-4, SA-3 

SP 800-100 Information Security Handbook: A Guide for 

Managers, October 2006 

AC-1, AT-1, AU-1, CA-1, CM-1, CP-1, 

IA-1, IR-1, MA-1, MP-1, PE-1, PL-1, PS-1, 

RA-1, SA-1, SC-1, SI-1 

SP 800-101 Guidelines on Cell Phone Forensics (Draft), 

August 2006 

IR-4 

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CROSSWALK TWO: SECURITY CONTROLS TO NIST PUBLICATIONS

CNTL 

NO. CONTROL NAME RELATED NIST PUBLICATIONS

Access Control

AC-1 Access Control Policy and 

Procedures 

FIPS 200, 201-1; NIST Special Publications 800-12, 800-14, 

800-19, 800-36, 800-41, 800-44, 800-45, 800-46, 800-66, 

800-100 

AC-2 Account Management NIST Special Publications 800-12, 800-43, 800-66 

AC-3 Access Enforcement FIPS 201-1; NIST Special Publications 800-12, 800-19, 800-66, 

800-68, 800-73, 800-76, 800-78, 800-87, 800-95, 800-96, 800-98 

AC-4 Information Flow Enforcement NIST Special Publications 800-41, 800-77, 800-82 

AC-5 Separation of Duties NIST Special Publication 800-66, 800-98 

AC-6 Least Privilege NIST Special Publications 800-12, 800-19, 800-28 800-66, 

800-68, 800-69, 800-81, 800-83 

AC-7 Unsuccessful Login Attempts NIST Special Publication 800-68 

AC-8 System Use Notification No references available. 

AC-9 Previous Logon Notification No references available. 

AC-10 Concurrent Session Control No references available. 

AC-11 Session Lock No references available. 

AC-12 Session Termination No references available. 

AC-13 Supervision and Review—Access 

Control 

NIST Special Publication 800-12 

AC-14 Permitted Actions without 

Identification or Authentication 

No references available. 

AC-15 Automated Marking No references available. 

AC-16 Automated Labeling FIPS 188; NIST Special Publications 800-12, 800-57 

AC-17 Remote Access FIPS 201-1; NIST Special Publications 800-24, 800-44, 800-45, 

800-46, 800-58, 800-68, 800-73, 800-76. 800-77, 800-78, 800-87, 

800-96 

AC-18 Wireless Access Restrictions NIST Special Publications 800-46, 800-48, 800-58, 800-97 

AC-19 Access Control for Portable and 

Mobile Systems 

No references available. 

AC-20 Use of External Information Systems NIST Special Publications 800-46, 800-77 

Awareness and Training

AT-1 Security Awareness and Training 

Policy and Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-50, 

800-66, 800-100 

AT-2 Security Awareness NIST Special Publications 800-50, 800-66 

AT-3 Security Training NIST Special Publications 800-16, 800-31, 800-40, 

800-50, 800-66 

AT-4 Security Training Records NIST Special Publications 800-50 

AT-5 Contacts with Security Groups and 

Associations 

NIST Special Publications 800-40 

Audit and Accountability

AU-1 Audit and Accountability Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-44, 

800-57, 800-66, 800-72, 800-92, 800-100 

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CNTL CONTROL NAME RELATED NIST PUBLICATIONS NO.

AU-2 Auditable Events NIST Special Publications 800-12, 800-44, 800-45, 800-66, 

800-68, 800-72, 800-83, 800-92, 800-94 

AU-3 Content of Audit Records NIST Special Publications 800-12, 800-19, 800-92, 800-94 

AU-4 Audit Storage Capacity NIST Special Publications 800-68, 800-92 

AU-5 Response to Audit Processing 

Failures 

NIST Special Publications 800-83, 800-92 

AU-6 Audit Monitoring, Analysis, and 

Reporting 

NIST Special Publications 800-12, 800-42, 800-44, 800-45, 

800-83, 800-92, 800-94 

AU-7 Audit Reduction and Report 

Generation 

NIST Special Publications 800-12, 800-44, 800-92 

AU-8 Time Stamps NIST Special Publications 800-92, 800-94 

AU-9 Protection of Audit Information NIST Special Publications 800-12, 800-19, 800-45, 800-72, 

