NIST Special Publication 800-53 

 Revision 3 Recommended Security Controls 

for Federal Information Systems 

and Organizations

JOINT TASK FORCE 

TRANSFORMATION INITIATIVE 

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 

August 2009 

INCLUDES UPDATES AS OF 08-12-2009

U.S. Department of Commerce 

Gary Locke, Secretary

National Institute of Standards and Technology 

Patrick D. Gallagher, Deputy Director 
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

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 Recommended Security Controls for Federal Information Systems and Organizations 

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Authority 

This publication has been developed by NIST to further its statutory responsibilities under the 

Federal Information Security Management Act (FISMA), Public Law (P.L.) 107-347. NIST is 

responsible for developing information security standards and guidelines, including minimum 

requirements for federal information systems, but such standards and guidelines shall not apply to 

national security systems without the express approval of appropriate federal officials exercising 

policy authority over such 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 Circular A-130, Appendix IV: Analysis of Key Sections. 

Supplemental information is provided in Circular A-130, Appendix III. 

Nothing in this publication should be taken to contradict the 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. 

This publication may be used by nongovernmental organizations on a voluntary basis and is not 

subject to copyright in the United States. Attribution would, however, be appreciated by NIST. 

NIST Special Publication 800-53, Revision 3, 237 pages 

(August 2009) 

 

 

 

There may be references in this publication to other publications currently under development by NIST 

in accordance with its assigned statutory responsibilities. The information in this publication, including 

concepts and methodologies, may be used by federal agencies even before the completion of such 

companion publications. Thus, until each publication is completed, current requirements, guidelines, 

and procedures, where they exist, remain operative. For planning and transition purposes, federal 

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

Organizations are encouraged to review all draft publications during public comment periods and 

provide feedback to NIST. All NIST publications, 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 NIST, nor is it intended to imply that the entities, materials, or 

equipment are necessarily the best available for the purpose. 

Comments on this publication may be submitted to: 

National Institute of Standards and Technology 

Attn: Computer Security Division, Information Technology Laboratory 

100 Bureau Drive (Mail Stop 8930) Gaithersburg, MD 20899-8930 

Electronic mail: sec-cert@nist.gov 

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Compliance with NIST Standards and Guidelines

In accordance with the provisions of FISMA,1 the Secretary of Commerce shall, on the basis of 

standards and guidelines developed by NIST, prescribe standards and guidelines pertaining to 

federal information systems. The Secretary shall make standards compulsory and binding to the 

extent determined necessary by the Secretary to improve the efficiency of operation or security of 

federal information systems. Standards prescribed shall include information security standards 

that provide minimum information security requirements and are otherwise necessary to improve 

the security of federal information and information systems. 

• Federal Information Processing Standards (FIPS) are approved by the Secretary of 

Commerce and issued by NIST in accordance with FISMA. FIPS are compulsory and 

binding for federal agencies.2

 FISMA requires that federal agencies comply with these 

standards, and therefore, agencies may not waive their use. 

• Special Publications (SPs) are developed and issued by NIST as recommendations and 

guidance documents. For other than national security programs and systems, federal 

agencies must follow those NIST Special Publications mandated in a Federal Information 

Processing Standard. FIPS 200 mandates the use of Special Publication 800-53, as 

amended. In addition, OMB policies (including OMB Reporting Instructions for FISMA 

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

and systems, federal agencies must follow certain specific NIST Special Publications.3

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

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

publications are mandatory only when specified by OMB. 

• Compliance schedules for NIST security standards and guidelines are established by 

OMB.

 

1

 The E-Government Act (P.L. 107-347) recognizes 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. 

2

 The term agency is used in this publication in lieu of the more general term organization only in those circumstances 

where its usage is directly related to other source documents such as federal legislation or policy. 

3

 While federal agencies are required to follow certain specific NIST Special Publications in accordance with OMB 

policy, there is flexibility in how agencies apply the guidance. Federal agencies should apply the security concepts and 

principles articulated in the NIST Special Publications in accordance with and in the context of the agency’s missions, 

business functions, and environment of operation. Consequently, the application of NIST guidance by federal 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 federal agency compliance with NIST 

Special Publications, Inspectors General, evaluators, auditors, and assessors, should consider the intent of the security 

concepts and principles articulated within the specific guidance document and how the agency applied the guidance in 

the context of its mission/business responsibilities, operational environment, and unique organizational conditions. 

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Acknowledgements

This publication was developed by the Joint Task Force Transformation Initiative Interagency 

Working Group with representatives from the Civil, Defense, and Intelligence Communities in an 

ongoing effort to produce a unified information security framework for the federal government—

including a consistent process for selecting and specifying safeguards and countermeasures (i.e., 

security controls) for federal information systems. The Project Leader, Ron Ross, from the 

National Institute of Standards and Technology, wishes to acknowledge and thank the senior 

leadership team from the U.S. Departments of Commerce and Defense, the Office of the Director 

of National Intelligence, the Committee on National Security Systems, and the members of the 

interagency working group whose dedicated efforts contributed significantly to the publication. 

The senior leadership team, working group members, and their organizational affiliations include: 

U.S. Department of Defense Office of the Director of National Intelligence 

Cheryl J. Roby Honorable Priscilla Guthrie 

Assistant Secretary of Defense Associate Director of National Intelligence 

DOD Chief Information Officer (Acting) and Chief Information Officer 

Robert Lentz Sherrill Nicely 

Deputy Assistant Secretary of Defense Deputy Intelligence Community Chief 

for Cyber, Identity, and Information Assurance Information Officer 

Gus Guissanie Mark J. Morrison 

Principal Director, ODASD (CIIA) Deputy Associate Director of National 

Intelligence for IC Information Assurance 

Don Jones Roger Caslow 

Senior Policy Advisor, ODASD (CIIA) Lead, C&A Transformation

National Institute of Standards and Technology Committee on National Security Systems 

Cita M. Furlani Cheryl J. Roby 

Director, Information Technology Laboratory Chairman, Committee on National Security 

Systems (Acting)

William C. Barker Eustace D. King 

Chief, Computer Security Division CNSS Subcommittee Co-Chairman (DOD) 

Ron Ross William Hunteman 

FISMA Implementation Project Leader CNSS Subcommittee Co-Chairman (DOE)

Joint Task Force Transformation Initiative Interagency Working Group 

Ron Ross Gary Stoneburner Esten Porter George Rogers 

NIST, JTF Leader Johns Hopkins APL MITRE Corporation BAE Systems, Inc.

Marianne Swanson Richard Graubart Bennett Hodge Arnold Johnson 

NIST MITRE Corporation Booz Allen Hamilton NIST

Stuart Katzke Glenda Turner Kelley Dempsey Christian Enloe 

NIST MITRE Corporation NIST NIST

In addition to the above acknowledgments, a special note of thanks goes to Peggy Himes and 

Elizabeth Lennon for their superb technical editing and administrative support; to Donna Dodson, 

Pat Toth, Matt Scholl, Sharon Keller, Randy Easter, Tim Polk, Murugiah Souppaya, Kevin Stine, 

Matt Barrett, Steve Quinn, Bill MacGregor, Karen Scarfone, Bill Burr, Doug Montgomery, Scott 

Rose, Mark Wilson, Annabelle Lee, Ed Roback, and Erika McCallister for their review of the 

security controls and insightful recommendations. The authors also wish to recognize Marshall 

Abrams, Jennifer Fabius Greene, Harriett Goldman, John Woodward, Karen Quigg, Joe Weiss, 

Peter Gouldmann, Roger Johnson, Sarbari Gupta, Dennis Bailey, Richard Wilsher, Nadya Bartol, 

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Mike Rubin, Tom Madden, Denise Farrar, Paul Bicknell, Robert Niemeyer, and Brett Burley for 

their exceptional contributions in helping to improve the content of the publication. And finally, 

the authors gratefully acknowledge and appreciate the significant contributions from individuals 

and organizations in the public and private sectors, both nationally and internationally, whose 

thoughtful and constructive comments improved the overall quality and usefulness of this 

publication.

A special acknowledgment is given to the participants in the Industrial Control System (ICS) 

Security Project who have put forth significant effort in helping to augment the security controls 

in NIST Special Publication 800-53 for industrial control systems. These participants include: 

Keith Stouffer, Stu Katzke, and Marshall Abrams from the ICS Security Project Development 

Team; federal agencies participating in the ICS workshops; and individuals and organizations in 

the public and private sector ICS community providing insightful comments on the proposed 

augmentations. 

Postscript 

Making any significant changes to the publication without public review is not in keeping 

with the obligation we have to the public and private sector organizations employing the 

NIST standards and guidelines. Some thoughtful and insightful recommendations received 

during the final public comment period suggesting changes to the publication have been 

retained and deferred until the next major revision to Special Publication 800-53. We 

continue to balance the need for stability in the NIST publications to ensure cost-effective 

implementation with the need to keep the publications current.

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IMPLEMENTING INFORMATION SECURITY STANDARDS AND GUIDELINES

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

mandatory federal standard developed by NIST in response to FISMA. To comply with the federal 

standard, organizations must first determine the security category of their information system in 

accordance with FIPS 199, Standards for Security Categorization of Federal Information and 

Information Systems, derive the information system impact level from the security category in 

accordance with FIPS 200, and then apply the appropriately tailored set of baseline security 

controls in NIST Special Publication 800-53, Security Controls for Federal Information Systems 

and Organizations. Organizations have flexibility in applying the baseline security controls in 

accordance with the guidance provided in Special Publication 800-53. This allows organizations to 

tailor the relevant security control baseline so that it more closely aligns with their mission and 

business requirements and environments of operation. 

FIPS 200 and NIST Special Publication 800-53, in combination, help ensure that appropriate 

security requirements and security controls are applied to all federal information and information 

systems. An organizational assessment of risk validates the initial security control selection and 

determines if any additional controls are needed to protect organizational operations (including 

mission, functions, image, or reputation), organizational assets, individuals, other organizations, or 

the Nation. The resulting set of security controls establishes a level of security due diligence for the 

organization. 

FIPS 200 AND SP 800-53 

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COLLABORATION AMONG PUBLIC AND PRIVATE SECTOR ENTITIES

In developing standards and guidelines required by FISMA, NIST consults with other federal agencies 

and offices as well as the private sector to improve information security, avoid unnecessary and costly 

duplication of effort, and ensure that NIST publications are complementary with the standards and 

guidelines employed for the protection of national security systems. In addition to its comprehensive 

public review and vetting process, NIST is collaborating with the Office of the Director of National 

Intelligence (ODNI), the Department of Defense (DOD), and the Committee on National Security 

Systems (CNSS) to establish a common foundation for information security across the federal 

government. A common foundation for information security will provide the Intelligence, Defense, 

and Civil sectors of the federal government and their support contractors, more uniform and consistent 

ways to manage the risk to organizational operations and assets, individuals, other organizations, and 

the Nation that results from the operation and use of information systems. A common foundation for 

information security will also provide a strong basis for reciprocal acceptance of security authorization 

decisions and facilitate information sharing. NIST is also working with public and private sector 

entities to establish specific mappings and relationships between the security standards and guidelines 

developed by NIST and the International Organization for Standardization and International 

Electrotechnical Commission (ISO/IEC) 27001, Information Security Management System (ISMS). 

DEVELOPING COMMON INFORMATION SECURITY FOUNDATIONS

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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............................................................................................... 9

2.3 COMMON CONTROLS............................................................................................................. 10

2.4 SECURITY CONTROLS IN EXTERNAL ENVIRONMENTS................................................................ 12

2.5 SECURITY CONTROL ASSURANCE........................................................................................... 14

2.6 REVISIONS AND EXTENSIONS................................................................................................. 15

CHAPTER THREE THE PROCESS........................................................................................16

3.1 MANAGING RISK.................................................................................................................... 16

3.2 CATEGORIZING THE INFORMATION SYSTEM............................................................................. 18

3.3 SELECTING SECURITY CONTROLS .......................................................................................... 19

3.4 MONITORING SECURITY CONTROLS........................................................................................ 27

APPENDIX A REFERENCES.............................................................................................. A-1

APPENDIX B GLOSSARY ................................................................................................. B-1

APPENDIX C ACRONYMS................................................................................................. C-1

APPENDIX D SECURITY CONTROL BASELINES – SUMMARY................................................ D-1

APPENDIX E MINIMUM ASSURANCE REQUIREMENTS......................................................... E-1

APPENDIX F SECURITY CONTROL CATALOG ......................................................................F-1

APPENDIX G INFORMATION SECURITY PROGRAMS............................................................G-1

APPENDIX H INTERNATIONAL INFORMATION SECURITY STANDARDS................................... H-1

APPENDIX I INDUSTRIAL CONTROL SYSTEMS.....................................................................I-1

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Prologue

“...Through the process of risk management, leaders must consider risk to US interests from 

adversaries using cyberspace to their advantage and from our own efforts to employ the global 

nature of cyberspace to achieve objectives in military, intelligence, and business operations... “ 

 “...For operational plans development, the combination of threats, vulnerabilities, and impacts 

must be evaluated in order to identify important trends and decide where effort should be applied 

to eliminate or reduce threat capabilities; eliminate or reduce vulnerabilities; and assess, 

coordinate, and deconflict all cyberspace operations...” 

“...Leaders at all levels are accountable for ensuring readiness and security to the same degree 

as in any other domain..." 

-- THE NATIONAL STRATEGY FOR CYBERSPACE OPERATIONS 

 OFFICE OF THE CHAIRMAN, JOINT CHIEFS OF STAFF, U.S. DEPARTMENT OF DEFENSE

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Errata

The following changes have been incorporated into Special Publication 800-53, Revision 3, as of 

date indicated in table. 

DATE TYPE CHANGE PAGE NO. 

08-12-2009 Editorial Concatenate AC-19 d. and AC-19 e. Page F-17 

08-12-2009 Editorial Change AC-19 f. to AC-19 e. Page F-17 

08-12-2009 Editorial Change AC-19 g. to AC-19 f. Page F-17 

08-12-2009 Editorial Change AC-19 h. to AC-19 g. Page F-17 
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

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CHAPTER ONE

INTRODUCTION

THE NEED FOR SECURITY CONTROLS TO PROTECT INFORMATION AND INFORMATION SYSTEMS 

he selection and implementation of appropriate security controls for an information 

system4

 or a system-of-systems5 are important tasks that can have major implications on 

the operations6

 and assets of an organization7 as well as the welfare of individuals and the 

Nation. Security controls are the management, operational, and technical safeguards or 

countermeasures employed within an organizational 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 mitigate the risk incurred by the use of 

information and information systems in the execution of organizational missions and business 

functions? 

• 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 effective8 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, mitigates as deemed necessary, 

and monitors on an ongoing basis, risks9

 arising from its information and information systems. 

The security controls defined in this publication 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. The program management controls 

(Appendix G), complement the security controls for an information system (Appendix F) by 

focusing on the organization-wide information security requirements that are independent of any 

particular information system and are essential for managing information security programs. 

 

4

 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. 

5

 In certain situations within an organization, an information system can be viewed from both a logical and physical 

perspective as a complex system-of-systems (e.g., Federal Aviation Administration National Air Space System) when 

there are multiple information systems involved with a high degree of connectivity and interaction among the systems. 

6

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

7

 The term organization describes an entity of any size, complexity, or positioning within an organizational structure 

(e.g., a federal agency or, as appropriate, any of its operational elements). 

8

 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. 

9

 Risk is a measure of the extent to which an entity is threatened by a potential circumstance or event, and typically a 

function of: (i) the adverse impacts that would arise if the circumstance or event occurs; and (ii) the likelihood of 

occurrence. Information system-related security risks are those risks that arise from the loss of confidentiality, 

integrity, or availability of information or information systems and consider the adverse impacts to organizational 

operations and assets, individuals, other organizations, and the Nation. 

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It is of paramount importance that responsible officials understand the risks and other factors that 

could adversely affect organizational operations and assets, individuals, other organizations, and 

the Nation.10 These officials must also understand the current status of their security programs 

and the security controls planned or in place to protect their information and information systems 

in order to make informed judgments and investments that 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 missions and business functions with what the OMB 

Circular A-130 defines as adequate security, or security commensurate with risk 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 to 

meet the requirements of FIPS 200, Minimum Security Requirements for Federal Information and 

Information Systems. The guidelines apply to all components11 of an information system that 

process, store, or transmit federal information. The guidelines have been developed to help 

achieve more secure information systems and effective risk management within the federal 

government by: 

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

specifying security controls for information systems and organizations; 

• Providing a recommendation for minimum security controls for information systems 

categorized in accordance with FIPS 199, Standards for Security Categorization of Federal 

Information and Information Systems;

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

organizations to meet current organizational protection needs and the demands of future 

protection needs based on changing requirements and technologies; 

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

determining security control effectiveness; and 

• Improving communication among organizations by providing a common lexicon that 

supports discussion of risk management concepts. 

The guidelines in this special publication are applicable to all federal information systems12 other 

than those systems designated as national security systems as defined in 44 U.S.C., Section 3542. 

The guidelines have been broadly developed from a technical perspective to complement similar 

guidelines for national security systems and may be used for such systems with the approval of 

appropriate federal officials exercising policy authority over such systems.13 State, local, and 

tribal governments, as well as private sector organizations are encouraged to consider using these 

guidelines, as appropriate. 

 

10 Includes risk to U.S. critical infrastructure/key resources as described in Homeland Security Presidential Directive 7. 

11 Information system components include, for example, mainframes, workstations, servers (e.g., database, electronic 

mail, authentication, web, proxy, file, domain name), network components (e.g., firewalls, routers, gateways, voice and 

data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. 

12 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. 

13 CNSS Instruction 1253 provides implementing guidance for NIST Special Publication 800-53 for national security 

systems. 

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1.2 TARGET AUDIENCE

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

security professionals including: 

• Individuals with information system or security management and oversight responsibilities 

(e.g., authorizing officials, chief information officers, senior information security officers,14

information system managers, information security managers); 

• Individuals with information system development responsibilities (e.g., program and project 

managers, information technology product developers, information system designers and 

developers, systems integrators); 

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

mission/business owners, information system owners, common control providers, information 

owners/stewards, information system security engineers, information system administrators, 

information system security officers); and 

• Individuals with information system and information security assessment and monitoring 

responsibilities (e.g., auditors, Inspectors General, system evaluators, assessors/assessment 

teams, independent verification and validation assessors, information system owners). 

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 a technically sound and broadly applicable set of security controls for information 

systems and organizations, 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. The objective of NIST Special Publication 800-53 is to provide a set of 

security controls that can satisfy the breadth and depth of security requirements15 levied on 

information systems and organizations and that is consistent with and complementary to other 

established information 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.16

 

14 At the agency level, this position is known as the Senior Agency Information Security Officer. Organizations may 

also refer to this position as the Senior Information Security Officer or the Chief Information Security Officer. 

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

Orders, directives, policies, instructions, regulations, standards, guidelines, or organizational (mission) needs to ensure 

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

16 NIST Special Publication 800-53A provides guidance on assessing the effectiveness of security controls defined in 

this publication. 

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1.4 ORGANIZATIONAL RESPONSIBILITIES

Organizations17 use FIPS 199 to categorize their information and information systems. Security 

categorization is accomplished as an organization-wide activity18 with the involvement of seniorlevel organizational officials including, for example, authorizing officials, chief information 

officers, senior information security officers, information owners/stewards, information system 

owners, and risk executive (function). As required by FIPS 200, organizations use the security 

categorization results to designate information systems as low-impact, moderate-impact, or highimpact systems. 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, adjusted in accordance with the tailoring guidance in Section 3.3) is intended to be used as a 

starting point for and as input to the organization’s security control supplementation process.19

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

with the potential adverse impact on organizational operations and assets, individuals, other 

organizations, and the Nation,20 the incorporation of refined threat and vulnerability information 

during the risk assessment facilitates the selection of additional security controls supplementing

the tailored baseline to address specific organizational needs and tolerance for risk. The final, 

agreed-upon21 set of security controls is documented with appropriate rationale in the security 

plan for the information system. 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, facilitate a more consistent level of security across federal information systems and 

organizations. It also offers the needed flexibility to appropriately modify the controls based on 

specific organizational policies and requirements, particular conditions and circumstances, known 

threat and vulnerability information, and tolerance for risk. 

Building more secure information systems is a multifaceted undertaking that requires: 

• Well-defined security requirements and security specifications; 

• Well-designed and well-built information technology products; 

• Sound systems/security engineering principles and practices to effectively integrate 

information technology products into information systems; 

• State-of-the-art techniques and methods for information technology product/information 

system assessment; and 

• Comprehensive system security planning and life cycle management.22

 

17 An organization typically exercises managerial, operational, and/or financial control over its information systems and 

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

controls deemed necessary by the organization to protect organizational operations and assets, individuals, other 

organizations, and the Nation. 

18 See FIPS Publication 200, footnote 7. 

19 Risk assessments can be accomplished in a variety of ways depending on the specific needs of an organization. NIST 

Special Publication 800-30 provides guidance on the assessment of risk as part of an overall risk management process. 

20 Considerations for potential national-level impacts and impacts to other organizations in categorizing organizational 

information systems derive from the USA PATRIOT Act and Homeland Security Presidential Directives. 

21 The authorizing official or designated representative, by accepting the security plan, agrees to the set of security 

controls proposed to meet the security requirements for the information system.

22 NIST Special Publication 800-64 provides guidance on security considerations in life cycle management. 

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CHAPTER 1 PAGE 5

 

From a systems engineering viewpoint, security is just one of many required operational 

capabilities for an information system supporting organizational mission/business processes—

capabilities that must be funded by the organization throughout the life cycle of the system in 

order to achieve mission/business success. It is important that the organization realistically

assesses the risk to organizational operations and assets, individuals, other organizations, and the 

Nation that arises by placing the information system into operation or continuing its operation. 

In addition, information security requirements for organizational information systems must be 

satisfied with full consideration of the risk management strategy23 of the organization, in light of 

the potential cost, schedule, and performance issues associated with the acquisition, deployment, 

and operation of the information 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) security control baselines; (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) applying the organization’s overall approach to managing 

risk; (ii) categorizing the information system and determining the system impact level in 

accordance with FIPS 199 and FIPS 200, respectively; (iii) selecting the initial set of baseline 

security controls, tailoring the baseline controls, and supplementing the tailored baseline, as 

necessary, in accordance with an organizational assessment of risk; and (iv) assessing the 

security controls as part of a comprehensive continuous monitoring process. 

• Supporting appendices provide essential security control selection and specification-related 

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) 

information security program management controls; (viii) international information security 

standards; and (ix) the application of security controls to industrial control systems. 

23 NIST Special Publication 800-39 provides guidance on organization-wide risk management. 
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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 described in this publication have a well-defined organization and structure. 

For ease of use in the security control selection and specification process, controls are organized 

into seventeen families.