800-92, 800-94 

AU-10 Non-repudiation FIPS 198; NIST Special Publications 800-49, 800-52, 800-89, 

800-95 

AU-11 Audit Record Retention NIST Special Publication 800-92 

Certification, Accreditation, and Security Assessments

CA-1 Certification, Accreditation, and 

Security Assessment Policies and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-23, 

800-26, 800-37, 800-53A, 800-66, 800-79, 800-100 

CA-2 Security Assessments NIST Special Publications 800-17, 800-20, 800-22, 800-23, 

800-26, 800-35, 800-36, 800-37, 800-53A, 800-55, 800-66, 

800-76, 800-79 

CA-3 Information System Connections NIST Special Publications 800-18, 800-47, 800-66 

CA-4 Security Certification NIST Special Publications 800-37, 800-53A, 800-66, 800-76, 

800-79, 800-85A, 800-85B 

CA-5 Plan of Action and Milestones NIST Special Publications 800-18, 800-30, 800-37, 800-65 

CA-6 Security Accreditation NIST Special Publications 800-37, 800-66, 800-79 

CA-7 Continuous Monitoring NIST Special Publications 800-26, 800-37, 800-42, 800-53A, 

800-79, 800-85A, 800-85B 

Configuration Management

CM-1 Configuration Management Policy 

and Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-37, 

800-100 

CM-2 Baseline Configuration NIST Special Publications 800-35, 800-40, 800-82 

CM-3 Configuration Change Control No references available. 

CM-4 Monitoring Configuration Changes NIST Special Publication 800-83 

CM-5 Access Restrictions for Change No references available. 

CM-6 Configuration Settings NIST Special Publications 800-40, 800-43, 800-44, 800-45, 

800-46, 800-48, 800-54, 800-68, 800-70, 800-81, 800-82, 800-83 

CM-7 Least Functionality NIST Special Publications 800-81, 800-83 

CM-8 Information System Component 

Inventory 

NIST Special Publications 800-35, 800-40 

Contingency Planning

CP-1 Contingency Planning Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-34, 

800-66, 800-84, 800-100 

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CP-2 Contingency Plan NIST Special Publications 800-12, 800-14, 800-34, 800-66 

CP-3 Contingency Training NIST Special Publications 800-34, 800-50, 800-84 

CP-4 Contingency Plan Testing NIST Special Publications 800-12, 800-34, 800-56, 800-66, 

800-84 

CP-5 Contingency Plan Update NIST Special Publications 800-14, 800-34 

CP-6 Alternate Storage Site NIST Special Publication 800-34 

CP-7 Alternate Processing Site NIST Special Publication 800-34 

CP-8 Telecommunications Services NIST Special Publications 800-13, 800-34 

CP-9 Information System Backup NIST Special Publications 800-21, 800-25, 800-34, 800-41, 

800-43, 800-44, 800-45, 800-57, 800-69 

CP-10 Information System Recovery and 

Reconstitution 

NIST Special Publications 800-21, 800-24, 800-34, 800-43, 

800-44, 800-57, 800-81, 800-83, 800-98 

Identification and Authentication

IA-1 Identification and Authentication 

Policy and Procedures 

FIPS 190, FIPS 200, FIPS 201-1; NIST Special Publications 

800-12, 800-14, 800-25, 800-36, 800-44, 800-45, 800-46, 800-63, 

800-73, 800-76, 800-87, 800-100 

IA-2 User Identification and 

Authentication 

FIPS 201-1; NIST Special Publications 800-12, 800-24, 800-44, 

800-46, 800-68, 800-69, 800-73, 800-76, 800-78, 800-87, 800-96, 

800-97 

IA-3 Device Identification and 

Authentication 

NIST Special Publications 800-48, 800-52, 800-72, 800-73, 

800-77, 800-81, 800-96, 800-97 

IA-4 Identifier Management FIPS 201-1; NIST Special Publications 800-66, 800-72, 800-73, 

800-78, 800-87, 800-96 

IA-5 Authenticator Management FIPS 190, 201-1; NIST Special Publications 800-25, 800-32, 