24 Each security control family contains security controls related to the 

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

each security control family. In addition, there are three general classes of security controls: 

management, operational, and technical.25 Table 1-1 summarizes the classes and families in the 

security control catalog and the associated security control family identifiers. 

TABLE 1-1: SECURITY CONTROL CLASSES, FAMILIES, AND IDENTIFIERS 

IDENTIFIER FAMILY CLASS

AC Access Control Technical 

AT Awareness and Training Operational 

AU Audit and Accountability Technical 

CA Security Assessment and Authorization 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 

PM Program Management Management 

 

24 Of the eighteen security control families in NIST Special Publication 800-53, seventeen families are described in the 

security control catalog in Appendix F, and are closely aligned with the seventeen minimum security requirements for 

federal information and information systems in FIPS 200. One additional family (Program Management [PM] family) 

in Appendix G provides controls for information security programs. This family, while not referenced in FIPS 200, 

provides security controls at the organizational rather than the information-system level.

25 A control family is associated with a given class based on the dominant characteristics of the controls in that family. 

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

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

the Contingency Planning family and AC-2 is the second control in the Access Control family. 

The security control structure consists of the following components: (i) a control section; (ii) a 

supplemental guidance section; (iii) a control enhancements section; (iv) a references section; 

and (v) a priority and baseline allocation section. The following example from the Auditing and 

Accountability family illustrates the structure of a typical security control. 

AU-5 RESPONSE TO AUDIT PROCESSING FAILURES 

Control: The information system: 

a. Alerts designated organizational officials in the event of an audit processing failure; and 

b. 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 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]. 

(3) The information system enforces configurable traffic volume thresholds representing auditing 

capacity for network traffic and [Selection: rejects; delays] network traffic above those thresholds. 

(4) The information system invokes a system shutdown in the event of an audit failure, unless an 

alternative audit capability exists. 

References: None.

Priority and Baseline Allocation:

P1 LOW AU-5 MOD AU-5 HIGH AU-5 (1) (2)

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

protect a particular aspect of an information system.26 The control statement describes specific 

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

system. For some security 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 (see Section 3.3). 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 actions to be taken by the 

information system in the event of an audit processing failure (see AU-5 example above), the 

specific events to be audited within the system, the frequency of conducting system backups, 

restrictions on password use, or the distribution list for organizational policies and procedures.27 

 

26 Security controls are generally designed to be technology and implementation independent and therefore, do not 

contain specific requirements in these areas. Organizations provide such requirements as deemed necessary in the 

security plan for the information system. 

27 The organization determines whether a specific assignment or selection operation is completed at the organizational 

level, information system level, or a combination of the two. 

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Once specified, the organization-defined values become part of the control, and the control 

implementation is assessed against the completed control statement. Selection statements narrow 

the potential input values by providing a specific list of items from which the organization must 

choose. 

The supplemental guidance28 section provides additional information related to a specific security 

control, but contains no requirements. Organizations are expected to apply the supplemental 

guidance as appropriate, when defining, developing, and implementing security controls. The 

supplemental guidance provides important considerations for implementing security controls in 

the context of an organization’s operational environment, mission requirements, or assessment of 

risk. Security control enhancements may also contain supplemental guidance. Enhancement 

supplemental guidance is used in situations where the guidance is not generally applicable to the 

entire control but instead focused on the particular control enhancement. 

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

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

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 previous example for AU-5, if the first three control 

enhancements are selected, the control designation becomes AU-5 (1) (2) (3).29 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 the enhancements. 

The references section30 includes a list of applicable federal laws, Executive Orders, directives, 

policies, standards, and guidelines (e.g., OMB Circulars, FIPS, and NIST Special Publications), 

that are relevant to a particular security control or control enhancement.31 The references provide 

appropriate federal legislative and policy mandates as well as supporting information for the 

implementation of specific management, operational, or technical controls/enhancements. The 

references section also contains pertinent websites for organizations to use in obtaining additional 

information with regard to security control implementation and assessment. 

The priority and baseline allocation section provides: (i) the recommended priority codes used for 

sequencing decisions during security control implementation (see Appendix D); and (ii) the initial 

allocation of security controls and control enhancements for low-impact, moderate-impact, and 

high-impact information systems (see Appendix F). 

 

28 The supplemental guidance section may contain information on related controls (i.e., security controls that either 

directly impact or support the control). For example, AC-6 (Least Privilege) is a related control to AC-3 (Access 

Control Enforcement) because AC-6 is a source for some of the authorizations to be enforced by AC-3. 

29 AU-5 Enhancement (3) is an example of a requirement in the security control catalog (Appendix F) that is not in any 

of the control baselines (Appendix D). Such requirements can be used by organizations in supplementing the tailored 

baselines as described in Section 3.3 in order to achieve what the organization deems to be adequate risk mitigation. 

30 Publications listed in the References section of security controls refer to the most recent versions of the publications. 

Organizations confirm from the respective official sources of the publications (e.g., OMB, NIST, NARA), that the most 

recent versions are being used for organizational application. 

31 The references listed in the security control references section are provided to assist organizations in applying the 

controls and are not intended to be inclusive or complete. 

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2.2 SECURITY CONTROL BASELINES

Organizations are required to adequately mitigate the risk arising from use of information and 

information systems in the execution of missions and business functions. A significant challenge 

for organizations is to determine the appropriate set of security controls, which if implemented 

and determined to be effective, would most cost-effectively mitigate risk while complying with 

the security requirements defined by applicable federal laws, Executive Orders, directives, 

policies, standards, or regulations (e.g., FISMA, OMB Circular A-130). Selecting the appropriate 

set of security controls to adequately mitigate risk by meeting the specific, and sometimes unique, 

security requirements of an organization is an important task—a task that clearly demonstrates 

the organization’s commitment to security and the due diligence exercised in protecting the 

confidentiality, integrity, and availability of organizational information and information systems. 

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

system, the concept of baseline controls is introduced. Baseline controls are the starting point for 

the security control selection process described in this document and are chosen based on the 

security category and associated impact level of the information system determined in accordance 

with FIPS 199 and FIPS 200, respectively. The tailored security control baseline (i.e., the 

appropriate control baseline from Appendix D adjusted in accordance with the guidance in 

Section 3.3) is the minimum set of security controls for the information system. Because the 

baseline is intended to be a broadly applicable starting point, supplements to the tailored baseline 

(see Section 3.3) will likely be necessary in order to achieve adequate risk mitigation. The 

tailored security control baseline is supplemented based on an organizational assessment of risk 

and the resulting controls documented in the security plan for the information system. 

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 informationsystem levels defined in FIPS 200 and used in Section 3.2 of this document to provide an initial 

set of security controls for each impact level.32 Appendix F provides a detailed catalog of 

security controls for information systems, arranged by control families. Chapter Three provides 

additional information on how to use FIPS 199 security categories and FIPS 200 impact levels in

applying the tailoring guidance to the baseline security controls and supplementing the tailored 

baseline in order to achieve adequate risk mitigation.

 

There are additional security controls and control enhancements that appear in the security control 

catalog (Appendix F) 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 to strengthen the level of 

protection provided in lower-level baselines, if deemed appropriate. At the end of the security control 

selection process, the agreed-upon set of controls in the security plan must be sufficient to adequately 

mitigate risks to organizational operations and assets, individuals, other organizations, and the Nation. 

Implementation Tip 

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

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

controls in accordance with the terms and conditions established by authorizing officials. 

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2.3 COMMON CONTROLS

Common controls are security controls that are inheritable by one or more organizational 

information systems.33 The organization assigns responsibility for common controls to 

appropriate organizational officials and coordinates the development, implementation, 

assessment, authorization, and monitoring of the controls.34 The identification of common 

controls is most effectively accomplished as an organization-wide exercise with the active 

involvement of the chief information officer, senior information security officer, risk executive 

(function), authorizing officials, information system owners, information owners/stewards, and 

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

categories and associated impact levels of the information systems within the organization in 

accordance with FIPS 199 and FIPS 200, as well as the security controls necessary to adequately 

mitigate the risks arising from the use of those systems (see baseline security controls in Section 

2.2).35 For example, common controls can be identified for all low-impact information systems 

by considering the associated baseline security controls in Appendix D. Similar exercises can be 

conducted for moderate-impact and high-impact information systems as well. When common 

controls protect multiple organizational information systems of differing impact levels, the 

controls are implemented with regard to the highest impact level among the systems. 

Many of the security controls needed to protect organizational information systems (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) are excellent candidates for common control status. Information 

security program management controls (see Appendix G, PM family) may also be deemed 

common controls by the organization since the controls are employed at the organization level 

and typically serve multiple information systems. By centrally managing and documenting the 

development, implementation, assessment, authorization, and monitoring of common controls, 

security costs can be amortized across multiple information systems. 

Common controls are generally documented in the organization-wide information security 

program plan unless implemented as part of a specific information system, in which case the 

controls are documented in the security plan for that system.36 Organizations have the flexibility 

to describe common controls in a single document or in multiple documents. In the case of 

multiple documents, the documents describing the common controls are included as attachments 

to the information security program plan. If the information security program plan contains 

multiple documents, the organization specifies in each document the organizational official or 

officials responsible for the development, implementation, assessment, authorization, and 

monitoring of the respective common controls. For example, the organization may require that 

 

33 A security control is inheritable by an information system or application when that system or application receives 

protection from the security control (or portions of the security control) and the control is developed, implemented, 

assessed, authorized, and monitored by entities other than those responsible for the system or application—entities 

either internal or external to the organization where the system or application resides. 

34 The Chief Information Officer, Senior Information Security Officer, or other designated organizational officials at 

the senior leadership level assign responsibility for the development, implementation, assessment, authorization, and 

monitoring of common controls to appropriate entities (either internal or external to the organization). Organizational 

entities assigned responsibility for common controls use the Risk Management Framework described in Chapter Three 

to help ensure appropriate security capabilities are provided. 

35 Each common control identified by the organization is reviewed for applicability to each specific organizational 

information system. 

36 Information security program plans are described in Appendix G. 

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the Facilities Management Office develop, implement, assess, authorize, and continuously 

monitor physical and environmental protection controls from the PE family when such controls 

are not associated with a particular information system but instead, support multiple systems. 

When common controls are included in a separate security plan for an information system (e.g., 

security controls employed as part of an intrusion detection system providing boundary protection 

inherited by one or more organizational information systems), the information security program 

plan indicates which separate security plan contains a description of the common controls. 

Security controls not designated as common controls are considered system-specific controls or 

hybrid controls. System-specific controls are the primary responsibility of information system 

owners and their respective authorizing officials. Organizations assign a hybrid status to a 

security control when one part of the control is deemed to be common and another part of the 

control is deemed to be system-specific. For example, an organization may implement the 

Incident Response Policy and Procedures security control (IR-1) 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 controls may also serve as templates for further control 

refinement. An organization may choose, for example, to implement the Contingency Planning 

security control (CP-2) as a template for a generalized contingency plan for all organizational 

information systems with individual information system owners tailoring the plan, where 

appropriate, for system-specific uses. Partitioning security controls into common, hybrid, and 

system-specific controls can result in significant savings to the organization in implementation 

and assessment costs as well as a more consistent application of the security controls across the 

organization. While the concept of security control partitioning into common, hybrid, and 

system-specific controls is straightforward and intuitive, the application within an organization 

takes significant planning and coordination. 

Security plans for individual information systems identify which security controls required for 

those systems have been designated by the organization as common controls and which controls 

have been designated as system-specific or hybrid controls. Information system owners are 

responsible for any system-specific implementation details associated with an organization’s 

common controls. These implementation details are identified and described in the security plans 

for the individual information systems. The senior information security officer for the 

organization coordinates with common control providers (e.g., facilities/site manager, human 

resources manager, intrusion detection system owner) to ensure that the required controls are 

developed, implemented, and assessed for effectiveness. The security plans for individual 

information systems and the organization-wide information security program plan together, 

provide complete coverage for all security controls employed within the organization. 

Common controls, whether employed in an information system or in the environment of 

operation, are authorized by a senior organizational official37 with at least the same level of 

authority and responsibility for managing risk as the authorization officials for information 

systems inheriting the controls.38 Authorization results relating to common controls are shared 

with the appropriate information system owners. A plan of action and milestones is developed 

and maintained for the common controls that are deemed through assessment to be less than 

effective. Common controls are subject to the same continuous monitoring requirements as 

system-specific security controls employed in individual organizational information systems. 

 

37 The authorizing official role, whether applied to information systems or common controls, has inherent U.S. 

Government authority and is assigned to government personnel only. 

38 When common controls are inherited from external environments, organizations should consult Section 2.4. 

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Implementation Tip 

The selection of common controls is 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 information security officer, information system owners, mission/business owners, information 

owners/stewards, risk executive [function]). These individuals have the collective corporate knowledge 

to understand the organization’s priorities, the importance of the organization’s operations 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 controls for 

each security control baseline and assign organizational responsibilities for developing, implementing, 

assessing, authorizing, and monitoring those controls. 

2.4 SECURITY CONTROLS IN EXTERNAL ENVIRONMENTS

Organizations are becoming increasingly reliant on information system services provided by 

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

system services are services implemented outside of the authorization boundaries established by 

the organization for its information systems. These external services may be used by, but are not 

part of, organizational information systems. In some situations, external information system 

services may completely replace the functionality of internal information systems. Organizations 

are responsible and accountable for the risk incurred by use of services provided by external 

providers and address this risk by implementing compensating controls when the risk is greater 

than the authorizing official or the organization is willing to accept. 

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. 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: 

• Defining the types of external services provided to the organization; 

• Describing how the external services are protected in accordance with the security 

requirements of the organization; and 

• Obtaining the necessary assurances that the risk to organizational operations and assets, 

individuals, other organizations, and the Nation arising from the use of the external services 

is acceptable. 

FISMA and OMB policy require external providers handling federal information or operating 

information systems on behalf of the federal government to meet the same security requirements 

as federal agencies. Security requirements for external providers including the security controls 

for information systems processing, storing, or transmitting federal information are expressed in 

appropriate contracts or other formal agreements using the Risk Management Framework and 

associated NIST security standards and guidelines described in Chapter Three. Organizations can 

require external providers to implement all steps in the Risk Management Framework described 

in Chapter Three with the exception of the security authorization step, which remains an inherent 

federal responsibility that is directly linked to the management of risk related to the use of 

external information system services.39

 

39 See Implementation Tip in Section 3.3 for applying the Risk management Framework to external service providers. 

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The assurance or confidence that the risk from using external services is at an acceptable level 

depends on the trust40 that the organization places in the external service provider. In some cases, 

the level of trust is based on the amount of direct control the organization is able to exert on the 

external service provider with regard to employment of 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 servicelevel 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 provider) to 

very limited (e.g., using a contract or service-level agreement to obtain commodity services41

such as commercial telecommunications services). In other cases, the level of trust is based on 

factors that convince the organization that the requisite security controls have been employed and 

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

external information system service provided to an organization through a well-established line of 

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

range of the authorizing official. 

The provision of services by external providers 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 develops such agreements and requires 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 providers (e.g., the service is imposed on the organization or the 

service is commodity service), the organization establishes explicit assumptions about the service 

capabilities with regard to security.42 Contracts between the organization and external 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. 

Ultimately, the responsibility for adequately mitigating unacceptable risks arising from the use of 

external information system services remains with the authorizing official. Organizations require 

that an appropriate chain of trust be established with external service providers when dealing with 

the many issues associated with information system security. A chain of trust requires that the 

 

40 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). 

41 Commercial providers of commodity-type services typically 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, there may 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 reflect this situation. 

42 In situations where an organization is procuring information system services or technologies through a centralized 

acquisition vehicle (e.g., governmentwide contract by the General Services Administration or other preferred and/or 

mandatory acquisition organization), it may be more efficient and cost-effective for the originator of the contract to 

establish and maintain a stated level of trust with the external provider (including the definition of required security 

controls and level of assurance with regard to the provision of such controls). Organizations subsequently acquiring 

information system services or technologies from the centralized contract can take advantage of the negotiated trust 

level established by the procurement originator and thus avoid costly repetition of the activities necessary to establish 

such trust. For example, a procurement originator could authorize an information system providing external services to 

the federal government under specific terms and conditions of the contract. A federal agency requesting information 

system services under the terms of the contract would not be required to reauthorize the information system when 

acquiring such services (unless the request included services outside the scope of the original contract). 

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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 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 place significant trust in 

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 a greater degree of risk. 

2.5 SECURITY CONTROL ASSURANCE

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

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

ways including: 

• Actions taken by developers, implementers, and operators in the specification, design, 

development, implementation, operation, and maintenance of security controls;43 and 

• Actions taken by security control assessors 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. 

Appendix E describes the minimum assurance requirements44 for security controls in low-impact, 

moderate-impact, and high-impact information systems. For security controls in low-impact 

systems, 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 moderate-impact systems, in addition to the assurance requirements for low-impact 

systems, the emphasis is on increasing the 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 high-impact 

systems, in addition to the assurance requirements for moderate-impact systems, 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/implementers of security 

controls supplementing the minimum assurance requirements for the moderate-impact and highimpact information systems in order to protect against threats from highly skilled, highly 

motivated, and well-resourced 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. 

 

43 In this context, a developer/implementer is an individual or group of individuals responsible for the development or 

implementation of security controls. This may include in addition to organizational personnel, for example, hardware 

and software vendors providing the security controls and contractors implementing the controls. 

44 Assurance requirements imposed upon developers and implementers of security controls are addressed in this special 

publication. Assurance gained from the assessment of security controls (e.g., by testers, evaluators, auditors, Inspectors 

General, information system owners) is addressed in NIST Special Publication 800-53A. 

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2.6 REVISIONS AND EXTENSIONS

The set of security controls listed in this publication represents the current state-of-the-practice 

safeguards and countermeasures for federal information systems and organizations. The security 

controls will be carefully reviewed and revised periodically to reflect: 

• Experience gained from using the controls; 

• Changing security requirements; 

• Emerging threats, vulnerabilities, and attack methods; and 

• Availability of new technologies.45

The security controls in the security control catalog are expected to change over time, as controls 

are withdrawn, revised, and added. The 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 changes. 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 security control catalog. 

45 The security control catalog in Appendix F will be updated as needed with new controls developed from nationallevel threat databases containing information on known cyber attacks. 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. Organizations may develop new controls 

when appropriate controls are not available in Appendix F. 
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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 

organizational information system to include: (i) applying the organization’s approach to 

managing risk; (ii) categorizing the information system and determining the system impact 

level in accordance with FIPS 199 and FIPS 200, respectively; (iii) selecting security controls, 

including tailoring the initial set of baseline security controls and supplementing the tailored 

baseline as necessary based on an organizational assessment of risk; and (iv) assessing the 

security 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 for the management of risk—that is, 

the risk to organizational operations and assets, individuals, other organizations, and the Nation 

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 federal laws, Executive Orders, directives, policies, regulations, 

standards, or guidelines. The following activities related to managing risk, included as part of the 

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 Federal 

Enterprise Architecture and system development life cycle— 

• Categorize the information system and the information processed, stored, and transmitted by 

that system based on a FIPS 199 impact analysis. 

• Select an initial set of baseline security controls for the information system based on the 

system impact level and minimum security requirements defined in FIPS 200; apply tailoring 

guidance;46 supplement the tailored baseline security controls based on an organizational 

assessment of risk47 and local conditions including environment of operation, organizationspecific security requirements, specific threat information, cost-benefit analyses, or special 

circumstances; and specify assurance requirements. 

• Implement the security controls and describe how the controls are employed within the 

information system and its environment of operation.48 

• Assess the security controls using appropriate assessment 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.49

 

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

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

47 NIST Special Publication 800-30 provides guidance on the assessment of risk. 

48 For legacy systems, some or all of the security controls selected may already be implemented. 

49 NIST Special Publication 800-53A provides guidance on assessing the effectiveness of security controls. 

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

organizational operations and assets, individuals, other organizations, and the Nation 

resulting from the operation of the information system and the decision that this risk is 

acceptable.50 

• Monitor the security controls in the information system on an ongoing basis including 

assessing control effectiveness, documenting changes to the system or its environment of 

operation, conducting security impact analyses of the associated changes, and reporting the 

security state of the system to designated organizational officials. 

Figure 3-1 illustrates the specific activities in the Risk Management Framework and the 

information security standards and guidance documents associated with each activity.51 The 

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

associated with security control selection and specification.

FIGURE 3-1: RISK MANAGEMENT FRAMEWORK 

 

50 NIST Special Publication 800-37 provides guidance on the security authorization of information systems. 

51 NIST Special Publication 800-39 provides guidance on organization-wide risk management including the 

development of risk management strategies, risk-related governance issues, defining protection requirements and 

associated risks for organizational mission/business processes, integration of security and privacy requirements into 

enterprise architectures, and managing risk within the system development life cycle. 

Repeat as necessary 

RISK 

MANAGEMENT 

FRAMEWORK 

Security Life Cycle 

Step 1

CATEGORIZE 

Information Systems 

Step 6 FIPS 199 / SP 800-60 

MONITOR 

Security Controls 

SP 800-53A 

Step 3 

IMPLEMENT 

Security Controls 

SP 800 Series 

Step 2 

SELECT 

Security Controls 

FIPS 200 / SP 800-53 

Step 5 

AUTHORIZE 

Information Systems 

SP 800-37 

Step 4

ASSESS 

Security Controls 

SP 800-53A 

Organizational Inputs 

Laws, Directives, Policy Guidance 

Strategic Goals and Objectives 

Information Security Requirements 

Priorities and Resource Availability 

Architecture Description 

Mission/Business Processes 

FEA Reference Models 

Segment and Solution Architectures 

Information System Boundaries 

Starting 

Poin

Risk Management 

Strategy 

t

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3.2 CATEGORIZING THE INFORMATION SYSTEM

FIPS 199, the mandatory security categorization standard, is predicated on a simple and wellestablished concept—determining appropriate security priorities for organizational information 

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

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

potential adverse impact on organizational operations, organizational assets, individuals, other 

organizations, and the Nation should there be a loss of confidentiality, integrity, or availability. 

FIPS 199 requires organizations to categorize their information systems as low-impact, moderateimpact, or high-impact for the security objectives of confidentiality, integrity, and availability 

(RMF Step 1). 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 processed, stored, or transmitted by those information 

systems.52 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 introduced in FIPS 

200 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.53 Thus, a lowimpact 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 highimpact system is an information system in which at least one security objective is high. 

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. 

• 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 

 

52 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. 

53 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 based on the individual impact levels for confidentiality, integrity, and availability (see Section 3.3). 

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3.3 SELECTING SECURITY CONTROLS

Once the impact level of the information system is determined, the organization begins the 

security control selection process (RMF Step 2). There are three steps in the control selection 

process carried out sequentially: (i) selecting the initial set of baseline security controls; (ii) 

tailoring the baseline security controls; and (iii) supplementing the tailored baseline. The 

following sections describe each of these steps in greater detail.54

Selecting the Initial Baseline Security Controls

The first step in selecting security controls for the information system is to choose the appropriate 

set of baseline controls. The selection of the initial set of baseline security controls is based on 

the impact level of the information system as determined by the security categorization process 

described in Section 3.2. The organization selects one of three sets of baseline security controls 

from Appendix D corresponding to the low-impact, moderate-impact, or high-impact rating of the 

information system. Note that not all security controls are assigned to baselines, as indicated by 

the phrase not selected. Similarly, not all control enhancements are assigned to baselines, as 

indicated by the security control being not selected or the enhancement number enclosed in 

parenthesis, not appearing in any baseline.

Tailoring the Baseline Security Controls

After selecting the initial set of baseline security controls from Appendix D, the organization 

initiates the tailoring process to appropriately modify and more closely align the controls with the 

specific conditions within the organization (i.e., conditions specific to the information system or 

its environment of operation). The tailoring process includes: 

• Applying scoping guidance to the initial baseline security controls to obtain a preliminary set 

of applicable controls for the tailored baseline; 

• Selecting (or specifying) compensating security controls, if needed, to adjust the preliminary 

set of controls to obtain an equivalent set deemed to be more feasible to implement; and 

• Specifying organization-defined parameters in the security controls via explicit assignment 

and selection statements to complete the definition of the tailored baseline. 

To achieve a cost-effective, risk-based approach to providing adequate information security 

organization-wide, the baseline tailoring activities are coordinated with and approved by 

appropriate organizational officials (e.g., authorizing officials, authorizing official designated 

representatives, risk executive (function), chief information officers, or senior information 

security officers) prior to implementing the security controls. Organizations have the flexibility 

to perform the tailoring process at the organization level for all information systems (either as the 

required tailored baseline or as the starting point for system-specific tailoring), at the individual 

information system level, or using a combination of organization-level and system-specific 

approaches. Tailoring decisions for all affected security controls in the selected baseline, 

including the specific rationale for those decisions, are documented in the security plan for the 

information system and approved by appropriate organizational officials as part of the security 

plan approval process.55 

 

54 The general security control selection process may be augmented or further detailed by additional sector-specific 

guidance such as that provided for industrial control systems in Appendix I. 

55 The level of detail required in documenting tailoring decisions in the security control selection process is strictly at 

the discretion of the organization and is consistent with the impact level of the information system. 

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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. Application 

of scoping guidance helps to ensure that organizations implement only those controls that are 

essential to providing the appropriate level of protection for the information system based on 

specific mission/business requirements and particular environments of operation. There are 

several scoping considerations described below, that can potentially affect how the baseline 

security controls are applied and implemented by organizations: 

• COMMON 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 security control in the tailored and 

supplemented set of controls for an information system is identified in the security plan as a 

common, system-specific, or hybrid control (see Section 2.3). 

• SECURITY OBJECTIVE-RELATED CONSIDERATIONS— 

Security controls that support only one or two of the confidentiality, integrity, or availability 

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

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 category for the supported security 

objective(s) before moving to the FIPS 200 impact level (i.e., high water mark);56 (ii) is 

supported by an organizational assessment of risk; and (iii) does not adversely affect the level 

of protection for the security-relevant information within the information system.57 The 

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

[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, PE11, PE-13, PE-15, SC-6].58

 

56 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. 

57 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. 

58 Downgrading actions apply only to the moderate and high baselines. 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, IA-7, PE-12, PE-14, PL-5, 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 

caution when considering downgrading 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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• SYSTEM COMPONENT ALLOCATION-RELATED CONSIDERATIONS— 

Security controls in the baseline represent an information system-wide set of controls that 

may not be necessary for or applicable to every component in the 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. For example, auditing controls are typically allocated to components of an 

information system that provide auditing capability (e.g., servers, etc.) and are not necessarily 

applied to every user-level workstation within the organization; or when information system 

components are single-user, not networked, or part of a physically isolated network, one or 

more of these characteristics may provide appropriate rationale for not allocating selected 

controls to that component. Organizations assess the inventory of information system 

components to determine which security controls are applicable to the various components 

and subsequently make explicit decisions regarding where to allocate the controls in order to 

satisfy organizational security requirements.59

• 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 that can be 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. For example, automated mechanisms may be used to maintain up-todate, complete, accurate, and readily available baseline configurations of organizational 

information systems. If automated mechanisms are not readily available, cost-effective, or 

technically feasible, compensating security controls, implemented through nonautomated 

mechanisms or procedures, are used to satisfy specified security control requirements (see 

terms and conditions for selecting and applying compensating controls below). 

• 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, workstations, 

boundary protection devices, and communications equipment). 

• POLICY/REGULATORY-RELATED CONSIDERATIONS— 

Security controls that address matters governed by applicable federal 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. 

 

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

assistants and cellular telephones. These devices may require the application of security controls in accordance with an 

organizational assessment of risk. While the scoping guidance may support not allocating a particular security control 

to a specific component, any residual risk associated with the absence of that control must be addressed to adequately 

protect organizational operations and assets, individuals, other organizations, and the Nation. 

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• OPERATIONAL/ENVIRONMENTAL-RELATED CONSIDERATIONS— 

Security controls that are based on specific assumptions about the operational environment 

are applicable only if the information system is employed in the assumed environment. For 

example, certain physical security controls may not be applicable to space-based 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. 

• SCALABILITY-RELATED CONSIDERATIONS— 

Security controls are scalable with regard to the extent and rigor of the implementation. 

Scalability is guided by the FIPS 199 security categorization and associated FIPS 200 impact 

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

implementation detail. In contrast, a contingency plan for a low-impact information system 

may be considerably shorter and contain much less implementation detail. Organizations 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.

• PUBLIC ACCESS-RELATED CONSIDERATIONS— 

When public access to organizational information systems is allowed, security controls are 

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 public 

access. 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. 

Compensating Security Controls 

Organizations may find it necessary on occasion, to employ compensating security controls. This 

may occur, for example, when an organization is unable to implement a security control in the 

baseline or when, due to the specific nature of an information system or its environment of 

operation, the control in the baseline is not a cost-effective means of obtaining the needed risk 

mitigation. 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 Appendix D, that provides an 

equivalent or comparable level of protection for an information system and the information 

processed, stored, or transmitted by that system.60 Compensating controls are typically selected 

after applying the scoping considerations in the tailoring guidance to the initial set of baseline 

security controls. For example, compensating controls may be needed by the organization when 

 

60 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 compensate for the separation of duty security control by strengthening the audit, accountability, and 

personnel security controls within the information system. Acceptable compensating controls do not necessarily 

require the development of new security controls. 

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applying technology-based considerations addressing the lack of capability to support automated 

mechanisms as part of a security control or control enhancement requirement. A compensating 

control for an information system may be employed only under the following conditions: 

• The organization selects the compensating control from NIST Special Publication 800-53, or 

if an appropriate compensating control is not available, the organization adopts a suitable 

compensating control from another source;61

• The organization provides supporting rationale for how the compensating control delivers an 

equivalent security capability for the information system and why the related baseline 

security control could not be employed; and 

• The organization assesses and formally accepts the risk associated with employing the 

compensating control in the information system. 

Organization-Defined Security Control Parameters 

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

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

specific organizational requirements or objectives (see AU-5 example in Section 2.1). After the 

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

review the list of security controls for assignment and selection operations and determine the 

appropriate organization-defined values for the identified parameters. Values for organizationdefined parameters are adhered to unless more restrictive values are prescribed by applicable 

federal laws, Executive Orders, directives, policies, standards, guidelines, or regulations. 

Organizations may choose to specify values for security control parameters before selecting 

compensating controls since the specification of those parameters completes the definition of the 

security control and may affect the compensating control requirements. 

Supplementing the Tailored Baseline 

The tailored security control baseline is the foundation or starting point for determining the 

needed set of security controls for an information system. As described in Section 3.1, the final 

determination of the appropriate set of security controls necessary to provide adequate security 

for an information system is a function of the organization’s assessment of risk and what is 

required to sufficiently mitigate the risks to organizational operations and assets, individuals, 

other organizations, and the Nation.62 In many cases, additional security controls or control 

enhancements will be needed to address specific threats to and vulnerabilities in an information 

system and to satisfy the requirements of applicable federal 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. Organizations are encouraged to make maximum use of the security control 

catalog in Appendix F to facilitate the process of enhancing security controls and/or adding 

controls to the tailored baseline.63

 

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

Special Publication 800-53. Organization-defined compensating controls are employed only as a last resort when the 

organization deems that the security control catalog does not contain suitable compensating controls. 

62 Considerations for potential national-level impacts and impacts to other organizations in categorizing organizational 

information systems derive from the USA PATRIOT Act and Homeland Security Presidential Directives. 

63 Security controls and control enhancements selected to supplement tailored baselines are allocated to appropriate 

information system components in the same manner as the control allocations carried out by the organization in the 

initial baselines. See Section 3.3, Scoping Guidance, for security control allocation. 

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In selecting the security controls and control enhancements to supplement the tailored baseline, 

an organization can employ a requirements definition approach or a gap analysis approach. In 

the requirements definition approach, the organization acquires specific and credible threat64

information (or makes a reasonable assumption) about the activities of adversaries with certain 

capabilities or attack potential (e.g., skill levels, expertise, available resources). To effectively 

withstand cyber attacks from adversaries with the stated capabilities or attack potential, the 

organization strives to achieve a certain level of security capability or cyber preparedness. 

Organizations can choose additional security controls and control enhancements from Appendix 

F to obtain such security capability or level of preparedness. In contrast to the requirements 

definition approach, the gap analysis approach begins with an organizational assessment of its 

current security capability or level of cyber preparedness. From that initial security capability 

assessment, the organization determines the types of threats it can reasonably expect to address. 

If the organization’s current security capability or level of cyber preparedness is insufficient, the 

gap analysis determines the required capability and level of preparedness. The organization 

subsequently defines the security controls and control enhancements from Appendix F needed to 

achieve the desired capability or cyber preparedness level.65

There may be situations in which an organization is employing information technology beyond its 

ability to adequately protect essential missions and business functions (e.g., certain web-based, 

social networking, and collaborative computing-based technologies). That is, the organization 

cannot apply sufficient security controls within an information system to adequately reduce or 

mitigate risk. In those situations, an alternative strategy is needed to prevent the mission and 

business functions from being adversely affected; a strategy that considers the mission/business 

risks that result from an aggressive use of information technology. Restrictions on the types of 

technologies used and how the information system is employed provide an alternative method to 

reduce or mitigate risk when security controls cannot be implemented within technology/resource 

constraints, or when controls lack reasonable expectation of effectiveness against identified threat 

sources. Restrictions on the use of information systems and specific information technologies are 

in many situations, the only practical or reasonable course of action an organization can take in 

order to have the ability to carry out its assigned missions and business functions in the face of 

determined adversaries. Examples of use restrictions include: 

• Limiting the information an information system can process, store, or transmit or the manner 

in which an organizational mission or business function is automated; 

• Prohibiting external access to organizational information by removing selected information 

system components from the network (i.e., air gapping); and 

• Prohibiting public access to moderate-impact or high-impact information systems, unless an 

explicit determination is made authorizing such access. 

Organizations document the decisions taken during the security control selection process, 

providing a sound rationale for those decisions. This documentation is essential when examining 

the security considerations for information systems with respect to potential mission/business 

impact. The resulting set of security controls along with the supporting rationale for selection 

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

information system. Documenting in the security plan any significant risk management decisions 

 

64 While this example focuses on threats to information systems from purposeful attacks, the scope of concern to most 

organizations also includes environmental disruptions and human errors. 

65 NIST Special Publication 800-30 provides guidance on conducting risk assessments. Future updates to Special 

Publication 800-30 will include additional information on threat taxonomies and security capabilities. 

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in the security control selection process is imperative in order for authorizing officials to have the 

necessary information to make credible, risk-based decisions regarding the authorization of 

organizational information systems. In addition, without such information, the understanding, 

assumptions, and rationale supporting those important risk decisions will, in all likelihood, not be 

available when the state of the information systems or environments of operation change, and the 

original risk decisions are revisited. 

Figure 3-2 summarizes the security control selection process,66 including tailoring of the initial 

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

organizational assessment of risk.67

 Application of 

Tailoring Guidance 

Scoping Guidance 

Compensating 

Controls 

Parameterization 

Assessment of 

Organizational 

Risk 

 

Supplements 

Tailored Baseline 

Controls to Mitigate 

Unacceptable Risks 

DOCUMENT SECURITY CONTROL DECISIONS 

 Rationale that the agreed-upon set of security controls for the information system provide adequate 

protection of organizational operations and assets, individuals, other organizations, and the Nation. 

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

FIGURE 3-2: SECURITY CONTROL SELECTION PROCESS 

 

 

66 Some of the steps in the Risk Management Framework are represented by actual security controls (e.g., RA-2, 

Security Categorization, CA-2, Security Assessment, CA-6, Security Authorization, and CA-7, Continuous Monitoring) 

in Appendix F. A few other selected security controls must be implemented initially to complete the first two steps in 

the Risk Management Framework. For example, RA-3, Risk Assessment, is implemented to conduct an organizational 

assessment of risk to support selecting, tailoring, and supplementing the security control baseline. Security control PL2, Security Plan, is implemented to document the agreed-upon security controls upon completion of the control 

selection process. Organizations select and implement security controls in the appropriate sequence to fully execute the 

steps in the Risk Management Framework. 

67 An information system can employ security controls at different layers within the system. An operating system, for 

example, typically provides an access control capability that includes the identification and authentication of users. An 

application, hosted by that operating system, may also provide its own access control capability requiring users to go 

through a second level of identification and authentication, thus rendering an additional level of protection for the 

information system. Organizations carrying out the security control selection process consider components at all layers 

within the information system as part of effective organizational security architecture implementing a defense-in-depth 

security strategy. 

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Implementation Tip 

Many organizations own and operate large and complex information systems, sometimes referred to as 

a system-of-systems. System architecture plays a key part in the security control selection process for 

these types of information systems. Organizations can address a large and complex system by dividing 

the system into two or more subsystems and applying the FIPS 199 security categorization and FIPS 

200 impact level determination to each subsystem. Applying separate impact levels to each subsystem 

does not change the overall impact level of the information system; rather, it allows the constituent 

subsystems to receive a separate allocation of security controls instead of deploying higher impact 

controls across every subsystem. It is not valid to treat the subsystems as entirely independent entities, 

however, since the subsystems are interdependent and interconnected. The organization develops a 

security architecture to allocate security controls among the subsystems including monitoring and 

controlling communications at key internal boundaries within the large and complex system (or systemof-systems) and provides system-wide controls that meet or exceed the highest information system 

impact level of the constituent subsystems inheriting the security capability from those system-wide 

controls. 

The organization considers that replicated subsystems within a large and complex information system 

may exhibit common vulnerabilities that can be exploited by a common threat source; thereby negating 

the redundancy that might be relied upon as a risk mitigation measure. The impact due to a security 

incident against one constituent subsystem might cascade and impact many subsystems at the same 

time. Risk levels can be adjusted upward or downward based on the actual deployment of security 

controls, the effectiveness of the controls, the environment in which the information system is operating, 

and how the organization is using its information technology. 

New Development and Legacy Systems 

The security control selection process described in this section can be applied to organizational 

information systems from two different perspectives: (i) new development; and (ii) legacy. For a 

new development system, the security control selection process is applied from a requirements 

definition perspective since the information system does not yet exist and the organization is 

conducting an initial security categorization. The security controls included in the security plan 

for the information system serve as a security specification for the organization and are expected 

to be incorporated into the system during the development and implementation phases of the 

system development life cycle. In contrast, for a legacy information system, the security control 

selection process is applied from a gap analysis perspective when the organization is anticipating 

significant changes to the system (e.g., during major upgrades, modifications, or outsourcing). 

Since the information system already exists, the organization in all likelihood has completed the 

security categorization and security control selection processes resulting in the documentation of 

a previously agreed-upon set of security controls in the security plan and the implementation of 

those controls within the information system. Therefore, the gap analysis can be applied in the 

following manner: 

• First, reconfirm or update as necessary, the FIPS 199 security category and FIPS 200 impact 

level for the information system based on the different types of information that are currently

being processed, stored, or transmitted by the system. 

• Second, review the existing security plan that describes the security controls that are currently 

employed considering any updates to the security category and information system impact 

level as well as any changes to the organization, the system, or the operational environment. 

Reassess the risk and revise the security plan as necessary, including documenting any 

additional security controls that would be needed by the system to ensure that the risk to 

organizational operations, organizational assets, individuals, other organizations, and the 

Nation, remains at an acceptable level. 

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________________________________________________________________________________________________ 

• Third, implement the security controls described in the updated security plan, document in the 

plan of action and milestones any controls not implemented, and continue with the remaining 

steps in the Risk Management Framework in the same manner as a new development system. 

Applying Gap Analyses to External Service Providers 

The gap analysis perspective is also applied when interacting with external service providers. As 

described in Section 2.4, organizations are becoming increasingly reliant on external providers for 

critical information system services. Using the steps in the gap analysis described above, the 

organization can effectively use the acquisition process and appropriate contractual vehicles to 

require external providers to carry out, in collaboration with the organization, the security 

categorization and security control selection steps in the RMF. The resulting information can 

help determine what security controls the external provider either has in place or intends to 

implement for the information system services that are to be provided to the organization. If a 

security control deficit exists, the responsibility for adequately mitigating unacceptable risks 

arising from the use of external information system services remains with the authorizing official. 

In such situations, the organization can reduce the organizational risk to an acceptable level by: 

• Using the existing contractual vehicle to require the external provider to meet the additional 

security control requirements established by the organization; 

• Negotiating with the provider for additional security controls (including compensating 

controls) if the existing contractual vehicle does not provide for such added requirements; or 

• Employing alternative risk mitigation measures68 within the organizational information 

system when a contract either does not exist or the contract does not provide the necessary 

leverage for the organization to obtain needed security controls. 

3.4 MONITORING SECURITY CONTROLS

After the security controls are implemented and assessed for effectiveness, the information 

system is authorized for operation in accordance with the organization’s risk management 

strategy (RMF Steps 3, 4, and 5). The organization subsequently initiates specific follow-on actions 

as part of a comprehensive continuous monitoring program. The continuous monitoring program 

includes an ongoing assessment of security control effectiveness to determine if there is a need to 

modify or update the current deployed set of security controls based on changes in the 

information system or its environment of operation (RMF Step 6). In particular, the organization 

revisits on a regular basis, the risk management activities described in the Risk Management 

Framework. In addition to the ongoing activities associated with the implementation of the Risk 

Management Framework, there are certain events which can trigger the immediate need to assess 

the security state of the information system and if required, modify or 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 by 

the organization in the confidentiality, integrity, or availability of information processed, 

stored, or transmitted by the system; 

• A newly identified, credible, information system-related threat to organizational operations 

and assets, individuals, other organizations, or the Nation is identified based on intelligence 

information, law enforcement information, or other credible sources of information; 

 

68 For example, local policies, procedures, and/or compensating controls could be established on the organization side 

to serve as alternative mitigation measures for risks identified in a gap analysis. 

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• 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 

environment69 potentially degrade the security state of the system; or 

• Significant changes to the organizational risk management strategy, information security 

policy, supported missions and/or business functions, or information being processed, stored, 

or transmitted by the information system. 

When such events occur, organizations, at a minimum, take the following actions:70

• Reconfirm the security category and impact level of the information system. 

The organization reexamines the FIPS 199 security category and FIPS 200 impact level of the 

information system to confirm that the security category and system impact level previously 

established and approved by the authorizing official are still valid. The resulting analysis 

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

the organization to fulfill its mission/business responsibilities. 

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

operations and assets, individuals, other organizations, and the Nation. 

The organization investigates the information system vulnerability (or vulnerabilities) 

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

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

exploitation of information system 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 capability of the threat source. Using the results from the assessment 

of the current security state, the organization reassesses the risks 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 determines what 

additional security controls and/or control enhancements or corrective actions for existing 

controls are necessary to adequately mitigate risk. The security plan for the information 

system is updated to reflect any initial changes to the original plan. A plan of action and 

milestones is developed for any noted weaknesses or deficiencies that are not immediately 

corrected and for the implementation of any security control upgrades or additional controls. 

After the security controls and/or control upgrades have been implemented and any other 

weaknesses or deficiencies corrected, the controls are assessed for effectiveness to determine 

if the controls are implemented correctly, operating as intended, and producing the desired 

outcome with respect to meeting the security requirements for the information system. If 

necessary, the security plan is updated to reflect any additional corrective actions taken by the 

organization to mitigate risk. 

 

69 Examples of significant changes in the operational environment are interconnection of external information systems 

and large increases or decreases in the size of the community of users accessing the information system. 

70 Organizations determine the specific types of events that would trigger changes to the security controls within the 

information system or its environment of operation and a resulting modification to the security plan. The decision to 

commit resources in light of such events is guided by an organizational assessment of risk. 

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CHAPTER 3 PAGE 29

• Consider reauthorizing the information system. 

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

assets, individuals, other organizations, and the Nation, and the extent of the corrective 

actions required to fix the identified weaknesses or deficiencies in the information system, the 

organization may need to consider reauthorizing 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 reauthorize the information system in consultation with the risk 

executive (function), system and mission/business owners, the senior information security 

officer, and the chief information officer. The authorizing official may choose to conduct a 

limited reauthorization 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 have sufficient information available from security 

control assessments to initiate, with an appropriate degree of confidence, necessary corrective 

actions. 
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

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. 

6. Freedom of Information Act (FOIA), 5 U.S.C. § 552, As Amended By Public Law No. 

104-231, 110 Stat. 3048, Electronic Freedom of Information Act Amendments of 1996.

7. Health Insurance Portability and Accountability Act (P.L. 104-191), August 1996. 

8. The Atomic Energy Act of 1954 (P.L. 83-703), August 1954. 

POLICIES, DIRECTIVES, REGULATIONS, AND MEMORANDA

1. 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). 

2. 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). 

3. Director of Central Intelligence Directive 6/9, Physical Security Standards For Sensitive 

Compartmented Information Facilities, November 2002. 

4. Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity 

Program and Requirements, February 2008. 

5. Homeland Security Presidential Directive 7, Critical Infrastructure Identification, 

Prioritization, and Protection, December 2003. 

6. Homeland Security Presidential Directive 12, Policy for a Common Identification 

Standard for Federal Employees and Contractors, August 2004. 

7. Intelligence Community Directive Number 704, Personnel Security Standards and 

Procedures Governing Eligibility For Access To Sensitive Compartmented Information 

And Other Controlled Access Program Information, October 2008. 