800-63, 800-66, 800-68, 800-73, 800-76, 800-77, 800-78, 800-87, 

800-96 

IA-6 Authenticator Feedback NIST Special Publication 800-72 

IA-7 Cryptographic Module 

Authentication 

FIPS 140-2; NIST Special Publications 800-73, 800-78, 800-87 

Incident Response

IR-1 Incident Response Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-61, 

800-66, 800-86, 800-83, 800-84, 800-100 

IR-2 Incident Response Training NIST Special Publications 800-50, 800-61, 800-84 

IR-3 Incident Response Testing NIST Special Publication 800-61, 800-84 

IR-4 Incident Handling NIST Special Publications 800-31, 800-36, 800-61, 800-83, 

800-86, 800-92, 800-94, 800-101 

IR-5 Incident Monitoring NIST Special Publication 800-61 

IR-6 Incident Reporting NIST Special Publication 800-61 

IR-7 Incident Response Assistance NIST Special Publication 800-61 

Maintenance

MA-1 System Maintenance Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-34, 

800-88, 800-100 

MA-2 Controlled Maintenance NIST Special Publication 800-24 

MA-3 Maintenance Tools No references available. 

MA-4 Remote Maintenance NIST Special Publication 800-77 

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MA-5 Maintenance Personnel No references available. 

MA-6 Timely Maintenance No references available. 

Media Protection

MP-1 Media Protection Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-66, 

800-72, 800-88, 800-100 

MP-2 Media Access NIST Special Publication 800-72 

MP-3 Media Labeling No references available. 

MP-4 Media Storage NIST Special Publications 800-66, 800-88, 800-92 

MP-5 Media Transport NIST Special Publications 800-57, 800-72, 800-92 

MP-6 Media Sanitization and Disposal NIST Special Publications 800-24, 800-36, 800-66, 800-88, 

800-98 

Physical and Environmental Protection

PE-1 Physical and Environmental 

Protection Policy and Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-66, 

800-100 

PE-2 Physical Access Authorizations No references available. 

PE-3 Physical Access Control NIST Special Publications 800-12, 800-24, 800-66, 800-73, 

800-76, 800-78, 800-82, 800-96, 800-98 

PE-4 Access Control for Transmission 

Medium 

NIST Special Publications 800-12, 800-58 

PE-5 Access Control for Display Medium No references available. 

PE-6 Monitoring Physical Access No references available. 

PE-7 Visitor Control No references available. 

PE-8 Access Records No references available. 

PE-9 Power Equipment and Power Cabling No references available. 

PE-10 Emergency Shutoff No references available. 

PE-11 Emergency Power NIST Special Publication 800-58 

PE-12 Emergency Lighting No references available. 

PE-13 Fire Protection NIST Special Publication 800-12 

PE-14 Temperature and Humidity Controls No references available. 

PE-15 Water Damage Protection No references available. 

PE-16 Delivery and Removal No references available. 

PE-17 Alternate Work Site No references available. 

PE-18 Location of Information System 

Components 

NIST Special Publication 800-66 

PE-19 Information Leakage NIST Special Publication 800-98 

Planning

PL-1 Security Planning Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-18, 

800-42, 800-65, 800-66, 800-100 

PL-2 System Security Plan FIPS 199, 200; NIST Special Publications 800-12, 800-14, 

800-18, 800-19, 800-21, 800-25, 800-26, 800-27, 800-30, 800-31, 

800-32, 800-33, 800-34, 800-37, 800-40, 800-41, 800-44, 

800-45, 800-57, 800-58, 800-64, 800-81 

PL-3 System Security Plan Update NIST Special Publications 800-18, 800-37 

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PL-4 Rules of Behavior NIST Special Publications 800-45, 800-46, 800-48, 800-89 

PL-5 Privacy Impact Assessment FIPS 201-1; NIST Special Publications 800-12, 800-19, 800-44, 

800-98 

PL-6 Security-Related Activity Planning No references available. 

Personnel Security

PS-1 Personnel Security Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-66, 

800-100 

PS-2 Position Categorization NIST Special Publication 800-12 

PS-3 Personnel Screening NIST Special Publication 800-12 

PS-4 Personnel Termination NIST Special Publications 800-12, 800-14, 800-66 

PS-5 Personnel Transfer NIST Special Publication 800-12 

PS-6 Access Agreements No references available. 