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

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

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

Management Office, FEA Consolidated Reference Model Document, Version 2.3, 

October 2007. 

10. Office of Management and Budget, Federal Segment Architecture Methodology (FSAM), 

January 2009. 

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11. Office of Management and Budget Memorandum M-01-05, Guidance on Inter-Agency 

Sharing of Personal Data - Protecting Personal Privacy, December 2000. 

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

Submitting Security Plans of Action and Milestones, October 2001. 

13. 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. 

14. 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. 

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

for Federal Agencies, December 2003. 

16. Office of Management and Budget Memorandum M-04-26, Personal Use Policies and 

File Sharing Technology, September 2004. 

17. Office of Management and Budget Memorandum M-05-08, Designation of Senior 

Agency Officials for Privacy, February 2005. 

18. 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. 

19. Office of Management and Budget Memorandum M-06-15, Safeguarding Personally 

Identifiable Information, May 2006. 

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

Information, June 2006. 

21. Office of Management and Budget Memorandum M-06-19, Reporting Incidents 

Involving Personally Identifiable Information and Incorporating the Cost for Security in 

Agency Information Technology Investments, July 2006. 

22. Office of Management and Budget Memorandum, Recommendations for Identity Theft 

Related Data Breach Notification Guidance, September 2006. 

23. Office of Management and Budget Memorandum M-07-11, Implementation of 

Commonly Accepted Security Configurations for Windows Operating Systems, March 

2007. 

24. Office of Management and Budget Memorandum M-07-16, Safeguarding Against and 

Responding to the Breach of Personally Identifiable Information, May 2007. 

25. Office of Management and Budget Memorandum M-07-18, Ensuring New Acquisitions 

Include Common Security Configurations, June 2007. 

26. Office of Management and Budget Memorandum M-08-09, New FISMA Privacy 

Reporting Requirements for FY 2008, January 2008. 

27. Office of Management and Budget Memorandum M-08-21, FY08 Reporting Instructions 

for the Federal Information Security Management Act and Agency Privacy Management, 

July 2008. 

28. Office of Management and Budget Memorandum M-08-22, Guidance on the Federal 

Desktop Core Configuration (FDCC), August 2008. 

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29. Office of Management and Budget Memorandum M-08-23, Securing the Federal 

Government’s Domain Name System Infrastructure, August 2008. 

30. The White House, Office of the Press Secretary, Designation and Sharing of Controlled 

Unclassified Information (CUI), May 2008. 

31. The White House, Office of the Press Secretary, Classified Information and Controlled 

Unclassified Information, May 2009. 

STANDARDS

1. International Organization for Standardization/International Electrotechnical Commission 

27001, Information Security Management System Requirements, October 2005. 

2. International Organization for Standardization/International Electrotechnical Commission 

15408-1, Information technology -- Security techniques -- Evaluation criteria for IT 

security -- Part 1: Introduction and general model, October 2005. 

3. International Organization for Standardization/International Electrotechnical Commission 

15408-2, Information technology -- Security techniques -- Evaluation criteria for IT 

security -- Part 2: Security functional requirements, October 2005. 

4. International Organization for Standardization/International Electrotechnical Commission 

15408-3, Information technology -- Security techniques -- Evaluation criteria for IT 

security -- Part 3: Security assurance requirements, October 2005. 

5. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 140-2, Security Requirements for Cryptographic Modules, May 

2001. 

 National Institute of Standards and Technology Federal Information Processing Standards 

 Publication 140-3 (Draft), Security Requirements for Cryptographic Modules, July 2007. 

6. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 180-3, Secure Hash Standard (SHS), October 2008. 

7. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 186-3, Digital Signature Standard (DSS), June 2009. 

8. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 188, Standard Security Labels for Information Transfer, 

September 1994. 

9. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 190, Guideline for the Use of Advanced Authentication Technology 

Alternatives, September 1994. 

10. National Institute of Standards and Technology Federal Information Processing 

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

11. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 198-1, The Keyed-Hash Message Authentication Code (HMAC), 

July 2008. 

12. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 199, Standards for Security Categorization of Federal Information 

and Information Systems, February 2004. 

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13. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 200, Minimum Security Requirements for Federal Information and 

Information Systems, March 2006. 

14. National Institute of Standards and Technology Federal Information Processing 

Standards Publication 201-1, Personal Identity Verification (PIV) of Federal Employees 

and Contractors, March 2006. 

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

Assurance Glossary, June 2006. 

16. National Security Telecommunications and Information Systems Security Instruction 

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

GUIDELINES

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

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

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

Telecommunications Security Guidelines for Telecommunications Management Network, 

October 1995. 

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

Accepted Principles and Practices for Securing Information Technology Systems, 

September 1996. 

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

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

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

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

April 1998. 

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

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

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

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

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

Security, October 1999. 

9. 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. 

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

Edition, Guideline for Implementing Cryptography in the Federal Government, 

December 2005. 

11. 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. 

12. 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. 

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

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

2000. 

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

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

2000. 

15. 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. 

16. National Institute of Standards and Technology Special Publication 800-28, Version 2, 

Guidelines on Active Content and Mobile Code, March 2008. 

17. 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. 

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

Management Guide for Information Technology Systems, July 2002. 

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

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

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

Technical Models for Information Technology Security, December 2001. 

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

Planning Guide for Information Technology Systems, June 2002. 

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

Information Technology Security Services, October 2003. 

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

Selecting Information Security Products, October 2003. 

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

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

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

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

December 2001. 

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

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

Authentication, May 2005. 

27. 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. 

28. 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, November 2007. 

29. National Institute of Standards and Technology Special Publication 800-39 (Second 

Public Draft), Managing Risk from Information Systems: An Organizational Perspective, 

April 2008. 

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30. National Institute of Standards and Technology Special Publication 800-40, Version 2, 

Creating a Patch and Vulnerability Management Program, November 2005. 

31. National Institute of Standards and Technology Special Publication 800-41, Revision 1 

(Draft), Guidelines on Firewalls and Firewall Policy, July 2008. 

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

Administration Guidance for Windows 2000 Professional, November 2002. 

33. National Institute of Standards and Technology Special Publication 800-44, Version 2, 

Guidelines on Securing Public Web Servers, September 2007. 

34. National Institute of Standards and Technology Special Publication 800-45, Version 2, 

Guidelines on Electronic Mail Security, February 2007. 

35. National Institute of Standards and Technology Special Publication 800-46, Revision 1, 

Guide to Enterprise Telework and Remote Access Security, June 2009. 

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

Guide for Interconnecting Information Technology Systems, August 2002. 

37. National Institute of Standards and Technology Special Publication 800-48, Revision 1, 

Guide to Securing Legacy IEEE 802.11 Wireless Networks, July 2008. 

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

S/MIME V3 Client Profile, November 2002. 

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

Information Technology Security Awareness and Training Program, October 2003. 

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

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

2002. 

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

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

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

Assessing the Security Controls in Federal Information Systems: Building Effective 

Security Assessment Plans, July 2008. 

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

Gateway Protocol Security, July 2007. 

44. National Institute of Standards and Technology Special Publication 800-55, Revision 1, 

Performance Measurement Guide for Information Security, July 2008. 

45. National Institute of Standards and Technology Special Publication 800-56A (Revised), 

Recommendation for Pair-Wise Key Establishment Schemes Using Discrete Logarithm 

Cryptography, March 2007. 

46. National Institute of Standards and Technology Special Publication 800-57 (Revised), 

Recommendation for Key Management, March 2007. 

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

Considerations for Voice Over IP Systems, January 2005. 

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

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

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49. National Institute of Standards and Technology Special Publication 800-60, Revision 1, 

Guide for Mapping Types of Information and Information Systems to Security Categories, 

August 2008. 

50. National Institute of Standards and Technology Special Publication 800-61, Revision 1, 

Computer Security Incident Handling Guide, March 2008. 

51. National Institute of Standards and Technology Special Publication 800-63-1 (Draft), 

Electronic Authentication Guideline, December 2008. 

52. National Institute of Standards and Technology Special Publication 800-64, Revision 2, 

Security Considerations in the System Development Life Cycle, October 2008. 

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

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

54. National Institute of Standards and Technology Special Publication 800-66, Revision 1, 

An Introductory Resource Guide for Implementing the Health Insurance Portability and 

Accountability Act (HIPAA) Security Rule, October 2008. 

55. National Institute of Standards and Technology Special Publication 800-67, Version 1.1, 

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

2008. 

56. National Institute of Standards and Technology Special Publication 800-68, Revision 1, 

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

Configuration Checklist, October 2008. 

57. 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. 

58. National Institute of Standards and Technology Special Publication 800-70, Revision 1 

(Draft), National Checklist Program for IT Products--Guidelines for Checklist Users and 

Developers, September 2008. 

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

on PDA Forensics, November 2004. 

60. National Institute of Standards and Technology Special Publication 800-73-2, Interfaces 

for Personal Identity Verification, September 2008. 

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

Data Specification for Personal Identity Verification, January 2007. 

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

IPsec VPNs, December 2005. 

63. National Institute of Standards and Technology Special Publication 800-78-1, 

Cryptographic Algorithms and Key Sizes for Personal Identity Verification, August 2007. 

64. National Institute of Standards and Technology Special Publication 800-79-1, Guidelines 

for the Accreditation of Personal Identity Verification Card Issuers, June 2008. 

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

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

66. National Institute of Standards and Technology Special Publication 800-82 (Final Public 

Draft), Guide to Industrial Control Systems (ICS) Security, September 2008. 

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

Malware Incident Prevention and Handling, November 2005. 

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

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

69. National Institute of Standards and Technology Special Publication 800-85A-1, PIV Card 

Application and Middleware Interface Test Guidelines (SP 800-73 Compliance), March 

2009. 

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

Model Test Guidelines, July 2006. 

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

Integrating Forensic Techniques into Incident Response, August 2006. 

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

Codes for the Identification of Federal and Federally-Assisted Organizations, April 

2008. 

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

for Media Sanitization, September 2006. 

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

Recommendation for Obtaining Assurances for Digital Signature Applications, 

November 2006. 

75. National Institute of Standards and Technology Special Publication 800-90 (Revised), 

Recommendation for Random Number Generation Using Deterministic Random Bit

Generators, March 2007. 

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

Computer Security Log Management, September 2006. 

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

Intrusion Detection and Prevention Systems (IDPS), February 2007. 

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

Secure Web Services, August 2007. 

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

Reader Interoperability Guidelines, September 2006. 

80. National Institute of Standards and Technology Special Publication 800-97, Establishing 

Robust Security Networks: A Guide to IEEE 802.11i, February 2007. 

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

Securing Radio Frequency Identification (RFID) Systems, April 2007. 

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

Security Handbook: A Guide for Managers, October 2006. 

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

on Cell Phone Forensics, May 2007. 

84. National Institute of Standards and Technology Special Publication 800-103 (Draft), An

Ontology of Identity Credentials, Part I: Background and Formulation, October 2006. 

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

for PIV Visual Card Topography, June 2007. 

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APPENDIX A PAGE A-9

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

Hashing Digital Signatures, February 2009. 

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

Recommendation for Using Approved Hash Algorithms, February 2009. 

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

Recommendation for Key Derivation Using Pseudorandom Functions, November 2008. 

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

Storage Encryption Technologies for End User Devices, November 2007. 

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

SSL VPNs, July 2008. 

91. National Institute of Standards and Technology Special Publication 800-114, User's

Guide to Securing External Devices for Telework and Remote Access, November 2007. 

92. National Institute of Standards and Technology Special Publication 800-115, Technical 

Guide to Information Security Testing and Assessment, September 2008. 

93. National Institute of Standards and Technology Special Publication 800-116, A 

Recommendation for the Use of PIV Credentials in Physical Access Control Systems 

(PACS), November 2008. 

94. National Institute of Standards and Technology Special Publication 800-117 (Draft), 

Guide to Adopting and Using the Security Content Automation Protocol (SCAP), May 

2009. 

95. National Institute of Standards and Technology Special Publication 800-118 (Draft), 

Guide to Enterprise Password Management, April 2009. 

96. National Institute of Standards and Technology Special Publication 800-121, Guide to 

Bluetooth Security, September 2008. 

97. National Institute of Standards and Technology Special Publication 800-122 (Draft), 

Guide to Protecting the Confidentiality of Personally Identifiable Information (PII), 

January 2009. 

98. National Institute of Standards and Technology Special Publication 800-123, Guide to 

General Server Security, July 2008. 

99. National Institute of Standards and Technology Special Publication 800-124, Guidelines 

on Cell Phone and PDA Security, October 2008. 

100. National Institute of Standards and Technology Special Publication 800-128 (Draft), 

Guide for Security Configuration Management of Information Systems, August 2009. 
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

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. 

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. 

Attribute-Based Access 

Control 

Access control based on attributes associated with and about 

subjects, objects, targets, initiators, resources, or the environment. 

An access control rule set defines the combination of attributes 

under which an access may take place. 

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. 

Authenticator The means used to confirm the identity of a user, processor, or 

device (e.g., user password or token). 

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. 

Authorization 

(to operate)

The official management decision given by a senior 

organizational official to authorize operation of an information 

system and to explicitly accept the risk to organizational 

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

organizational assets, individuals, other organizations, and the 

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

security controls. 

Authorization Boundary All components of an information system to be authorized for 

operation by an authorizing official and excludes separately 

authorized systems, to which the information system is 

connected. 

Authorize Processing See Authorization. 

Authorizing Official A senior (federal) official or executive with the authority to 

formally assume responsibility for operating an information 

system at an acceptable level of risk to organizational operations 

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

organizational assets, individuals, other organizations, and the 

Nation. 

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Availability 

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

Ensuring timely and reliable access to and use of information. 

Boundary Protection Monitoring and control of communications at the external 

boundary of an information system to prevent and detect 

malicious and other unauthorized communications, through the 

use of 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) provides information system 

boundary protection. 

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. 

Note: Organizations subordinate to federal agencies may use the term Chief 

Information Officer to denote individuals filling positions with similar security 

responsibilities to agency-level Chief Information Officers. 

Chief Information Security 

Officer 

See Senior Agency Information Security Officer. 

Classified Information Information that has been determined: (i) pursuant to Executive 

Order 12958 as amended by Executive Order 13292, or any 

predecessor Order, to be classified national security information; 

or (ii) pursuant to the Atomic Energy Act of 1954, as amended, to 

be Restricted Data (RD). 

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. 

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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 Control A security control that is inherited by one or more organizational 

information systems. See Security Control Inheritance. 

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 

[CNSSI 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. 

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. 

Controlled Unclassified 

Information 

A categorical designation that refers to unclassified information 

that does not meet the standards for National Security 

Classification under Executive Order 12958, as amended, but is 

(i) pertinent to the national interests of the United States or to the 

important interests of entities outside the federal government, and 

(ii) under law or policy requires protection from unauthorized 

disclosure, special handling safeguards, or prescribed limits on 

exchange or dissemination. Henceforth, the designation CUI 

replaces Sensitive But Unclassified (SBU). 

Countermeasures 

[CNSSI 4009] 

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

reduce the vulnerability of an information system. Synonymous 

with security controls and safeguards. 

Defense-in-depth Information security strategy integrating people, technology, and 

operations capabilities to establish variable barriers across 

multiple layers and missions of the organization. 

Domain 

[CNSSI 4009]

An environment or context that includes a set of system resources 

and a set of system entities that have the right to access the 

resources as defined by a common security policy, security 

model, or security architecture. See Security Domain. 

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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. 

External Information 

System (or Component) 

An information system or component of an information system 

that is outside of the authorization 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 

authorization boundary of the organizational information system 

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

information system) 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 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. 

External Network A network not controlled by the organization. 

Failover The capability to switch over automatically (typically without 

human intervention or warning) to a redundant or standby 

information system upon the failure or abnormal termination of 

the previously active system. 

Federal Agency See Executive Agency. 

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. 

FIPS-Validated 

Cryptography 

A cryptographic module validated by the Cryptographic Module 

Validation Program (CMVP) to meet requirements specified in 

FIPS 140-2 (as amended). As a prerequisite to CMVP validation, 

the cryptographic module is required to employ a cryptographic 

algorithm implementation that has successfully passed validation 

testing by the Cryptographic Algorithm Validation Program 

(CAVP). See NSA-Approved Cryptography. 

Guard (System) 

[CNSSI 4009, Adapted]

A mechanism limiting the exchange of information between 

information systems or subsystems. 

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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. 

Hybrid Security Control A security control that is implemented in an information system 

in part as a common control and in part as a system-specific 

control. 

See Common Control and System-Specific Security Control. 

Identity-Based Access 

Control 

Access control based on the identity of the user (typically relayed 

as a characteristic of the process acting on behalf of that user) 

where access authorizations to specific objects are assigned based 

on user identity. 

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 (DCSs) 

and smaller control systems using programmable logic controllers 

to control localized processes. 

Information 

[FIPS 199] 

An instance of an information type. 

Information Owner 

[CNSSI 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 

[CNSSI 4009] 

Aggregate of directives, regulations, rules, and practices that 

prescribes how an organization manages, protects, and distributes 

information. 

Information Security 

Program Plan 

Formal document that provides an overview of the security 

requirements for an organization-wide information security 

program and describes the program management controls and 

common controls in place or planned for meeting those 

requirements. 

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Information System 

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

A discrete set of information resources organized for the 

collection, processing, maintenance, use, sharing, dissemination, 

or disposition of information. 

[Note: Information systems also include specialized systems such 

as industrial/process controls systems, telephone switching and 

private branch exchange (PBX) systems, and environmental 

control systems.] 

Information System Owner 

(or Program Manager) 

Official responsible for the overall procurement, development, 

integration, modification, or operation and maintenance of an 

information system. 

Information System 

Security Officer 

[CNSSI 4009] 

Individual with assigned responsibility 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. 

Internal Network A network where: (i) the establishment, maintenance, and 

provisioning of security controls are under the direct control of 

organizational employees or contractors; or (ii) cryptographic 

encapsulation or similar security technology implemented 

between organization-controlled endpoints, provides the same 

effect (at least with regard to confidentiality and integrity). An 

internal network is typically organization-owned, yet may be 

organization-controlled while not being organization-owned. 

Label See Security Label. 

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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 

process acting on behalf of a user) communicating through a 

direct connection 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. 

Malicious Code 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. 

Marking See Security Marking. 

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. 

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). 

Mobile Device Portable cartridge/disk-based, removable storage media (e.g., 

floppy disks, compact disks, USB flash drives, external hard 

drives, and other flash memory cards/drives that contain nonvolatile memory). 

Portable computing and communications device with information 

storage capability (e.g., notebook/laptop computers, personal 

digital assistants, cellular telephones, digital cameras, and audio 

recording devices). 

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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. 

Multifactor Authentication Authentication using two or more factors to achieve 

authentication. Factors include: (i) something you know (e.g. 

password/PIN); (ii) something you have (e.g., cryptographic 

identification device, token); or (iii) something you are (e.g., 

biometric). See Authenticator. 

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 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. 

Network 

[CNSSI 4009] 

Information system(s) implemented with a collection of 

interconnected components. Such components may include 

routers, hubs, cabling, telecommunications controllers, key 

distribution centers, and technical control devices. 

Network Access Access to an information system by a user (or a process acting on 

behalf of a user) communicating through a network (e.g., local 

area network, wide area network, Internet). 

Non-Local Maintenance Maintenance activities conducted by individuals communicating 

through a network; either an external network (e.g., the Internet) 

or an internal network. 

Non-Organizational User A user who is not an organizational user (including public users). 

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Non-repudiation Protection against an individual falsely denying having performed 

a particular action. Provides the capability to determine whether 

a given individual took a particular action such as creating 

information, sending a message, approving information, and 

receiving a message. 

NSA-Approved 

Cryptography 

Cryptography that consists of: (i) an approved algorithm; (ii) an 

implementation that has been approved for the protection of 

classified information in a particular environment; and (iii) a 

supporting key management infrastructure. 

Object Passive information system-related entity (e.g., devices, files, 

records, tables, processes, programs, domains) containing or 

receiving information. Access to an object (by a subject) implies 

access to the information it contains. See Subject. 

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, Adapted] 

An entity of any size, complexity, or positioning within an 

organizational structure (e.g., a federal agency or, as appropriate, 

any of its operational elements). 

Organizational User An organizational employee or an individual the organization 

deems to have equivalent status of an employee (e.g., contractor, 

guest researcher, individual detailed from another organization, 

individual from allied nation). 

Penetration Testing A test methodology in which assessors, typically working under 

specific constraints, attempt to circumvent or defeat the security 

features of an information system. 

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 Account An information system account with authorizations of a 

privileged user. 

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Privileged Command A human-initiated command executed on an information system 

involving the control, monitoring, or administration of the system 

including security functions and associated security-relevant 

information. 

Privileged User 

[CNSSI 4009] 

A user that is authorized (and therefore, trusted) to perform 

security-relevant functions that ordinary users are not authorized 

to perform. 

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. 

Reciprocity Mutual agreement among participating enterprises to accept each 

other’s security assessments in order to reuse information system 

resources and/or to accept each other’s assessed security posture 

in order to share 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). 

Red Team Exercise An exercise, reflecting real-world conditions, that is conducted as 

a simulated adversarial attempt to compromise organizational 

missions and/or business processes to provide a comprehensive 

assessment of the security capability of the information system 

and organization. 

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

process acting on behalf of a user) communicating through an 

external network (e.g., the Internet). 

Remote Maintenance Maintenance activities conducted by individuals communicating 

through an external network (e.g., the Internet). 

Removable Media Portable electronic storage media such as magnetic, optical, and 

solid state devices, which can be inserted into and removed from 

a computing device, and that is used to store text, video, audio, 

and image information. Examples include hard disks, floppy 

disks, zip drives, compact disks, thumb drives, pen drives, and 

similar USB storage devices.

Restricted Data 

[Atomic Energy Act of 1954] 

All data concerning (i) design, manufacture, or utilization of 

atomic weapons; (ii) the production of special nuclear material; or 

(iii) the use of special nuclear material in the production of 

energy, but shall not include data declassified or removed from 

the Restricted Data category pursuant to Section 142 [of the 

Atomic Energy Act of 1954]. 

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Risk 

[FIPS 200, Adapted] 

A measure of the extent to which an entity is threatened by a 

potential circumstance or event, and typically a function of: (i) 

the adverse impacts that would arise if the circumstance or event 

occurs; and (ii) the likelihood of occurrence. 

Information system-related security risks are those risks that arise 

from the loss of confidentiality, integrity, or availability of 

information or information systems and reflect the potential 

adverse impacts to organizational operations (including mission, 

functions, image, or reputation), organizational assets, 

individuals, other organizations, and the Nation. 

Risk Assessment The process of identifying risks to organizational operations 

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

assets, individuals, other organizations, and the Nation, resulting 

from the operation of an information system. 

Part of risk management, incorporates threat and vulnerability 

analyses, and considers mitigations provided by security controls 

planned or in place. Synonymous with risk analysis. 

Risk Management 

[FIPS 200, Adapted] 

The process of managing risks to organizational operations 

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

assets, individuals, other organizations, and the Nation, 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. 

Role-Based Access 

Control 

Access control based on user roles (i.e., a collection of access 

authorizations a user receives based on an explicit or implicit 

assumption of a given role). Role permissions may be inherited 

through a role hierarchy and typically reflect the permissions 

needed to perform defined functions within an organization. A 

given role may apply to a single individual or to several 

individuals. 

Safeguards 

[CNSSI 4009] 

Protective measures prescribed to meet the security requirements 

(i.e., confidentiality, integrity, and availability) specified for an 

information system. Safeguards may include security features, 

management constraints, personnel security, and security of 

physical structures, areas, and devices. Synonymous with security 

controls and countermeasures. 

Sanitization A general term referring to the actions taken to render data 

written on media unrecoverable by both ordinary and, for some 

forms of sanitization, extraordinary means. 

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Scoping Guidance A part of tailoring guidance providing organizations with specific 

policy/regulatory-related, technology-related, system component 

allocation-related, operational/environmental-related, physical 

infrastructure-related, public access-related, scalability-related, 

common control-related, and security objective-related 

considerations on the applicability and implementation of 

individual security controls in the security control baseline. 

Security Attribute An abstraction representing the basic properties or characteristics 

of an entity with respect to safeguarding information; typically 

associated with internal data structures (e.g., records, buffers, 

files) within the information system and used to enable the 

implementation of access control and flow control policies, 

reflect special dissemination, handling or distribution instructions, 

or support other aspects of the information security policy. 

Security Authorization See Authorization. 

Security Authorization 

Boundary 

See Authorization Boundary. 

Security Categorization The process of determining the security category for information 

or an information system. See Security Category.

Security Category 

[FIPS 199, Adapted] 

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, individuals, other organizations, and the 

Nation. 

Security Control 

Assessment 

The testing and/or evaluation of the management, operational, 

and technical security controls in an 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. 

Security Control Baseline 

[FIPS 200]

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

moderate-impact, or high-impact information system. 

Security Control 

Enhancements 

Statements of security capability to: (i) build in additional, but 

related, functionality to a security control; and/or (ii) increase the 

strength of the control. 

Security Control 

Inheritance 

A situation in which an information system or application 

receives protection from security controls (or portions of security 

controls) that are developed, implemented, assessed, authorized, 

and monitored by entities other than those responsible for the 

system or application; entities either internal or external to the 

organization where the system or application resides. See 

Common Control. 

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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 Domain 

[CNSSI 4009]

A domain that implements a security policy and is administered 

by a single authority. 

Security Functions The hardware, software, and/or firmware of the information 

system responsible for enforcing the system security policy and 

supporting the isolation of code and data on which the protection 

is based. 

Security Impact Analysis The analysis conducted by an organizational official to determine 

the extent to which changes to the information system have 

affected the security state of the system. 

Security Incident See Incident. 

Security Label The means used to associate a set of security attributes with a 

specific information object as part of the data structure for that 

object. 

Security Marking Human-readable information affixed to information system 

components, removable media, or output indicating the 

distribution limitations, handling caveats and applicable security 

markings. 

Security Objective 

[FIPS 199]

Confidentiality, integrity, or availability. 

Security Plan Formal document that provides an overview of the security 

requirements for an information system or an information security 

program and describes the security controls in place or planned 

for meeting those requirements. 

See System Security Plan or Information Security Program Plan. 

Security Policy 

[CNSSI 4009] 

A set of criteria for the provision of security services. 

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. 

Security-Relevant 

Information 

Any information within the information system that can 

potentially impact the operation of security functions in a manner 

that could result in failure to enforce the system security policy or 

maintain isolation of code and data. 

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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. 

Note: Organizations subordinate to federal agencies may use the term Senior 

Information Security Officer or Chief Information Security Officer to denote 

individuals filling positions with similar responsibilities to Senior Agency 

Information Security Officers. 

Senior Information 

Security Officer 

See Senior Agency Information Security Officer. 

Sensitive Information 

[CNSSI 4009]

Information, the loss, misuse, or unauthorized access to or 

modification of, that could adversely affect the national interest or 

the conduct of federal programs, or the privacy to which 

individuals are entitled under 5 U.S.C. Section 552a (the Privacy 

Act), but that has not 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. 

Sensitive Compartmented 

Information 

[CNSSI 4009]

Classified information concerning or derived from intelligence 

sources, methods, or analytical processes, which is required to be 

handled within formal access control systems established by the 

Director of National Intelligence. 

Spam The abuse of electronic messaging systems to indiscriminately 

send unsolicited bulk messages. 

Special Access Program 

[CNSSI 4009]

A program established for a specific class of classified 

information that imposes safeguarding and access requirements 

that exceed those normally required for information at the same 

classification level. 

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. 

Subject Generally an individual, process, or device causing information to 

flow among objects or change to the system state. See Object. 

Subsystem A major subdivision or component of an information system 

consisting of information, information technology, and personnel 

that performs one or more specific functions. 

Supply Chain A system of organizations, people, activities, information, and 

resources, possibly international in scope, that provides products 

or services to consumers. 

System See Information System. 

System Security Plan 

[NIST SP 800-18] 

Formal document that provides an overview of the security 

requirements for an information system and describes the security 

controls in place or planned for meeting those requirements. 

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System-Specific Security 

Control 

A security control for an information system that has not been 

designated as a common security control or the portion of a 

hybrid control that is to be implemented within an information 

system. 

Tailored Security Control 

Baseline 

A set of security controls resulting from the application of 

tailoring guidance to the security control baseline. See Tailoring. 

Tailoring The process by which a security control baseline is modified 

based on: (i) the application of scoping guidance; (ii) the 

specification of compensating security controls, if needed; and 

(iii) the specification of organization-defined parameters in the 

security controls via explicit assignment and selection statements. 

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 

[CNSSI 4009, Adapted] 

Any circumstance or event with the potential to adversely impact 

organizational operations (including mission, functions, image, or 

reputation), organizational assets, individuals, other 

organizations, or the Nation through an information system via 

unauthorized access, destruction, disclosure, modification of 

information, and/or denial of service. 

Threat Assessment 

[CNSSI 4009] 

Formal description and evaluation of threat to an information 

system. 

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. 

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 

[CNSSI 4009, adapted]

Individual, or (system) process acting on behalf of an individual, 

authorized to access an information system. 

See Organizational User and Non-Organizational User. 

Vulnerability 

[CNSSI 4009] 

Weakness in an information system, system security procedures, 

internal controls, or implementation that could be exploited or 

triggered by a threat source. 

Vulnerability Assessment 

[CNSSI 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 

CISO Chief Information Security Officer 

CNSS Committee on National Security Systems 

CUI Controlled Unclassified Information 

DNS Domain Name System 

DOD Department of Defense 

FIPS Federal Information Processing Standards 

FISMA Federal Information Security Management Act 

HSPD Homeland Security Presidential Directive 

ICS Industrial Control System 

IEEE Institute of Electrical and Electronics Engineers 

IPsec Internet Protocol Security 

ISO/IEC International Organization for Standardization/International Electrotechnical 

Commission 

NIST National Institute of Standards and Technology 

NSA National Security Agency 

NSTISSI National Security Telecommunications and Information System Security 

Instruction 

ODNI Office of the Director of National Intelligence 

OMB Office of Management and Budget 

PIV Personal Identity Verification 

PKI Public Key Infrastructure 

RD Restricted Data 

SAISO Senior Agency Information Security Officer 

SAMI Sources And Methods Information 

SBU Sensitive But Unclassified 

SCI Sensitive Compartmented Information 

TSP Telecommunications Service Priority 

VoIP Voice over Internet Protocol 

VPN Virtual Private Network 

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APPENDIX D

SECURITY CONTROL BASELINES – SUMMARY

LOW-IMPACT, MODERATE-IMPACT, AND HIGH-IMPACT INFORMATION SYSTEMS 

his appendix contains the security control baselines that represent the starting point in 

determining the security controls for low-impact, moderate-impact, and high-impact 

information systems.71 The three security control baselines are hierarchical in nature with 

regard to the security controls employed in those baselines.72 If a security control is selected for 

one of the baselines, the security control 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 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). Note that some security controls and 

enhancements in the security control catalog are not used in any of the baselines in this appendix 

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 risk to organizational operations and organizational assets, individuals, other 

organizations, and the Nation. 

T 

Organizations can use the recommended priority code designation associated with each security 

control in the baselines to assist in making sequencing decisions for control implementation (i.e., 

a Priority Code 1 [P1] control has a higher priority for implementation than a Priority Code 2 [P2] 

control; a Priority Code 2 (P2) control has a higher priority for implementation than a Priority 

Code 3 [P3] control). This recommended sequencing prioritization helps ensure that foundational 

security controls upon which other controls depend are implemented first, thus enabling 

organizations to deploy controls in a more structured and timely manner in accordance with 

available resources. The implementation of security controls by sequence priority code does not 

imply the achievement of any defined level of risk mitigation until all of the security controls in 

the security plan have been implemented. The priority codes are used only for implementation 

sequencing, not for making security control selection decisions. Table D-1 summarizes sequence 

priority codes for the baseline security controls in Table D-2. 

TABLE D-1: SECURITY CONTROL PRIORITIZATION CODES 

Priority Code Sequencing Action 

Priority Code 1 (P1) FIRST Implement P1 security controls first. 

Priority Code 2 (P2) NEXT Implement P2 security controls after implementation of P1 controls. 

Priority Code 3 (P3) LAST Implement P3 security controls after implementation of P1 and P2 controls. 

Unspecified Priority Code (P0) NONE Security control not selected for baseline. 

 

71 A complete description of all security controls is provided in Appendices F and G. In addition, separate documents 

for individual security control baselines (listed as Annexes 1, 2, and 3) are available at http://csrc.nist.gov/publications. 

72 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., CP-4 Contingency Plan Testing and Exercises—Moderate: CP-4 (1)) meets a stronger set 

of security requirements for that control than the next lower impact level of the same control (e.g., CP-4 Contingency 

Plan Testing and Exercises—Low: CP-4). 

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In addition to Table D-2, the sequence priority codes and security control baselines are annotated 

in a priority and baseline allocation summary section below each security control in Appendix F. 

TABLE D-2: SECURITY CONTROL BASELINES 

CONTROL BASELINES 

CNTL 

NO. CONTROL NAME

PRIORITY

LOW MOD HIGH 

Access Control 

AC-1 Access Control Policy and Procedures P1 AC-1 AC-1 AC-1 

AC-2 Account Management P1 AC-2 AC-2 (1) (2) (3) 

(4) 

AC-2 (1) (2) (3) 

(4) 

AC-3 Access Enforcement P1 AC-3 AC-3 AC-3 

AC-4 Information Flow Enforcement P1 Not Selected AC-4 AC-4 

AC-5 Separation of Duties P1 Not Selected AC-5 AC-5 

AC-6 Least Privilege P1 Not Selected AC-6 (1) (2) AC-6 (1) (2) 

AC-7 Unsuccessful Login Attempts P2 AC-7 AC-7 AC-7 

AC-8 System Use Notification P1 AC-8 AC-8 AC-8 

AC-9 Previous Logon (Access) Notification P0 Not Selected Not Selected Not Selected 

AC-10 Concurrent Session Control P2 Not Selected Not Selected AC-10 

AC-11 Session Lock P3 Not Selected AC-11 AC-11 

AC-12 Session Termination (Withdrawn) --- --- --- --- 

AC-13 Supervision and Review—Access Control 

(Withdrawn) 

--- --- --- --- 

AC-14 Permitted Actions without Identification or 

Authentication 

P1 AC-14 AC-14 (1) AC-14 (1) 

AC-15 Automated Marking (Withdrawn) --- --- --- --- 

AC-16 Security Attributes P0 Not Selected Not Selected Not Selected 

AC-17 Remote Access P1 AC-17 AC-17 (1) (2) 

(3) (4) (5) (7) 

(8) 

AC-17 (1) (2) 

(3) (4) (5) (7) 

(8) 

AC-18 Wireless Access P1 AC-18 AC-18 (1) AC-18 (1) (2) 

(4) (5) 

AC-19 Access Control for Mobile Devices P1 AC-19 AC-19 (1) (2) 

(3) 

AC-19 (1) (2) 

(3) 

AC-20 Use of External Information Systems P1 AC-20 AC-20 (1) (2) AC-20 (1) (2) 

AC-21 User-Based Collaboration and Information 

Sharing 

P0 Not Selected Not Selected Not Selected 

AC-22 Publicly Accessible Content P2 AC-22 AC-22 AC-22 

Awareness and Training 

AT-1 Security Awareness and Training Policy and 

Procedures 

P1 AT-1 AT-1 AT-1 

AT-2 Security Awareness P1 AT-2 AT-2 AT-2 

AT-3 Security Training P1 AT-3 AT-3 AT-3 

AT-4 Security Training Records P3 AT-4 AT-4 AT-4 

AT-5 Contacts with Security Groups and 

Associations 

P0 Not Selected Not Selected Not Selected 

Audit and Accountability 

AU-1 Audit and Accountability Policy and 

Procedures 

P1 AU-1 AU-1 AU-1 

AU-2 Auditable Events P1 AU-2 AU-2 (3) (4) AU-2 (3) (4) 

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CONTROL BASELINES 

PRIORITY

CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

AU-3 Content of Audit Records P1 AU-3 AU-3 (1) AU-3 (1) (2) 

AU-4 Audit Storage Capacity P1 AU-4 AU-4 AU-4 

AU-5 Response to Audit Processing Failures P1 AU-5 AU-5 AU-5 (1) (2) 

AU-6 Audit Review, Analysis, and Reporting P1 AU-6 AU-6 AU-6 (1) 

AU-7 Audit Reduction and Report Generation P2 Not Selected AU-7 (1) AU-7 (1) 

AU-8 Time Stamps P1 AU-8 AU-8 (1) AU-8 (1) 

AU-9 Protection of Audit Information P1 AU-9 AU-9 AU-9 

AU-10 Non-repudiation P1 Not Selected Not Selected AU-10 

AU-11 Audit Record Retention P3 AU-11 AU-11 AU-11 

AU-12 Audit Generation P1 AU-12 AU-12 AU-12 (1) 

AU-13 Monitoring for Information Disclosure P0 Not Selected Not Selected Not Selected 

AU-14 Session Audit P0 Not Selected Not Selected Not Selected 

Security Assessment and Authorization 

CA-1 Security Assessment and Authorization 

Policies and Procedures 

P1 CA-1 CA-1 CA-1 

CA-2 Security Assessments P2 CA-2 CA-2 (1) CA-2 (1) (2) 

CA-3 Information System Connections P1 CA-3 CA-3 CA-3 

CA-4 Security Certification (Withdrawn) --- --- --- --- 

CA-5 Plan of Action and Milestones P3 CA-5 CA-5 CA-5 

CA-6 Security Authorization P3 CA-6 CA-6 CA-6 

CA-7 Continuous Monitoring P3 CA-7 CA-7 CA-7 

Configuration Management 

CM-1 Configuration Management Policy and 

Procedures 

P1 CM-1 CM-1 CM-1 

CM-2 Baseline Configuration P1 CM-2 CM-2 (1) (3) (4) CM-2 (1) (2) (3) 

(5) (6) 

CM-3 Configuration Change Control P1 Not Selected CM-3 (2) CM-3 (1) (2) 

CM-4 Security Impact Analysis P2 CM-4 CM-4 CM-4 (1) 

CM-5 Access Restrictions for Change P1 Not Selected CM-5 CM-5 (1) (2) (3) 

CM-6 Configuration Settings P1 CM-6 CM-6 (3) CM-6 (1) (2) (3) 

CM-7 Least Functionality P1 CM-7 CM-7 (1) CM-7 (1) (2) 

CM-8 Information System Component Inventory P1 CM-8 CM-8 (1) (5) CM-8 (1) (2) (3) 

(4) (5) 

CM-9 Configuration Management Plan P1 Not Selected CM-9 CM-9 

Contingency Planning 

CP-1 Contingency Planning Policy and 

Procedures 

P1 CP-1 CP-1 CP-1 

CP-2 Contingency Plan P1 CP-2 CP-2 (1) CP-2 (1) (2) (3) 

CP-3 Contingency Training P2 CP-3 CP-3 CP-3 (1) 

CP-4 Contingency Plan Testing and Exercises P2 CP-4 CP-4 (1) CP-4 (1) (2) (4) 

CP-5 Contingency Plan Update (Withdrawn) --- --- --- --- 

CP-6 Alternate Storage Site P1 Not Selected CP-6 (1) (3) CP-6 (1) (2) (3) 

CP-7 Alternate Processing Site P1 Not Selected CP-7 (1) (2) (3) 

(5) 

CP-7 (1) (2) (3) 

(4) (5) 

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CONTROL BASELINES 

PRIORITY

CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

CP-8 Telecommunications Services P1 Not Selected CP-8 (1) (2) CP-8 (1) (2) (3) 

(4) 

CP-9 Information System Backup P1 CP-9 CP-9 (1) CP-9 (1) (2) (3) 

CP-10 Information System Recovery and 

Reconstitution 

P1 CP-10 CP-10 (2) (3) CP-10 (2) (3) 

(4) 

Identification and Authentication 

IA-1 Identification and Authentication Policy and 

Procedures 

P1 IA-1 IA-1 IA-1 

IA-2 Identification and Authentication 

(Organizational Users) 

P1 IA-2 (1) IA-2 (1) (2) (3) 

(8) 

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

(4) (8) (9) 

IA-3 Device Identification and Authentication P1 Not Selected IA-3 IA-3 

IA-4 Identifier Management P1 IA-4 IA-4 IA-4 

IA-5 Authenticator Management P1 IA-5 (1) IA-5 (1) (2) (3) IA-5 (1) (2) (3) 

IA-6 Authenticator Feedback P1 IA-6 IA-6 IA-6 

IA-7 Cryptographic Module Authentication P1 IA-7 IA-7 IA-7 

IA-8 Identification and Authentication (NonOrganizational Users) P1 IA-8 IA-8 IA-8 

Incident Response 

IR-1 Incident Response Policy and Procedures P1 IR-1 IR-1 IR-1 

IR-2 Incident Response Training P2 IR-2 IR-2 IR-2 (1) (2) 

IR-3 Incident Response Testing and Exercises P2 Not Selected IR-3 IR-3 (1) 

IR-4 Incident Handling P1 IR-4 IR-4 (1) IR-4 (1) 

IR-5 Incident Monitoring P1 IR-5 IR-5 IR-5 (1) 

IR-6 Incident Reporting P1 IR-6 IR-6 (1) IR-6 (1) 

IR-7 Incident Response Assistance P3 IR-7 IR-7 (1) IR-7 (1) 

IR-8 Incident Response Plan P1 IR-8 IR-8 IR-8 

Maintenance 

MA-1 System Maintenance Policy and Procedures P1 MA-1 MA-1 MA-1 

MA-2 Controlled Maintenance P2 MA-2 MA-2 (1) MA-2 (1) (2) 

MA-3 Maintenance Tools P2 Not Selected MA-3 (1) (2) MA-3 (1) (2) (3) 

MA-4 Non-Local Maintenance P1 MA-4 MA-4 (1) (2) MA-4 (1) (2) (3) 

MA-5 Maintenance Personnel P1 MA-5 MA-5 MA-5 

MA-6 Timely Maintenance P1 Not Selected MA-6 MA-6 

Media Protection 

MP-1 Media Protection Policy and Procedures P1 MP-1 MP-1 MP-1 

MP-2 Media Access P1 MP-2 MP-2 (1) MP-2 (1) 

MP-3 Media Marking P1 Not Selected MP-3 MP-3 

MP-4 Media Storage P1 Not Selected MP-4 MP-4 

MP-5 Media Transport P1 Not Selected MP-5 (2) (4) MP-5 (2) (3) (4) 

MP-6 Media Sanitization P1 MP-6 MP-6 MP-6 (1) (2) (3) 

Physical and Environmental Protection 

PE-1 Physical and Environmental Protection 

Policy and Procedures 

P1 PE-1 PE-1 PE-1 

PE-2 Physical Access Authorizations P1 PE-2 PE-2 PE-2 

PE-3 Physical Access Control P1 PE-3 PE-3 PE-3 (1) 

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CONTROL BASELINES 

PRIORITY

CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

PE-4 Access Control for Transmission Medium P1 Not Selected PE-4 PE-4 

PE-5 Access Control for Output Devices P1 Not Selected PE-5 PE-5 

PE-6 Monitoring Physical Access P1 PE-6 PE-6 (1) PE-6 (1) (2) 

PE-7 Visitor Control P1 PE-7 PE-7 (1) PE-7 (1) 

PE-8 Access Records P3 PE-8 PE-8 PE-8 (1) (2) 

PE-9 Power Equipment and Power Cabling P1 Not Selected PE-9 PE-9 

PE-10 Emergency Shutoff P1 Not Selected PE-10 PE-10 

PE-11 Emergency Power P1 Not Selected PE-11 PE-11 (1) 

PE-12 Emergency Lighting P1 PE-12 PE-12 PE-12 

PE-13 Fire Protection P1 PE-13 PE-13 (1) (2) 

(3) 

PE-13 (1) (2) 

(3) 

PE-14 Temperature and Humidity Controls P1 PE-14 PE-14 PE-14 

PE-15 Water Damage Protection P1 PE-15 PE-15 PE-15 (1) 

PE-16 Delivery and Removal P1 PE-16 PE-16 PE-16 

PE-17 Alternate Work Site P1 Not Selected PE-17 PE-17 

PE-18 Location of Information System Components P2 Not Selected PE-18 PE-18 (1) 

PE-19 Information Leakage P0 Not Selected Not Selected Not Selected 

Planning 

PL-1 Security Planning Policy and Procedures P1 PL-1 PL-1 PL-1 

PL-2 System Security Plan P1 PL-2 PL-2 PL-2 

PL-3 System Security Plan Update (Withdrawn) --- --- --- --- 

PL-4 Rules of Behavior P1 PL-4 PL-4 PL-4 

PL-5 Privacy Impact Assessment P1 PL-5 PL-5 PL-5 

PL-6 Security-Related Activity Planning P3 Not Selected PL-6 PL-6 

Personnel Security 

PS-1 Personnel Security Policy and Procedures P1 PS-1 PS-1 PS-1 

PS-2 Position Categorization P1 PS-2 PS-2 PS-2 

PS-3 Personnel Screening P1 PS-3 PS-3 PS-3 

PS-4 Personnel Termination P2 PS-4 PS-4 PS-4 

PS-5 Personnel Transfer P2 PS-5 PS-5 PS-5 

PS-6 Access Agreements P3 PS-6 PS-6 PS-6 

PS-7 Third-Party Personnel Security P1 PS-7 PS-7 PS-7 

PS-8 Personnel Sanctions P3 PS-8 PS-8 PS-8 

Risk Assessment 

RA-1 Risk Assessment Policy and Procedures P1 RA-1 RA-1 RA-1 

RA-2 Security Categorization P1 RA-2 RA-2 RA-2 

RA-3 Risk Assessment P1 RA-3 RA-3 RA-3 

RA-4 Risk Assessment Update (Withdrawn) --- --- --- --- 

RA-5 Vulnerability Scanning P1 RA-5 RA-5 (1) RA-5 (1) (2) (3) 