PS-7 Third-Party Personnel Security No references available. 

PS-8 Personnel Sanctions NIST Special Publication 800-66 

Risk Assessment

RA-1 Risk Assessment Policy and 

Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-30, 

800-37, 800-66, 800-100 

RA-2 Security Categorization FIPS 199; NIST Special Publications 800-26, 800-30, 800-37, 

800-40, 800-59, 800-60, 800-66 

RA-3 Risk Assessment NIST Special Publications 800-12, 800-13, 800-14, 800-19, 

800-23, 800-24, 800-25, 800-28, 800-30, 800-31, 800-32, 800-34, 

800-37, 800-40, 800-42, 800-44, 800-45, 800-46, 800-48, 

800-53A, 800-54, 800-60, 800-63, 800-65, 800-66, 800-82, 

800-98 

RA-4 Risk Assessment Update NIST Special Publications 800-12, 800-13, 800-14, 800-19, 

800-23, 800-24, 800-25, 800-28, 800-30, 800-31, 800-32, 800-34, 

800-37, 800-40, 800-42, 800-44, 800-45, 800-46, 800-48, 

800-53A, 800-54, 800-60, 800-63, 800-65, 800-66, 800-82, 

800-98 

RA-5 Vulnerability Scanning NIST Special Publications 800-24, 800-31, 800-36, 800-37, 

800-40, 800-42, 800-44, 800-45, 800-46, 800-51, 800-83 

System and Services Acquisition

SA-1 System and Services Acquisition 

Policy and Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-35, 

800-36, 800-64, 800-65, 800-66, 800-100 

SA-2 Allocation of Resources NIST Special Publications 800-35, 800-64, 800-65 

SA-3 Life Cycle Support NIST Special Publications 800-12, 800-14, 800-21, 800-27, 

800-30, 800-34, 800-35, 800-64, 800-97, 800-98 

SA-4 Acquisitions NIST Special Publications 800-23, 800-31, 800-36, 800-64, 

800-94 

SA-5 Information System Documentation No references available. 

SA-6 Software Usage Restrictions No references available. 

SA-7 User Installed Software NIST Special Publication 800-83 

SA-8 Security Engineering Principles NIST Special Publications 800-27, 800-33 

SA-9 External Information System Services NIST Special Publications 800-35, 800-66 

SA-10 Developer Configuration 

Management 

No references available. 

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SA-11 Developer Security Testing NIST Special Publications 800-76, 800-85A, 800-85B 

System and Communications Protection

SC-1 System and Communications 

Protection Policy and Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-28, 

800-100 

SC-2 Application Partitioning NIST Special Publication 800-19 

SC-3 Security Function Isolation NIST Special Publication 800-81 

SC-4 Information Remnance No references available. 

SC-5 Denial of Service Protection NIST Special Publications 800-44, 800-54, 800-68, 800-81, 

800-94, 800-95 

SC-6 Resource Priority No references available. 

SC-7 Boundary Protection NIST Special Publications 800-28, 800-36, 800-41, 800-44, 

800-46, 800-54, 800-58, 800-70, 800-77, 800-82, 800-83 

SC-8 Transmission Integrity FIPS 198; NIST Special Publications 800-44, 800-45, 800-49, 

800-52, 800-57, 800-54, 800-58, 800-66, 800-77, 800-81, 800-95, 

800-97 

SC-9 Transmission Confidentiality NIST Special Publications 800-44, 800-45, 800-49, 800-52, 

800-54, 800-57, 800-58, 800-66, 800-77, 800-95, 800-97 

SC-10 Network Disconnect NIST Special Publication 800-46 

SC-11 Trusted Path No references available. 

SC-12 Cryptographic Key Establishment 

and Management 

FIPS 140-2; NIST Special Publications 800-12, 800-21, 800-52, 

800-56, 800-57, 800-58, 800-73, 800-77, 800-97 

SC-13 Use of Cryptography FIPS 140-2, 180-2, 186-2, 190, 197 198, 201-1; NIST Special 

Publications 800-12, 800-17, 800-20, 800-21, 800-22, 800-29, 

800-38A, 800-38B, 800-38C, 800-38D, 800-67, 800-78, 800-90 

SC-14 Public Access Protections NIST Special Publication 800-12 

SC-15 Collaborative Computing No references available. 

SC-16 Transmission of Security Parameters No references available. 

SC-17 Public Key Infrastructure Certificates FIPS 201; NIST Special Publications 800-15, 800-25, 800-32, 

800-36, 800-56, 800-57, 800-89 

SC-18 Mobile Code NIST Special Publication 800-28 

SC-19 Voice Over Internet Protocol NIST Special Publication 800-58 

SC-20 Secure Name/Address Resolution 

Service (Authoritative Source) 

NIST Special Publications 800-32, 800-81 

SC-21 Secure Name/Address Resolution 

Service (Recursive or Caching 

Resolver) 

NIST Special Publication 800-81 

SC-22 Architecture and Provisioning for 

Name/Address Resolution Service 

NIST Special Publication 800-81 

SC-23 Session Authenticity NIST Special Publications 800-52, 800-54, 800-77, 800-95 

System and Information Integrity

SI-1 System and Information Integrity 

Policy and Procedures 

FIPS 200; NIST Special Publications 800-12, 800-14, 800-31, 

800-66, 800-94, 800-100 

SI-2 Flaw Remediation NIST Special Publications 800-28, 800-40, 800-43, 800-51, 

800-83 

SI-3 Malicious Code Protection NIST Special Publications 800-19, 800-36, 800-42, 800-45, 

800-69, 800-83, 800-94 

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SI-4 Information System Monitoring 

Tools and Techniques 

NIST Special Publications 800-31, 800-36, 800-40, 800-42, 

800-44, 800-48, 800-83, 800-92, 800-94 

SI-5 Security Alerts and Advisories NIST Special Publications 800-40, 800-51, 800-61 

SI-6 Security Functionality Verification NIST Special Publication 800-85A, 800-85B 

SI-7 Software and Information Integrity NIST Special Publications 800-19, 800-31, 800-44, 800-57, 

800-66, 800-94 

SI-8 Spam Protection NIST Special Publication 800-45 

SI-9 Information Input Restrictions No references available. 

SI-10 Information Accuracy, Completeness, 

Validity, and Authenticity 

NIST Special Publications 800-44, 800-57 

SI-11 Error Handling No references available. 

SI-12 Information Output Handling and 

Retention 

No references available. 

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APPENDIX I

INDUSTRIAL CONTROL SYSTEMS 

INTERIM GUIDANCE ON THE APPLICATION OF SECURITY CONTROLS 

ndustrial control systems56 are information systems that differ significantly from traditional 

administrative, mission support, and scientific data processing information systems. 

Industrial control systems have many unique characteristics—including a need for real-time 

response and extremely high availability, predictability, and reliability. These types of 

specialized systems are pervasive throughout the critical infrastructure, often being required to 

meet several and often conflicting safety, operational, performance, reliability, and security 

requirements such as: (i) minimizing risk to the health and safety of human beings; (ii) preventing 

serious damage to the environment; (iii) preventing serious production stoppages or slowdowns 

that result in negative impact to the nation’s economy and ability to carry out critical functions; 

(iv) protecting the critical infrastructure from cyber attacks and common human error; and (v) 

safeguarding against the compromise of proprietary information.57

I

Until recently, industrial control systems had little resemblance to traditional information systems 

in that they were isolated systems running proprietary software and control protocols. However, 

as these systems have been increasingly integrated more closely into mainstream organizational 

information systems to promote connectivity, efficiency, and remote access capabilities, they 

have started to resemble the more traditional information systems. In many cases, industrial 

control systems are using the same commercially available hardware and software components as 

are used in the organization’s traditional information systems. While the change in industrial 

control system architecture supports new information system capabilities, it also provides 

significantly less isolation for these systems from the outside world and introduces many of the 

same vulnerabilities that exist in current networked information systems. The result is a greater 

need to secure industrial control systems. 