(4) (5) (7) 

System and Services Acquisition 

SA-1 System and Services Acquisition Policy and 

Procedures 

P1 SA-1 SA-1 SA-1 

SA-2 Allocation of Resources P1 SA-2 SA-2 SA-2 

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CONTROL BASELINES 

CNTL 

NO. CONTROL NAME

PRIORITY

LOW MOD HIGH 

SA-3 Life Cycle Support P1 SA-3 SA-3 SA-3 

SA-4 Acquisitions P1 SA-4 SA-4 (1) (4) SA-4 (1) (2) (4) 

SA-5 Information System Documentation P2 SA-5 SA-5 (1) (3) SA-5 (1) (2) (3) 

SA-6 Software Usage Restrictions P1 SA-6 SA-6 SA-6 

SA-7 User-Installed Software P1 SA-7 SA-7 SA-7 

SA-8 Security Engineering Principles P1 Not Selected SA-8 SA-8 

SA-9 External Information System Services P1 SA-9 SA-9 SA-9 

SA-10 Developer Configuration Management P1 Not Selected SA-10 SA-10 

SA-11 Developer Security Testing P2 Not Selected SA-11 SA-11 

SA-12 Supply Chain Protection P1 Not Selected Not Selected SA-12 

SA-13 Trustworthiness P1 Not Selected Not Selected SA-13 

SA-14 Critical Information System Components P0 Not Selected Not Selected Not Selected 

System and Communications Protection 

SC-1 System and Communications Protection 

Policy and Procedures 

P1 SC-1 SC-1 SC-1 

SC-2 Application Partitioning P1 Not Selected SC-2 SC-2 

SC-3 Security Function Isolation P1 Not Selected Not Selected SC-3 

SC-4 Information in Shared Resources P1 Not Selected SC-4 SC-4 

SC-5 Denial of Service Protection P1 SC-5 SC-5 SC-5 

SC-6 Resource Priority P0 Not Selected Not Selected Not Selected 

SC-7 Boundary Protection P1 SC-7 SC-7 (1) (2) (3) 

(4) (5) (7) 

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

(4) (5) (6) (7) 

(8) 

SC-8 Transmission Integrity P1 Not Selected SC-8 (1) SC-8 (1) 

SC-9 Transmission Confidentiality P1 Not Selected SC-9 (1) SC-9 (1) 

SC-10 Network Disconnect P2 Not Selected SC-10 SC-10 

SC-11 Trusted Path P0 Not Selected Not Selected Not Selected 

SC-12 Cryptographic Key Establishment and 

Management 

P1 SC-12 SC-12 SC-12 (1) 

SC-13 Use of Cryptography P1 SC-13 SC-13 SC-13 

SC-14 Public Access Protections P1 SC-14 SC-14 SC-14 

SC-15 Collaborative Computing Devices P1 SC-15 SC-15 SC-15 

SC-16 Transmission of Security Attributes P0 Not Selected Not Selected Not Selected 

SC-17 Public Key Infrastructure Certificates P1 Not Selected SC-17 SC-17 

SC-18 Mobile Code P1 Not Selected SC-18 SC-18 

SC-19 Voice Over Internet Protocol P1 Not Selected SC-19 SC-19 

SC-20 Secure Name /Address Resolution Service 

(Authoritative Source) 

P1 SC-20 (1) SC-20 (1) SC-20 (1) 

SC-21 Secure Name /Address Resolution Service 

(Recursive or Caching Resolver) 

P1 Not Selected Not Selected SC-21 

SC-22 Architecture and Provisioning for 

Name/Address Resolution Service 

P1 Not Selected SC-22 SC-22 

SC-23 Session Authenticity P1 Not Selected SC-23 SC-23 

SC-24 Fail in Known State P1 Not Selected Not Selected SC-24 

SC-25 Thin Nodes P0 Not Selected Not Selected Not Selected 

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CONTROL BASELINES 

CNTL 

NO. CONTROL NAME

PRIORITY

LOW MOD HIGH 

SC-26 Honeypots P0 Not Selected Not Selected Not Selected 

SC-27 Operating System-Independent Applications P0 Not Selected Not Selected Not Selected 

SC-28 Protection of Information at Rest P1 Not Selected SC-28 SC-28 

SC-29 Heterogeneity P0 Not Selected Not Selected Not Selected 

SC-30 Virtualization Techniques P0 Not Selected Not Selected Not Selected 

SC-31 Covert Channel Analysis P0 Not Selected Not Selected Not Selected 

SC-32 Information System Partitioning P0 Not Selected SC-32 SC-32 

SC-33 Transmission Preparation Integrity P0 Not Selected Not Selected Not Selected 

SC-34 Non-Modifiable Executable Programs P0 Not Selected Not Selected Not Selected 

System and Information Integrity 

SI-1 System and Information Integrity Policy and 

Procedures 

P1 SI-1 SI-1 SI-1 

SI-2 Flaw Remediation P1 SI-2 SI-2 (2) SI-2 (1) (2) 

SI-3 Malicious Code Protection P1 SI-3 SI-3 (1) (2) (3) SI-3 (1) (2) (3) 

SI-4 Information System Monitoring P1 Not Selected SI-4 (2) (4) (5) 

(6) 

SI-4 (2) (4) (5) 

(6) 

SI-5 Security Alerts, Advisories, and Directives P1 SI-5 SI-5 SI-5 (1) 

SI-6 Security Functionality Verification P1 Not Selected Not Selected SI-6 

SI-7 Software and Information Integrity P1 Not Selected SI-7 (1) SI-7 (1) (2) 

SI-8 Spam Protection P1 Not Selected SI-8 SI-8 (1) 

SI-9 Information Input Restrictions P2 Not Selected SI-9 SI-9 

SI-10 Information Input Validation P1 Not Selected SI-10 SI-10 

SI-11 Error Handling P2 Not Selected SI-11 SI-11 

SI-12 Information Output Handling and Retention P2 SI-12 SI-12 SI-12 

SI-13 Predictable Failure Prevention P0 Not Selected Not Selected Not Selected 

Program Management 

PM-1 Information Security Program Plan P1 

PM-2 Senior Information Security Officer P1 

PM-3 Information Security Resources P1 

PM-4 Plan of Action and Milestones Process P1 

PM-5 Information System Inventory P1 

PM-6 Information Security Measures of 

Performance 

P1 

PM-7 Enterprise Architecture P1 

PM-8 Critical Infrastructure Plan P1 

PM-9 Risk Management Strategy P1 

PM-10 Security Authorization Process P1 

PM-11 Mission/Business Process Definition P1 

Deployed organization-wide 

Supporting all baselines 
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APPENDIX E

MINIMUM ASSURANCE REQUIREMENTS 

LOW-IMPACT, MODERATE-IMPACT, AND HIGH-IMPACT INFORMATION SYSTEMS 

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 implementers73 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 information system impact level (i.e., low, moderate, and high) since 

the requirements apply to each control within the respective impact level. 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 at a particular impact level.

T 

Low-Impact Information Systems 

Assurance Requirement: The security control is in effect and meets explicitly identified functional 

requirements in the control statement. 

Supplemental Guidance: For security controls in low-impact information systems, 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-Impact Information Systems 

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 moderate-impact information systems, 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. 

Note: This level of assurance is not intended to protect a moderate-impact information system against highend threat agents (i.e., threat agents that are highly skilled, highly motivated, and well-resourced). When 

such protection is required, the section below entitled Additional Assurance Requirements for ModerateImpact and High-Impact Information Systems applies. 

 

73 In this context, a developer/implementer is an individual or group of individuals responsible for the development or 

implementation of security controls. This may include in addition to organizational personnel, for example, hardware 

and software vendors providing the controls and contractors implementing the controls. 

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High-Impact Information Systems 

Assurance Requirement: The security control is in effect and meets explicitly identified functional 

requirements in the control statement. The control developer/implementer provides a description of the 

functional properties and design/implementation of the control with sufficient detail to permit analysis 

and testing of the control (including functional interfaces among control components). The control 

developer/implementer includes as an integral part of the control, assigned responsibilities and specific 

actions 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 high-impact information systems, 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. 

Note: This level of assurance is not intended to protect a high-impact information system against high-end 

threat agents (i.e., threat agents that are highly skilled, highly motivated, and well-resourced). When such 

protection is required, the section below entitled Additional Assurance Requirements for Moderate-Impact 

and High-Impact Information Systems applies. 

Additional Assurance Requirements for Moderate-Impact and High-Impact Information Systems 

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 moderate-impact and high-impact information systems, when 

appropriate, in order to protect against threats from highly skilled, highly motivated, and well-resourced 

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, ENHANCEMENTS, AND SUPPLEMENTAL GUIDANCE 

T he catalog of security controls in this appendix provides a range of safeguards and 

countermeasures for organizations and information systems. The organization of the 

security control catalog, the structure of the controls, and the concept of allocating security 

controls and control enhancements to the initial baselines in Appendix D are described in Chapter 

Two. The security controls in the catalog are expected to change over time, as controls are 

withdrawn, revised and added. In order to maintain stability in security plans and automated 

tools supporting the implementation of NIST Special Publication 800-53, security controls and 

control enhancements will not be renumbered each time a control or enhancement is withdrawn. 

Notations of security controls and controls enhancements that have been withdrawn will be 

maintained in the catalog for historical purposes. 

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Beginning with NIST Special Publication 800-53, Revision 3, the supplemental guidance sections for 

security controls and control enhancements contain no requirements or references to FIPS or NIST 

Special Publications. NIST publications are included in a new References section that has been added 

to the general description and content of the security control specification. In addition, minimum and 

maximum values (e.g., testing contingency plans at least annually) have been removed from the 

assignment statements in security controls. Organizations should consult specific federal laws, 

Executive Orders, directives, policies, regulations, standards, or guidelines as the definitive sources for 

such information. Removal of minimum and maximum values from the security controls does not 

obviate the need of organizations to comply with requirements in the controlling source publications. 

Finally, in support of the Joint Task Force Transformation Initiative to develop a unified information 

security framework for the federal government, security controls for national security systems are 

included in the security control catalog. The inclusion of these security controls is not intended to 

impose security requirements on organizations that operate national security systems; rather, the 

controls are available to use on a voluntary basis with the approval of appropriate federal officials 

exercising policy authority over such systems. In addition, the security control priorities and security 

control baselines listed in Appendix D and in the priority and baseline allocation summary boxes below 

each security control in Appendix F, apply to nonnational security systems only unless otherwise 

directed by the aforementioned federal officials with national security policy authority. 

≈

About the Catalog 

Security controls and control enhancements in Appendices F and G are generally designed to be policyneutral and technology/implementation independent. Additional information about security controls and 

control enhancements can be provided in two ways: 

• By establishing specific values in the variable sections of selected security controls (i.e., assignment

and selection statements); and 

• By specifying security control implementation detail (e.g., platform dependencies) in the associated 

security plan for the information system or security program plan for the organization. 

Assignment and selection statements provide organizations with the capability to specialize security 

controls and control enhancements based on organizational security requirements and/or requirements 

originating in federal laws, Executive Orders, directives, policies, regulations, standards, or guidelines. 

Security control enhancements are used to strengthen or broaden the fundamental security capability 

described in the base control and are not used as a substitute for using assignment or selection 

statements to add greater specificity to the control. The first security control in each family (a.k.a. the 

dash one control) generates the requirement for policy and procedures that are needed for the effective 

implementation of the other security controls and control enhancements in the family. Therefore, the 

individual controls/enhancements in the family typically do not call for the development of such policy 

and procedures. 

Security controls and control enhancements are employed in federal information systems in accordance 

with the risk management guidance provided in NIST Special Publication 800-39 as summarized in 

Chapter Three of this publication. This guidance includes selecting baseline security controls (see 

Appendix D) in accordance with the FIPS 199 security category of the information system and the FIPS 

200 system impact level, and subsequently tailoring the baseline. The tailored security control baseline 

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

respectively. There are additional security controls and control enhancements that appear in the catalog 

that are not used in any of the baselines. These additional 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 in lower-level 

baselines, if deemed appropriate, to provide additional protection measures. 
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FAMILY: ACCESS CONTROL CLASS: TECHNICAL 

AC-1 ACCESS CONTROL POLICY AND PROCEDURES 

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented access control policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the access control policy 

and associated access controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the access control family. The policy and procedures are consistent with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The 

organizational risk management strategy is a key factor in the development of the access control 

policy. Related control: PM-9. 

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100. 

Priority and Baseline Allocation:

P1 LOW AC-1 MOD AC-1 HIGH AC-1

AC-2 ACCOUNT MANAGEMENT 

Control: The organization manages information system accounts, including: 

a. Identifying account types (i.e., individual, group, system, application, guest/anonymous, and 

temporary); 

b. Establishing conditions for group membership; 

c. Identifying authorized users of the information system and specifying access privileges; 

d. Requiring appropriate approvals for requests to establish accounts; 

e. Establishing, activating, modifying, disabling, and removing accounts; 

f. Specifically authorizing and monitoring the use of guest/anonymous and temporary accounts; 

g. Notifying account managers when temporary accounts are no longer required and when 

information system users are terminated, transferred, or information system usage or need-toknow/need-to-share changes; 

h. Deactivating: (i) temporary accounts that are no longer required; and (ii) accounts of 

terminated or transferred users; 

i. Granting access to the system based on: (i) a valid access authorization; (ii) intended system 

usage; and (iii) other attributes as required by the organization or associated missions/business 

functions; and 

j. Reviewing accounts [Assignment: organization-defined frequency]. 

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Supplemental Guidance: The identification of authorized users of the information system and the 

specification of access privileges is consistent with the requirements in other security controls in 

the security plan. Users requiring administrative privileges on information system accounts 

receive additional scrutiny by organizational officials responsible for approving such accounts and 

privileged access. Related controls: AC-3, AC-4, AC-5, AC-6, AC-10, AC-17, AC-19, AC-20, 

AU-9, IA-4, IA-5, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9. 

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 information system automatically audits account creation, modification, disabling, and 

termination actions and notifies, as required, appropriate individuals. 

(5) The organization: 

(a) Requires that users log out when [Assignment: organization defined time-period of expected 

inactivity and/or description of when to log out]; 

(b) Determines normal time-of-day and duration usage for information system accounts; 

(c) Monitors for atypical usage of information system accounts; and 

(d) Reports atypical usage to designated organizational officials. 

(6) The information system dynamically manages user privileges and associated access 

authorizations. 

Enhancement Supplemental Guidance: In contrast to conventional access control approaches 

which employ static information system accounts and predefined sets of user privileges, many 

service-oriented architecture implementations rely on run time access control decisions 

facilitated by dynamic privilege management. While user identities remain relatively constant 

over time, user privileges may change more frequently based on the ongoing mission/business 

requirements and operational needs of the organization.

(7) The organization: 

(a) Establishes and administers privileged user accounts in accordance with a role-based access 

scheme that organizes information system and network privileges into roles; and 

(b) Tracks and monitors privileged role assignments. 

Enhancement Supplemental Guidance: Privileged roles include, for example, key management, 

network and system administration, database administration, web administration.

References: None. 

Priority and Baseline Allocation:

P1 LOW AC-2 MOD AC-2 (1) (2) (3) (4) HIGH AC-2 (1) (2) (3) (4)

AC-3 ACCESS ENFORCEMENT 

Control: The information system enforces approved authorizations for logical access to the system 

in accordance with applicable policy. 

Supplemental Guidance: Access control policies (e.g., identity-based policies, role-based policies, 

attribute-based policies) and 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, 

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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 an audited, explicit 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. For 

classified information, the cryptography used is largely dependent on the classification level of the 

information and the clearances of the individuals having access to the information. Mechanisms 

implemented by AC-3 are configured to enforce authorizations determined by other security 

controls. Related controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, 

AC-21, AC-22, AU-9, CM-5, CM-6, MA-3, MA-4, MA-5, SA-7, SC-13, SI-9. 

Control Enhancements: 

(1) [Withdrawn: Incorporated into AC-6]. 

(2) The information system enforces dual authorization, based on organizational policies and 

procedures for [Assignment: organization-defined privileged commands]. 

Enhancement Supplemental Guidance: Dual authorization mechanisms require two forms of 

approval to execute. The organization does not employ dual authorization mechanisms when 

an immediate response is necessary to ensure public and environmental safety. 

(3) The information system enforces [Assignment: organization-defined nondiscretionary access 

control policies] over [Assignment: organization-defined set of users and resources] where the 

policy rule set for each policy specifies: 

(a) Access control information (i.e., attributes) employed by the policy rule set (e.g., position, 

nationality, age, project, time of day); and 

(b) Required relationships among the access control information to permit access. 

Enhancement Supplemental Guidance: Nondiscretionary access control policies that may be 

implemented by organizations include, for example, Attribute-Based Access Control, 

Mandatory Access Control, and Originator Controlled Access Control. Nondiscretionary 

access control policies may be employed by organizations in addition to the employment of 

discretionary access control policies. 

For Mandatory Access Control (MAC): Policy establishes coverage over all subjects and 

objects under its control to ensure that each user receives only that information to which the 

user is authorized access based on classification of the information, and on user clearance and 

formal access authorization. The information system assigns appropriate security attributes 

(e.g., labels/security domains/types) to subjects and objects, and uses these attributes as the 

basis for MAC decisions. The Bell-LaPadula security model defines allowed access with 

regard to an organization-defined set of strictly hierarchical security levels as follows: A 

subject can read an object only if the security level of the subject dominates the security level 

of the object and a subject can write to an object only if two conditions are met: the security 

level of the object dominates the security level of the subject, and the security level of the 

user’s clearance dominates the security level of the object (no read up, no write down). 

For Role-Based Access Control (RBAC): Policy establishes coverage over all users and 

resources to ensure that access rights are grouped by role name, and access to resources is 

restricted to users who have been authorized to assume the associated role. 

(4) The information system enforces a Discretionary Access Control (DAC) policy that: 

(a) Allows users to specify and control sharing by named individuals or groups of individuals, or 

by both; 

(b) Limits propagation of access rights; and 

(c) Includes or excludes access to the granularity of a single user. 

(5) The information system prevents access to [Assignment: organization-defined security-relevant 

information] except during secure, nonoperable system states. 

Enhancement Supplemental Guidance: Security-relevant information is any information within 

the information system that can potentially impact the operation of security functions in a 

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manner that could result in failure to enforce the system security policy or maintain isolation 

of code and data. Filtering rules for routers and firewalls, cryptographic key management 

information, key configuration parameters for security services, and access control lists are 

examples of security-relevant information. Secure, nonoperable system states are states in 

which the information system is not performing mission/business-related processing (e.g., the 

system is off-line for maintenance, troubleshooting, boot-up, shutdown). 

(6) The organization encrypts or stores off-line in a secure location [Assignment: organization-defined 

user and/or system information]. 

Enhancement Supplemental Guidance: The use of encryption by the organization reduces the 

probability of unauthorized disclosure of information and can also detect unauthorized 

changes to information. Removing information from online storage to offline storage 

eliminates the possibility of individuals gaining unauthorized access via a network. Related 

control: MP-4.

References: None. 

Priority and Baseline Allocation:

P1 LOW AC-3 MOD AC-3 HIGH AC-3

AC-4 INFORMATION FLOW ENFORCEMENT 

Control: The information system enforces approved 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 examples of flow control restrictions include: 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, 

provide a packet-filtering capability based on header information, or message-filtering capability 

based on content (e.g., using key word searches or document characteristics). Mechanisms 

implemented by AC-4 are configured to enforce authorizations determined by other security 

controls. Related controls: AC-17, AC-19, AC-21, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18.

Control Enhancements:

(1) The information system enforces information flow control using explicit security attributes on 

information, source, and destination objects as a basis for flow control decisions. 

Enhancement Supplemental Guidance: Information flow enforcement mechanisms compare 

security attributes on all information (data content and data structure), source and destination 

objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the 

mechanisms encounter information flows not explicitly allowed by the information flow 

policy. Information flow enforcement using explicit security attributes can be used, for 

example, to control the release of certain types of information.

(2) The information system enforces information flow control using protected processing domains 

(e.g., domain type-enforcement) as a basis for flow control decisions. 

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(3) The information system enforces dynamic information flow control based on policy that allows or 

disallows information flows based on changing conditions or operational considerations. 

(4) The information system prevents encrypted data from bypassing content-checking mechanisms. 

(5) The information system enforces [Assignment: organization-defined limitations on the embedding 

of data types within other data types]. 

(6) The information system enforces information flow control on metadata. 

(7) The information system enforces [Assignment: organization-defined one-way flows] using 

hardware mechanisms. 

(8) The information system enforces information flow control using [Assignment: organization-defined 

security policy filters] as a basis for flow control decisions. 

Enhancement Supplemental Guidance: Organization-defined security policy filters include, for 

example, dirty word filters, file type checking filters, structured data filters, unstructured data 

filters, metadata content filters, and hidden content filters. Structured data permits the 

interpretation of its content by virtue of atomic elements that are understandable by an 

application and indivisible. Unstructured data refers to masses of (usually) digital information 

that does not have a data structure or has a data structure that is not easily readable by a 

machine. Unstructured data consists of two basic categories: (i) bitmap objects that are 

inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that 

are based on a written or printed language (i.e., commercial off-the-shelf word processing 

documents, spreadsheets, or emails).

(9) The information system enforces the use of human review for [Assignment: organization-defined 

security policy filters] when the system is not capable of making an information flow control 

decision. 

(10) The information system provides the capability for a privileged administrator to enable/disable 

[Assignment: organization-defined security policy filters]. 

(11) The information system provides the capability for a privileged administrator to configure 

[Assignment: organization-defined security policy filters] to support different security policies. 

Enhancement Supplemental Guidance: For example, to reflect changes in the security policy, an 

administrator can change the list of “dirty words” that the security policy mechanism checks 

in accordance with the definitions provided by the organization. 

(12) The information system, when transferring information between different security domains, 

identifies information flows by data type specification and usage. 

Enhancement Supplemental Guidance: Data type specification and usage include, for example, 

using file naming to reflect type of data and limiting data transfer based on file type.

(13) The information system, when transferring information between different security domains, 

decomposes information into policy-relevant subcomponents for submission to policy 

enforcement mechanisms. 

Enhancement Supplemental Guidance: Policy enforcement mechanisms include the filtering 

and/or sanitization rules that are applied to information prior to transfer to a different security 

domain. Parsing transfer files facilitates policy decisions on source, destination, certificates, 

classification, subject, attachments, and other information security-related component 

differentiators. Policy rules for cross domain transfers include, for example, limitations on 

embedding components/information types within other components/information types, 

prohibiting more than two-levels of embedding, and prohibiting the transfer of archived 

information types.

(14) The information system, when transferring information between different security domains, 

implements policy filters that constrain data structure and content to [Assignment: organizationdefined information security policy requirements]. 

Enhancement Supplemental Guidance: Constraining file lengths, allowed enumerations, character 

sets, schemas, and other data object attributes reduces the range of potential malicious and/or 

unsanctioned content. Examples of constraints include ensuring that: (i) character data fields 

only contain printable ASCII; (ii) character data fields only contain alpha-numeric characters; 

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(iii) character data fields do not contain special characters; or (iv) maximum field sizes and 

file lengths are enforced based upon organization-defined security policy.

(15) The information system, when transferring information between different security domains, detects 

unsanctioned information and prohibits the transfer of such information in accordance with the 

security policy. 

Enhancement Supplemental Guidance: Actions to support this enhancement include: checking 

all transferred information for malware, implementing dirty word list searches on transferred 

information, and applying the same protection measures to metadata (e.g., security attributes) 

that is applied to the information payload.

(16) The information system enforces security policies regarding information on interconnected 

systems. 

Enhancement Supplemental Guidance: Transferring information between interconnected 

information systems of differing security policies introduces risk that such transfers violate 

one or more policies. While security policy violations may not be absolutely prohibited, 

policy guidance from information owners/stewards is implemented at the policy enforcement 

point between the interconnected systems. Specific architectural solutions are mandated, 

when required, to reduce the potential for undiscovered vulnerabilities. Architectural 

solutions include, for example: (i) prohibiting information transfers between interconnected 

systems (i.e. implementing access only, one way transfer mechanisms); (ii) employing 

hardware mechanisms to enforce unitary information flow directions; and (iii) implementing 

fully tested, re-grading mechanisms to reassign security attributes and associated security 

labels.

(17) The information system: 

(a) Uniquely identifies and authenticates source and destination domains for information 

transfer; 

(b) Binds security attributes to information to facilitate information flow policy enforcement; and 

(c) Tracks problems associated with the security attribute binding and information transfer. 

Enhancement Supplemental Guidance: Attribution is a critical component of a security concept 

of operations. The ability to identify source and destination points for information flowing in 

an information system, allows forensic reconstruction of events when required, and increases 

policy compliance by attributing policy violations to specific organizations/individuals. 

Means to enforce this enhancement include ensuring that the information system resolution 

labels distinguish between information systems and organizations, and between specific 

system components or individuals involved in preparing, sending, receiving, or disseminating 

information. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD AC-4 HIGH AC-4

AC-5 SEPARATION OF DUTIES 

Control: The organization: 

a. Separates duties of individuals as necessary, to prevent malevolent activity without collusion; 

b. Documents separation of duties; and 

c. Implements separation of duties through assigned information system access authorizations. 

Supplemental Guidance: 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 

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programming, configuration management, quality assurance and testing, network security); (iii) 

security personnel who administer access control functions do not administer audit functions; and 

(iv) different administrator accounts for different roles. Access authorizations defined in this 

control are implemented by control AC-3. Related controls: AC-3. 

Control Enhancements: None.

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD AC-5 HIGH AC-5

AC-6 LEAST PRIVILEGE 

Control: The organization employs the concept of least privilege, allowing only authorized 

accesses for users (and processes acting on behalf of users) which are necessary to accomplish 

assigned tasks in accordance with organizational missions and business functions. 

Supplemental Guidance: The access authorizations defined in this control are largely implemented 

by control AC-3. 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 and assets, 

individuals, other organizations, and the Nation. Related controls: AC-2, AC-3, CM-7. 

Control Enhancements: 

(1) The organization explicitly authorizes access to [Assignment: organization-defined list of security 

functions (deployed in hardware, software, and firmware) and security-relevant information]. 

Enhancement Supplemental Guidance: Establishing system accounts, configuring access 

authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion 

detection parameters are examples of security functions. Explicitly authorized personnel 

include, for example, security administrators, system and network administrators, system 

security officers, system maintenance personnel, system programmers, and other privileged 

users. Related control: AC-17.

(2) The organization requires that users of information system accounts, or roles, with access to 

[Assignment: organization-defined list of security functions or security-relevant information], use 

non-privileged accounts, or roles, when accessing other system functions, and if feasible, audits 

any use of privileged accounts, or roles, for such functions. 

Enhancement Supplemental Guidance: This control enhancement is intended to limit exposure 

due to operating from within a privileged account or role. The inclusion of role is intended to 

address those situations where an access control policy such as Role Based Access Control 

(RBAC) is being implemented and where a change of role provides the same degree of 

assurance in the change of access authorizations for both the user and all processes acting on 

behalf of the user as would be provided by a change between a privileged and non-privileged 

account. Audit of privileged activity may require physical separation employing information 

systems on which the user does not have privileged access. 

(3) The organization authorizes network access to [Assignment: organization-defined privileged 

commands] only for compelling operational needs and documents the rationale for such access in 

the security plan for the information system. 

(4) The information system provides separate processing domains to enable finer-grained allocation 

of user privileges. 

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Enhancement Supplemental Guidance: Employing virtualization techniques to allow greater 

privilege within a virtual machine while restricting privilege to the underlying actual machine 

is an example of providing separate processing domains for finer-grained allocation of user 

privileges. 

(5) The organization limits authorization to super user accounts on the information system to 

designated system administration personnel. 

Enhancement Supplemental Guidance: Super user accounts are typically described as “root” or 

“administrator” for various types of commercial off-the-shelf operating systems. Configuring 

organizational information systems (e.g., notebook/laptop computers, servers, workstations) 

such that day-to-day users are not authorized access to super user accounts is an example of 

limiting system authorization. The organization may differentiate in the application of this 

control enhancement between allowed privileges for local information system accounts and 

for domain accounts provided the organization retains the ability to control the configuration 

of the system with regard to key security parameters and as otherwise necessary to 

sufficiently mitigate risk.

(6) The organization prohibits privileged access to the information system by non-organizational 

users. 

Enhancement Supplemental Guidance: A qualified organizational user may be advised by a nonorganizational user, if necessary. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD AC-6 (1) (2) HIGH AC-6 (1) (2)

AC-7 UNSUCCESSFUL LOGIN ATTEMPTS 

Control: The information system: 

a. Enforces a limit of [Assignment: organization-defined number] consecutive invalid access 

attempts by a user during a [Assignment: organization-defined time period]; and 

b. Automatically [Selection: locks the account/node for an [Assignment: organization-defined 

time period]; locks the account/node until released by an administrator; delays next login 

prompt according to [Assignment: organization-defined delay algorithm]] when the 

maximum number of unsuccessful attempts is exceeded. The control applies regardless of 

whether the login occurs via a local or network connection. 

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. If a delay algorithm is selected, the organization may 

chose to employ different algorithms for different information system components based on the 

capabilities of those components. Response to unsuccessful login attempts may be implemented 

at both the operating system and the application levels. This control applies to all accesses other 

than those accesses explicitly identified and documented by the organization in AC-14. 

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. 

(2) The information system provides additional protection for mobile devices accessed via login by 

purging information from the device after [Assignment: organization-defined number] consecutive, 

unsuccessful login attempts to the device. 

Enhancement Supplemental Guidance: This enhancement applies only to mobile devices for 

which a login occurs (e.g., personal digital assistants) and not to mobile devices accessed 

without a login such as removable media. In certain situations, this enhancement may not 

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apply to mobile devices if the information on the device is encrypted with sufficiently strong 

encryption mechanisms, making purging unnecessary. The login is to the mobile device, not 

to any one account on the device. Therefore, a successful login to any account on the mobile 

device resets the unsuccessful login count to zero. 

References: None.

Priority and Baseline Allocation:

P2 LOW AC-7 MOD AC-7 HIGH AC-7

AC-8 SYSTEM USE NOTIFICATION 

Control: The information system: 

a. Displays an approved system use notification message or banner before granting access to the 

system that provides privacy and security notices consistent with applicable federal laws, 

Executive Orders, directives, policies, regulations, standards, and guidance and states that: (i) 

users are accessing a U.S. Government information system; (ii) system usage may be 

monitored, recorded, and subject to audit; (iii) unauthorized use of the system is prohibited 

and subject to criminal and civil penalties; and (iv) use of the system indicates consent to 

monitoring and recording; 

b. Retains the notification message or banner on the screen until users take explicit actions to log 

on to or further access the information system; and 

c. For publicly accessible systems: (i) displays the system use information when appropriate, 

before granting further access; (ii) displays references, if any, to monitoring, recording, or 

auditing that are consistent with privacy accommodations for such systems that generally 

prohibit those activities; and (iii) includes in the notice given to public users of the 

information system, a description of the authorized uses of the system. 

Supplemental Guidance: System use notification messages can be implemented in the form of 

warning banners displayed when individuals log in to the information system. System use 

notification is intended only for information system access that includes an interactive login 

interface with a human user and is not intended to require notification when an interactive 

interface does not exist. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW AC-8 MOD AC-8 HIGH AC-8

AC-9 PREVIOUS LOGON (ACCESS) NOTIFICATION 

Control: The information system notifies the user, upon successful logon (access), of the date and 

time of the last logon (access). 

Supplemental Guidance: This control is intended to cover both traditional logons to information 

systems and general accesses to information systems that occur in other types of architectural 

configurations (e.g., service oriented architectures). 

Control Enhancements:

(1) The information system notifies the user, upon successful logon/access, of the number of 

unsuccessful logon/access attempts since the last successful logon/access. 

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(2) The information system notifies the user of the number of [Selection: successful logins/accesses; 

unsuccessful login/access attempts; both] during [Assignment: organization-defined time period]. 

(3) The information system notifies the user of [Assignment: organization-defined set of securityrelated changes to the user’s account] during [Assignment: organization-defined time period]. 

References: None.

Priority and Baseline Allocation:

P0 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 each system account 

to [Assignment: organization-defined number]. 

Supplemental Guidance: The organization may define the maximum number of concurrent sessions 

for an information system account globally, by account type, by account, or a combination. This 

control addresses concurrent sessions for a given information system account and does not address 

concurrent sessions by a single user via multiple system accounts. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P2 LOW Not Selected MOD Not Selected HIGH AC-10

AC-11 SESSION LOCK 

Control: The information system: 

a. Prevents further access to the system by initiating a session lock after [Assignment: 

organization-defined time period] of inactivity or upon receiving a request from a user; and 

b. Retains the session lock until the user reestablishes access using established identification and 

authentication procedures. 

Supplemental Guidance: A session lock is a temporary action taken when a user stops work and 

moves away from the immediate physical vicinity of the information system but does not want to 

log out because of the temporary nature of the absence. The session lock is implemented at the 

point where session activity can be determined. This is typically at the operating system-level, but 

may be at the application-level. A session lock is not a substitute for logging out of the 

information system, for example, if the organization requires users to log out at the end of the 

workday. 

Control Enhancements:

(1) The information system session lock mechanism, when activated on a device with a display 

screen, places a publically viewable pattern onto the associated display, hiding what was 

previously visible on the screen. 

References: OMB Memorandum 06-16.

Priority and Baseline Allocation:

P3 LOW Not Selected MOD AC-11 HIGH AC-11

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AC-12 SESSION TERMINATION 

[Withdrawn: Incorporated into SC-10]. 

AC-13 SUPERVISION AND REVIEW — ACCESS CONTROL 

[Withdrawn: Incorporated into AC-2 and AU-6]. 

AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION 

Control: The organization: 

a. Identifies specific user actions that can be performed on the information system without 

identification or authentication; and 

b. Documents and provides supporting rationale in the security plan for the information system, 

user actions not requiring identification and authentication. 

Supplemental Guidance: This control is intended for those specific instances where an organization 

determines that no identification and authentication is required; it is not, however, mandating that 

such instances exist in given information system. The organization may allow a limited number of 

user actions without identification and authentication (e.g., when individuals access public 

websites or other publicly accessible federal information systems such as http://www.usa.gov). 

Organizations also identify any actions that normally require identification or authentication but 

may under certain circumstances (e.g., emergencies), allow identification or authentication 

mechanisms to be bypassed. Such bypass may be, for example, via a software-readable physical 

switch that commands bypass of the login functionality and is protected from accidental or 

unmonitored use. This control does not apply to situations where identification and authentication 

have already occurred and are not being repeated, but rather to situations where identification 

and/or authentication have not yet occurred. Related control: CP-2, IA-2. 

Control Enhancements: 

(1) The organization permits actions to be performed without identification and authentication only to 

the extent necessary to accomplish mission/business objectives. 

References: None.

Priority and Baseline Allocation:

P1 LOW AC-14 MOD AC-14 (1) HIGH AC-14 (1)

AC-15 AUTOMATED MARKING 

[Withdrawn: Incorporated into MP-3].

AC-16 SECURITY ATTRIBUTES 

Control: The information system supports and maintains the binding of [Assignment: organizationdefined security attributes] to information in storage, in process, and in transmission. 

Supplemental Guidance: Security attributes are abstractions representing the basic properties or 

characteristics of an entity (e.g., subjects and objects) with respect to safeguarding information. 

These attributes are typically associated with internal data structures (e.g., records, buffers, files) 

within the information system and are used to enable the implementation of access control and 

flow control policies, reflect special dissemination, handling or distribution instructions, or 

support other aspects of the information security policy. The term security label is often used to 

associate a set of security attributes with a specific information object as part of the data structure 

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for that object (e.g., user access privileges, nationality, affiliation as contractor). Related controls: 

AC-3, AC-4, SC-16, MP-3. 

Control Enhancements:

(1) The information system dynamically reconfigures security attributes in accordance with an 

identified security policy as information is created and combined. 

(2) The information system allows authorized entities to change security attributes. 

(3) The information system maintains the binding of security attributes to information with sufficient 

assurance that the information--attribute association can be used as the basis for automated policy 

actions. 

Enhanced Supplemental Guidance: Examples of automated policy actions include automated 

access control decisions (e.g., Mandatory Access Control decisions), or decisions to release 

(or not release) information (e.g., information flows via cross domain systems). 

(4) The information system allows authorized users to associate security attributes with information. 

Enhanced Supplemental Guidance: The support provided by the information system can vary 

from prompting users to select security attributes to be associated with specific information 

objects, to ensuring that the combination of attributes selected is valid. 

(5) The information system displays security attributes in human-readable form on each object output 

from the system to system output devices to identify [Assignment: organization-identified set of 

special dissemination, handling, or distribution instructions] using [Assignment: organizationidentified human readable, standard naming conventions]. 

Enhancement Supplemental Guidance: Objects output from the information system include, for 

example, pages, screens, or equivalent. Output devices include, for example, printers and 

video displays on computer terminals, monitors, screens on notebook/laptop computers and 

personal digital assistants.

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

AC-17 REMOTE ACCESS 

Control: The organization: 

a. Documents allowed methods of remote access to the information system; 

b. Establishes usage restrictions and implementation guidance for each allowed remote access 

method; 

c. Monitors for unauthorized remote access to the information system; 

d. Authorizes remote access to the information system prior to connection; and 

e. Enforces requirements for remote connections to the information system. 

Supplemental Guidance: This control requires explicit authorization prior to allowing remote access 

to an information system without specifying a specific format for that authorization. For example, 

while the organization may deem it appropriate to use a system interconnection agreement to 

authorize a given remote access, such agreements are not required by this control. Remote access 

is any access to an organizational information system by a user (or process acting on behalf of a 

user) communicating through an external network (e.g., the Internet). Examples of remote access 

methods include dial-up, broadband, and wireless (see AC-18 for wireless access). A virtual 

private network when adequately provisioned with appropriate security controls, is considered an 

internal network (i.e., the organization establishes a network connection between organizationcontrolled endpoints in a manner that does not require the organization to depend on external 

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networks to protect the confidentiality or integrity of information transmitted across the network). 

Remote access controls are applicable to information systems other than public web servers or 

systems specifically designed for public access. Enforcing access restrictions associated with 

remote connections is accomplished by control AC-3. Related controls: AC-3, AC-18, AC-20, 

IA-2, IA-3, IA-8, MA-4. 

Control Enhancements: 

(1) The organization employs automated mechanisms to facilitate the monitoring and control of 

remote access methods. 

Enhancement Supplemental Guidance: Automated monitoring of remote access sessions allows 

organizations to audit user activities on a variety of information system components (e.g., 

servers, workstations, notebook/laptop computers) and to ensure compliance with remote 

access policy.

(2) The organization uses cryptography to protect the confidentiality and integrity of remote access 

sessions. 

Enhancement Supplemental Guidance: The encryption strength of mechanism is selected based 

on the security categorization of the information. Related controls: SC-8, SC-9, SC-13. 

(3) The information system routes all remote accesses through a limited number of managed access 

control points. 

Enhancement Supplemental Guidance: Related control: SC-7.

(4) The organization authorizes the execution of privileged commands and access to security-relevant 

information via remote access only for compelling operational needs and documents the rationale 

for such access in the security plan for the information system. 

Enhancement Supplemental Guidance: Related control: AC-6.

(5) The organization monitors for unauthorized remote connections to the information system 

[Assignment: organization-defined frequency], and takes appropriate action if an unauthorized 

connection is discovered. 

(6) The organization ensures that users protect information about remote access mechanisms from 

unauthorized use and disclosure. 

(7) The organization ensures that remote sessions for accessing [Assignment: organization-defined 

list of security functions and security-relevant information] employ [Assignment: organizationdefined additional security measures] and are audited. 

Enhancement Supplemental Guidance: Additional security measures are typically above and 

beyond standard bulk or session layer encryption (e.g., Secure Shell [SSH], Virtual Private 

Networking [VPN] with blocking mode enabled). Related controls: SC-8, SC-9. 

(8) The organization disables [Assignment: organization-defined networking protocols within the 

information system deemed to be nonsecure] except for explicitly identified components in 

support of specific operational requirements. 

Enhancement Supplemental Guidance: The organization can either make a determination of the 

relative security of the networking protocol or base the security decision on the assessment of 

other entities. Bluetooth and peer-to-peer networking are examples of less than secure 

networking protocols. 

References: NIST Special Publications 800-46, 800-77, 800-113, 800-114, 800-121.

Priority and Baseline Allocation: 

P1 LOW AC-17 MOD AC-17 (1) (2) (3) (4) (5) (7) (8) HIGH AC-17 (1) (2) (3) (4) (5) (7) (8)

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AC-18 WIRELESS ACCESS 

Control: The organization: 

a. Establishes usage restrictions and implementation guidance for wireless access; 

b. Monitors for unauthorized wireless access to the information system; 

c. Authorizes wireless access to the information system prior to connection; and 

d. Enforces requirements for wireless connections to the information system. 

Supplemental Guidance: Wireless technologies include, but are not limited to, microwave, satellite, 

packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication 

protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication. 

In certain situations, wireless signals may radiate beyond the confines and control of organizationcontrolled facilities. Related controls: AC-3, IA-2, IA-3, IA-8. 

Control Enhancements:

(1) The information system protects wireless access to the system using authentication and 

encryption. 

Enhancement Supplemental Guidance: Authentication applies to user, device, or both as 

necessary. Related control: SC-13.

(2) The organization monitors for unauthorized wireless connections to the information system, 

including scanning for unauthorized wireless access points [Assignment: organization-defined 

frequency], and takes appropriate action if an unauthorized connection is discovered. 

Enhancement Supplemental Guidance: Organizations proactively search for unauthorized 

wireless connections including the conduct of thorough scans for unauthorized wireless access 

points. The scan is not necessarily limited to only those areas within the facility containing 

the information systems, yet is conducted outside of those areas only as needed to verify that 

unauthorized wireless access points are not connected to the system. 

(3) The organization disables, when not intended for use, wireless networking capabilities internally 

embedded within information system components prior to issuance and deployment. 

(4) The organization does not allow users to independently configure wireless networking capabilities. 

(5) The organization confines wireless communications to organization-controlled boundaries. 

Enhancement Supplemental Guidance: Actions that may be taken by the organization to confine 

wireless communications to organization-controlled boundaries include: (i) reducing the 

power of the wireless transmission such that it cannot transit the physical perimeter of the 

organization; (ii) employing measures such as TEMPEST to control wireless emanations; and 

(iii) configuring the wireless access such that it is point to point in nature.

References: NIST Special Publications 800-48, 800-94, 800-97.

Priority and Baseline Allocation:

P1 LOW AC-18 MOD AC-18 (1) HIGH AC-18 (1) (2) (4) (5)

AC-19 ACCESS CONTROL FOR MOBILE DEVICES 

Control: The organization: 

a. Establishes usage restrictions and implementation guidance for organization-controlled 

mobile devices; 

b. Authorizes connection of mobile devices meeting organizational usage restrictions and 

implementation guidance to organizational information systems; 

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c. Monitors for unauthorized connections of mobile devices to organizational information 

systems; 

d. Enforces requirements for the connection of mobile devices to organizational information 

systems; 

e. Disables information system functionality that provides the capability for automatic execution 

of code on mobile devices without user direction; 

f. Issues specially configured mobile devices to individuals traveling to locations that the 

organization deems to be of significant risk in accordance with organizational policies and 

procedures; and 

g. Applies [Assignment: organization-defined inspection and preventative measures] to mobile 

devices returning from locations that the organization deems to be of significant risk in 

accordance with organizational policies and procedures. 

Supplemental Guidance: Mobile devices include portable storage media (e.g., USB memory sticks, 

external hard disk drives) and portable computing and communications devices with information 

storage capability (e.g., notebook/laptop computers, personal digital assistants, cellular telephones, 

digital cameras, and audio recording devices). Organization-controlled mobile devices include 

those devices for which the organization has the authority to specify and the ability to enforce 

specific security requirements. Usage restrictions and implementation guidance related to mobile 

devices include, for example, configuration management, device identification and authentication, 

implementation of mandatory protective software (e.g., malicious code detection, firewall), 

scanning devices for malicious code, updating virus protection software, scanning for critical 

software updates and patches, conducting primary operating system (and possibly other resident 

software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). 

Examples of information system functionality that provide the capability for automatic execution 

of code are AutoRun and AutoPlay.