FIPS 200, in combination with NIST Special Publication 800-53, requires that federal agencies 

implement minimum security controls for their organizational information systems based on the 

FIPS 199 security categorization of those systems. This includes implementing the minimum 

baselines described in Special Publication 800-53 in industrial control systems that are operated 

by or on behalf of federal agencies. This appendix discusses the problems that agencies may 

encounter in applying the security controls in Special Publication 800-53 to industrial control 

systems and provides some observations and recommendations on how to meet the intent of the 

requirements until NIST develops additional guidance specific to those types of systems. The 

specific guidance for industrial control systems may include modifications of the current security 

controls and control enhancements and/or interpretations of selected security controls for the 

specialized environments in which the controls are applied. 

 

56 An industrial control system is an information system used to control industrial processes such as manufacturing, 

product handling, production, and distribution. Industrial control systems include supervisory control and data 

acquisition (SCADA) systems used to control geographically dispersed assets, as well as distributed control systems 

(DCS) and smaller control systems using programmable logic controllers to control localized processes. Industrial 

control systems are typically found in the electric, water, oil and gas, chemical, pharmaceutical, pulp and paper, food 

and beverage, and discrete manufacturing (automotive, aerospace, and durable goods) industries as well as in air and 

rail transportation control systems. 

57 See Executive Order 13231 on Critical Infrastructure Protection, October 16, 2001. 

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Because today’s industrial control systems are a combination of legacy systems, often with a 

planned life span of between twenty to thirty years, and/or are a hybrid of legacy systems 

augmented with today’s commercially available hardware and software that are interconnected to 

other organizational information systems, it is often difficult or impossible to apply some of the 

security controls contained in Special Publication 800-53. Recognizing this problem, NIST has 

initiated a high-priority project in cooperation with the public and private sector industrial control 

system community, to develop specific guidance on the application of the security controls in 

Special Publication 800-53 to industrial control systems. Since the project is still ongoing, the 

resulting guidance could not be included in the current release of Special Publication 800-53. 

However, on the basis of the project results to date, NIST makes the following observations and 

recommendations for organizations that own and operate industrial control systems: 

• Section 3.3 of Special Publication 800-53, Tailoring the Initial Baseline, allows the 

organization to modify or adjust the recommended security control baselines when certain 

conditions exist that require that flexibility. Based on the discussion above, NIST 

recommends that industrial control system owners take advantage of the ability to tailor the 

initial baselines when it is not possible or feasible to implement specific security controls 

contained in the baselines. However, all tailoring activity should, as its primary goal, focus 

on meeting the intent of the original security controls whenever possible or feasible. 

Additionally, the organization must address the residual risks present after the tailoring is 

completed. 

• In some cases, it may be infeasible, impractical, or unsafe to implement a specific security 

control within an industrial control system. For example, AC-11, Session Lock, is required for 

all moderate-impact and high-impact information systems. For industrial control systems 

with requirements for real-time response and extremely high availability, predictability, and 

reliability, session lock may not make sense (e.g., locking an operator’s session in an electric 

power distribution system or an air traffic control system). However, the purpose of the 

session lock control is to prevent unauthorized access to an information system when the user 

or operator leaves the terminal or workstation unattended for a period of time. In this case, in 

order to meet the intent of the session lock security control, an organization could utilize the 

compensating control concept described in Section 3.3. With appropriate rationale as 

described in the compensating control section, an organization can choose to compensate for 

not using session locks by incorporating other safeguards and countermeasures (e.g., 

increasing physical security, ensuring physical isolation of the terminal or workstation, 

increasing personnel security, and/or adding surveillance equipment to ensure that only 

authorized or trusted personnel are permitted in the vicinity of the terminal or workstation). 

• Until NIST completes the industrial control system project and publishes specific guidance 

for industrial control systems, organizations should adjust their ongoing activities aimed at 

determining compliance with FIPS 200 and Special Publication 800-53 to allow for the types 

of flexibility that are discussed above. However, it is also reasonable to require industrial 

control system owners to develop a multiyear plan to demonstrate how the system owner 

plans to transition the industrial control system to a state that is fully compliant with FIPS 

200 and Special Publication 800-53, particularly for systems that are planned to be in 

operation for several more years. 

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