Organizational policies and procedures for mobile devices used by individuals departing on and 

returning from travel include, for example, determining which locations are of concern, defining 

required configurations for the devices, ensuring that the devices are configured as intended before 

travel is initiated, and applying specific measures to the device after travel is completed. Specially 

configured mobile devices include, for example, computers with sanitized hard drives, limited 

applications, and additional hardening (e.g., more stringent configuration settings). Specified 

measures applied to mobile devices upon return from travel include, for example, examining the 

device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting 

information residing on mobile devices is covered in the media protection family. Related 

controls: MP-4, MP-5. 

Control Enhancements:

(1) The organization restricts the use of writable, removable media in organizational information 

systems. 

(2) The organization prohibits the use of personally owned, removable media in organizational 

information systems. 

(3) The organization prohibits the use of removable media in organizational information systems when 

the media has no identifiable owner. 

Enhancement Supplemental Guidance: An identifiable owner (e.g., individual, organization, or 

project) for removable media helps to reduce the risk of using such technology by assigning 

responsibility and accountability for addressing known vulnerabilities in the media (e.g., 

malicious code insertion). 

(4) The organization: 

(a) Prohibits the use of unclassified mobile devices in facilities containing information systems 

processing, storing, or transmitting classified information unless specifically permitted by the 

appropriate authorizing official(s); and 

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(b) Enforces the following restrictions on individuals permitted to use mobile devices in facilities 

containing information systems processing, storing, or transmitting classified information: 

- Connection of unclassified mobile devices to classified information systems is 

prohibited; 

- Connection of unclassified mobile devices to unclassified information systems requires 

approval from the appropriate authorizing official(s); 

- Use of internal or external modems or wireless interfaces within the mobile devices is 

prohibited; and 

- Mobile devices and the information stored on those devices are subject to random 

reviews/inspections by [Assignment: organization-defined security officials], and if 

classified information is found, the incident handling policy is followed. 

References: NIST Special Publications 800-114, 800-124.

Priority and Baseline Allocation:

P1 LOW AC-19 MOD AC-19 (1) (2) (3) HIGH AC-19 (1) (2) (3)

AC-20 USE OF EXTERNAL INFORMATION SYSTEMS 

Control: The organization establishes terms and conditions, consistent with any trust relationships 

established with other organizations owning, operating, and/or maintaining external information 

systems, allowing authorized individuals to: 

a. Access the information system from the external information systems; and 

b. Process, store, and/or transmit organization-controlled information using the external 

information systems. 

Supplemental Guidance: External information systems are information systems or components of 

information systems that are outside of the authorization boundary established by the organization 

and for which the organization typically has no direct supervision and authority over the 

application of required security controls or the assessment of security control effectiveness. 

External information systems include, but are not limited to: (i) personally owned information 

systems (e.g., computers, cellular telephones, or personal digital assistants); (ii) privately owned 

computing and communications devices resident in commercial or public facilities (e.g., hotels, 

convention centers, or airports); (iii) information systems owned or controlled by nonfederal 

governmental organizations; and (iv) federal information systems that are not owned by, operated 

by, or under the direct supervision and authority of the organization. For some external systems, 

in particular those systems operated by other federal agencies, including organizations subordinate 

to those agencies, the trust relationships that have been established between those organizations 

and the originating organization may be such, that no explicit terms and conditions are required. 

In effect, the information systems of these organizations would not be considered external. These 

situations typically occur when, for example, there is some pre-existing sharing or trust agreement 

(either implicit or explicit) established between federal agencies and/or organizations subordinate 

to those agencies, or such trust agreements are specified by applicable laws, Executive Orders, 

directives, or policies. Authorized individuals include organizational personnel, contractors, or 

any other individuals with authorized access to the organizational information system and over 

which the organization has the authority to impose rules of behavior with regard to system access. 

The restrictions that an organization imposes on authorized individuals need not be uniform, as 

those restrictions are likely to vary depending upon the trust relationships between organizations. 

Thus, an organization might impose more stringent security restrictions on a contractor than on a 

state, local, or tribal government. 

This control does not apply to the use of external information systems to access public interfaces 

to organizational information systems and information (e.g., individuals accessing federal 

information through www.usa.gov). The organization establishes terms and conditions for the use 

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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 security categorization of information that can be processed, stored, and 

transmitted on the external information system. This control defines access authorizations 

enforced by AC-3, rules of behavior requirements enforced by PL-4, and session establishment 

rules enforced by AC-17. Related controls: AC-3, AC-17, PL-4. 

Control Enhancements:

(1) The organization permits authorized individuals to use an external information system to access 

the information system or to process, store, or transmit organization-controlled information only 

when the organization: 

(a) Can verify the implementation of required security controls on the external system as 

specified in the organization’s information security policy and security plan; or 

(b) Has approved information system connection or processing agreements with the 

organizational entity hosting the external information system. 

(2) The organization limits the use of organization-controlled portable storage media by authorized 

individuals on external information systems. 

Enhancement Supplemental Guidance: Limits on the use of organization-controlled portable 

storage media in external information systems can include, for example, complete prohibition 

of the use of such devices or restrictions on how the devices may be used and under what 

conditions the devices may be used.

References: FIPS Publication 199.

Priority and Baseline Allocation:

P1 LOW AC-20 MOD AC-20 (1) (2) HIGH AC-20 (1) (2)

AC-21 USER-BASED COLLABORATION AND INFORMATION SHARING 

Control: The organization: 

a. Facilitates information sharing by enabling authorized users to determine whether access 

authorizations assigned to the sharing partner match the access restrictions on the information 

for [Assignment: organization-defined information sharing circumstances where user 

discretion is required]; and 

b. Employs [Assignment: list of organization-defined information sharing circumstances and 

automated mechanisms or manual processes required] to assist users in making information 

sharing/collaboration decisions. 

Supplemental Guidance: The control applies to information that may be restricted in some manner 

(e.g., privileged medical, contract-sensitive, proprietary, personally identifiable information, 

special access programs/compartments) based on some formal or administrative determination. 

Depending on the information-sharing circumstance, the sharing partner may be defined at the 

individual, group, or organization level and information may be defined by specific content, type, 

or security categorization. Related control: AC-3. 

 Control Enhancements: 

(1) The information system employs automated mechanisms to enable authorized users to make 

information-sharing decisions based on access authorizations of sharing partners and access 

restrictions on information to be shared. 

References: None. 

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Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

AC-22 PUBLICLY ACCESSIBLE CONTENT 

Control: The organization: 

a. Designates individuals authorized to post information onto an organizational information 

system that is publicly accessible; 

b. Trains authorized individuals to ensure that publicly accessible information does not contain 

nonpublic information; 

c. Reviews the proposed content of publicly accessible information for nonpublic information 

prior to posting onto the organizational information system; 

d. Reviews the content on the publicly accessible organizational information system for 

nonpublic information [Assignment: organization-defined frequency]; and 

e. Removes nonpublic information from the publicly accessible organizational information 

system, if discovered. 

Supplemental Guidance: Nonpublic information is any information for which the general public is 

not authorized access in accordance with federal laws, Executive Orders, directives, policies, 

regulations, standards, or guidance. Information protected under the Privacy Act and vendor 

proprietary information are examples of nonpublic information. This control addresses posting 

information on an organizational information system that is accessible to the general public, 

typically without identification or authentication. The posting of information on non-organization 

information systems is covered by appropriate organizational policy. Related controls: AC-3, AU13. 

Control Enhancements: None. 

References: None. 

Priority and Baseline Allocation:

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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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented security awareness and training policy that addresses purpose, scope, 

roles, responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

b. Formal, documented procedures to facilitate the implementation of the security awareness and 

training policy and associated security awareness and training controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the security awareness and training family. The policy and procedures are consistent with 

applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Existing organizational policies and procedures may make the need for additional 

specific policies and procedures unnecessary. 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. The organizational risk management strategy is a 

key factor in the development of the security awareness and training policy. Related control: PM9. 

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-16, 800-50, 800-100.

Priority and Baseline Allocation:

P1 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, senior executives, and contractors) as part of initial training for new 

users, when required by system changes, and [Assignment: organization-defined frequency] 

thereafter. 

Supplemental Guidance: The organization determines the appropriate content of security awareness 

training and security awareness techniques based on the specific requirements of the organization 

and the information systems to which personnel have authorized access. The content includes a 

basic understanding of the need for information security and user actions to maintain security and 

to respond to suspected security incidents. The content also addresses awareness of the need for 

operations security as it relates to the organization’s information security program. Security 

awareness techniques can include, for example, displaying posters, offering supplies inscribed 

with security reminders, generating email advisories/notices from senior organizational officials, 

displaying logon screen messages, and conducting information security awareness events. 

Control Enhancements:

(1) The organization includes practical exercises in security awareness training that simulate actual 

cyber attacks. 

Enhancement Supplemental Guidance: Practical exercises may include, for example, no-notice 

social engineering attempts to collect information, gain unauthorized access, or simulate the 

adverse impact of opening malicious email attachments or invoking malicious web links. 

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References: C.F.R. Part 5 Subpart C (5 C.F.R 930.301); NIST Special Publication 800-50.

Priority and Baseline Allocation: 

P1 LOW AT-2 MOD AT-2 HIGH AT-2

AT-3 SECURITY TRAINING 

Control: The organization provides role-based security-related 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 assigned roles and responsibilities and the specific requirements of the organization and 

the information systems to which personnel have authorized access. In addition, the organization 

provides information system managers, system and network administrators, personnel performing 

independent verification and validation activities, security control assessors, and other personnel 

having access to system-level software, adequate security-related technical training to perform 

their assigned duties. Organizational security training addresses management, operational, and 

technical roles and responsibilities covering physical, personnel, and technical safeguards and 

countermeasures. The organization also provides the training necessary for these individuals to 

carry out their responsibilities related to operations security within the context of the 

organization’s information security program. Related controls: AT-2, SA-3. 

Control Enhancements:

(1) The organization provides employees with initial and [Assignment: organization-defined 

frequency] training in the employment and operation of environmental controls. 

Enhancement Supplemental Guidance: Environmental controls include, for example, fire 

suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, 

fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the 

facility.

(2) The organization provides employees with initial and [Assignment: organization-defined 

frequency] training in the employment and operation of physical security controls. 

Enhancement Supplemental Guidance: Physical security controls include, for example, physical 

access control devices, physical intrusion alarms, monitoring and surveillance equipment, and 

security guards (deployment and operating procedures). 

References: C.F.R. Part 5 Subpart C (5 C.F.R 930.301); NIST Special Publications 800-16, 800-

50.

Priority and Baseline Allocation:

P1 LOW AT-3 MOD AT-3 HIGH AT-3

AT-4 SECURITY TRAINING RECORDS 

Control: The organization: 

a. Documents and monitors individual information system security training activities including 

basic security awareness training and specific information system security training; and 

b. Retains individual training records for [Assignment: organization-defined time period]. 

Supplemental Guidance: While an organization may deem that organizationally mandated individual 

training programs and the development of individual training plans are necessary, this control does 

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APPENDIX F-AT PAGE F-23

not mandate either. Documentation for specialized training may be maintained by individual 

supervisors at the option of the organization. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P3 LOW AT-4 MOD AT-4 HIGH AT-4

AT-5 CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS 

Control: The organization establishes and institutionalizes contact with selected groups and 

associations within the security community: 

- To facilitate ongoing security education and training for organizational personnel; 

- To stay up to date with the latest recommended security practices, techniques, and 

technologies; and 

- To share current security-related information including threats, vulnerabilities, and incidents. 

Supplemental Guidance: Ongoing contact with security groups and associations is of paramount 

importance in an environment of rapid technology changes and dynamic threats. Security groups 

and associations can include, for example, special interest groups, specialized forums, professional 

associations, news groups, and/or peer groups of security professionals in similar organizations. 

The groups and associations selected are consistent with the organization’s mission/business 

requirements. Information-sharing activities regarding threats, vulnerabilities, and incidents 

related to information systems are consistent with applicable federal laws, Executive Orders, 

directives, policies, regulations, standards, and guidance. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

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FAMILY: AUDIT AND ACCOUNTABILITY CLASS: TECHNICAL 

AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented audit and accountability policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the audit and 

accountability policy and associated audit and accountability controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the audit and accountability family. The policy and procedures are consistent with applicable 

federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The organizational risk management strategy is a key factor in the development of the 

audit and accountability policy. Related control: PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100.

Priority and Baseline Allocation:

P1 LOW AU-1 MOD AU-1 HIGH AU-1

AU-2 AUDITABLE EVENTS 

Control: The organization: 

a. Determines, based on a risk assessment and mission/business needs, that the information 

system must be capable of auditing the following events: [Assignment: organization-defined 

list of auditable events]; 

b. Coordinates the security audit function with other organizational entities requiring auditrelated information to enhance mutual support and to help guide the selection of auditable 

events; 

c. Provides a rationale for why the list of auditable events are deemed to be adequate to support 

after-the-fact investigations of security incidents; and 

d. Determines, based on current threat information and ongoing assessment of risk, that the 

following events are to be audited within the information system: [Assignment: organizationdefined subset of the auditable events defined in AU-2 a. to be audited along with the 

frequency of (or situation requiring) auditing for each identified event]. 

Supplemental Guidance: The purpose of this control is for the organization to identify events which 

need to be auditable as significant and relevant to the security of the information system; giving an 

overall system requirement in order to meet ongoing and specific audit needs. To balance auditing 

requirements with other information system needs, this control also requires identifying that subset 

of auditable events that are to be audited at a given point in time. For example, the organization 

may determine that the information system must have the capability to log every file access both 

successful and unsuccessful, but not activate that capability except for specific circumstances due 

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to the extreme burden on system performance. In addition, 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. Related control: AU-3. 

Control Enhancements: 

(1) [Withdrawn: Incorporated into AU-12]. 

(2) [Withdrawn: Incorporated into AU-12]. 

(3) The organization reviews and updates the list of auditable events [Assignment: organizationdefined frequency]. 

Enhancement Supplemental Guidance: The list of auditable events is defined in AU-2.

(4) The organization includes execution of privileged functions in the list of events to be audited by 

the information system. 

References: NIST Special Publication 800-92; Web: CSRC.NIST.GOV/PCIG/CIG.HTML.

Priority and Baseline Allocation:

P1 LOW AU-2 MOD AU-2 (3) (4) HIGH AU-2 (3) (4)

AU-3 CONTENT OF AUDIT RECORDS 

Control: The information system produces audit records that contain sufficient information to, at a 

minimum, establish what type of event occurred, when (date and time) the event occurred, where 

the event occurred, the source of the event, the outcome (success or failure) of the event, and the 

identity of any user/subject associated with the event. 

Supplemental Guidance: Audit record content that may be necessary to satisfy the requirement of 

this control, includes, for example, time stamps, source and destination addresses, user/process 

identifiers, event descriptions, success/fail indications, filenames involved, and access control or 

flow control rules invoked. Related controls: AU-2, AU-8. 

Control Enhancements: 

(1) The information system includes [Assignment: organization-defined additional, more detailed 

information] in the audit records for audit events identified by type, location, or subject. 

Enhancement Supplemental Guidance: An example of detailed information that the organization 

may require in audit records is full-text recording of privileged commands or the individual 

identities of group account users.

(2) The organization centrally manages the content of audit records generated by [Assignment: 

organization-defined information system components]. 

References: None.

Priority and Baseline Allocation:

P1 LOW AU-3 MOD AU-3 (1) HIGH AU-3 (1) (2)

AU-4 AUDIT STORAGE CAPACITY 

Control: The organization allocates audit record storage capacity and configures auditing to reduce 

the likelihood of such capacity being exceeded.

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Supplemental Guidance: The organization considers the types of auditing to be performed and the 

audit processing requirements when allocating audit storage capacity. Related controls: AU-2, 

AU-5, AU-6, AU-7, SI-4. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW AU-4 MOD AU-4 HIGH AU-4

AU-5 RESPONSE TO AUDIT PROCESSING FAILURES 

Control: The information system: 

a. Alerts designated organizational officials in the event of an audit processing failure; and 

b. 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 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]. 

(3) The information system enforces configurable traffic volume thresholds representing auditing 

capacity for network traffic and [Selection: rejects or delays] network traffic above those 

thresholds. 

(4) The information system invokes a system shutdown in the event of an audit failure, unless an 

alternative audit capability exists. 

References: None. 

Priority and Baseline Allocation:

P1 LOW AU-5 MOD AU-5 HIGH AU-5 (1) (2)

AU-6 AUDIT REVIEW, ANALYSIS, AND REPORTING 

Control: The organization: 

a. Reviews and analyzes information system audit records [Assignment: organization-defined 

frequency] for indications of inappropriate or unusual activity, and reports findings to 

designated organizational officials; and 

b. Adjusts the level of audit review, analysis, and reporting within the information system when 

there is a change in risk to organizational operations, organizational assets, individuals, other 

organizations, or the Nation based on law enforcement information, intelligence information, 

or other credible sources of information. 

Supplemental Guidance: Related control: AU-7. 

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Control Enhancements: 

(1) The information system integrates audit review, analysis, and reporting processes to support 

organizational processes for investigation and response to suspicious activities. 

(2) [Withdrawn: Incorporated into SI-4]. 

(3) The organization analyzes and correlates audit records across different repositories to gain 

organization-wide situational awareness. 

(4) The information system centralizes the review and analysis of audit records from multiple 

components within the system. 

Enhancement Supplemental Guidance: An example of an automated mechanism for centralized 

review and analysis is a Security Information Management (SIM) product. Related control: 

AU-2. 

(5) The organization integrates analysis of audit records with analysis of vulnerability scanning 

information, performance data, and network monitoring information to further enhance the ability 

to identify inappropriate or unusual activity. 

Enhancement Supplemental Guidance: A Security Event/Information Management system tool 

can facilitate audit record aggregation and consolidation from multiple information system 

components as well as audit record correlation and analysis. The use of standardized audit 

record analysis scripts developed by the organization (with localized script adjustments, as 

necessary), provides a more cost-effective approach for analyzing audit record information 

collected. The correlation of audit record information with vulnerability scanning information 

is important in determining the veracity of the vulnerability scans and correlating attack 

detection events with scanning results. Related control: AU-7, RA-5, SI-4. 

(6) The organization correlates information from audit records with information obtained from 

monitoring physical access to further enhance the ability to identify suspicious, inappropriate, 

unusual, or malevolent activity. 

Enhancement Supplemental Guidance: Related control: PE-6. 

(7) The organization specifies the permitted actions for each authorized information system process, 

role, and/or user in the audit and accountability policy. 

Enhancement Supplemental Guidance: Permitted actions for information system processes, roles, 

and/or users associated with the review, analysis, and reporting of audit records include, for 

example, read, write, append, and delete.

(8) 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]. 

(9) The organization performs, in a physically dedicated information system, full-text analysis of 

privileged functions executed. 

References: None.

Priority and Baseline Allocation:

P1 LOW AU-6 MOD AU-6 HIGH AU-6 (1)

AU-7 AUDIT REDUCTION AND REPORT GENERATION 

Control: The information system provides an audit reduction and report generation capability. 

Supplemental Guidance: An audit reduction and report generation capability provides support for 

near real-time audit review, analysis, and reporting requirements described in AU-6 and after-thefact investigations of security incidents. Audit reduction and reporting tools do not alter original 

audit records. Related control: AU-6. 

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Control Enhancements: 

(1) The information system provides the capability to automatically process audit records for events 

of interest based on selectable event criteria. 

References: None.

Priority and Baseline Allocation:

P2 LOW Not Selected MOD AU-7 (1) HIGH AU-7 (1)

AU-8 TIME STAMPS 

Control: The information system uses internal system clocks to generate time stamps for audit 

records. 

Supplemental Guidance: Time stamps generated by the information system include both date and 

time. The time may be expressed in Coordinated Universal Time (UTC), a modern continuation 

of Greenwich Mean Time (GMT), or local time with an offset from UTC. Related control: AU-3. 

Control Enhancements: 

(1) The information system synchronizes internal information system clocks [Assignment: 

organization-defined frequency] with [Assignment: organization-defined authoritative time source]. 

References: None.

Priority and Baseline Allocation:

P1 LOW AU-8 MOD AU-8 (1) HIGH AU-8 (1)

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. Related 

controls: AC-3, AC-6. 

Control Enhancements: 

(1) The information system produces audit records on hardware-enforced, write-once media. 

(2) The information system backs up audit records [Assignment: organization-defined frequency] onto 

a different system or media than the system being audited. 

(3) The information system uses cryptographic mechanisms to protect the integrity of audit 

information and audit tools. 

Enhancement Supplemental Guidance: An example of a cryptographic mechanism for the 

protection of integrity is the computation and application of a cryptographic-signed hash 

using asymmetric cryptography, protecting the confidentiality of the key used to generate the 

hash, and using the public key to verify the hash information.

(4) The organization: 

(a) Authorizes access to management of audit functionality to only a limited subset of privileged 

users; and 

(b) Protects the audit records of non-local accesses to privileged accounts and the execution of 

privileged functions. 

Enhancement Supplemental Guidance: Auditing may not be reliable when performed by the 

information system to which the user being audited has privileged access. The privileged user 

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may inhibit auditing or modify audit records. This control enhancement helps mitigate this 

risk by requiring that privileged access be further defined between audit-related privileges and 

other privileges, thus, limiting the users with audit-related privileges. Reducing the risk of 

audit compromises by privileged users can also be achieved, for example, by performing audit 

activity on a separate information system or by using storage media that cannot be modified 

(e.g., write-once recording devices).

References: None.

Priority and Baseline Allocation:

P1 LOW AU-9 MOD AU-9 HIGH AU-9

AU-10 NON-REPUDIATION 

Control: The information system protects against an individual falsely denying having performed 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 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). 

Control Enhancements:

(1) The information system associates the identity of the information producer with the information. 

Enhancement Supplemental Guidance: This control enhancement supports audit requirements 

that provide appropriate organizational officials the means to identify who produced specific 

information in the event of an information transfer. The nature and strength of the binding 

between the information producer and the information are determined and approved by the 

appropriate organizational officials based on the security categorization of the information 

and relevant risk factors.

(2) The information system validates the binding of the information producer’s identity to the 

information. 

Enhancement Supplemental Guidance: This control enhancement is intended to mitigate the risk 

that information is modified between production and review. The validation of bindings can 

be achieved, for example, by the use of cryptographic checksums.

(3) The information system maintains reviewer/releaser identity and credentials within the established 

chain of custody for all information reviewed or released. 

Enhancement Supplemental Guidance: If the reviewer is a human or if the review function is 

automated but separate from the release/transfer function, the information system associates 

the identity of the reviewer of the information to be released with the information and the 

information label. In the case of human reviews, this control enhancement provides 

appropriate organizational officials the means to identify who reviewed and released the 

information. In the case of automated reviews, this control enhancement helps ensure that 

only approved review functions are employed. 

(4) The information system validates the binding of the reviewer’s identity to the information at the 

transfer/release point prior to release/transfer from one security domain to another security 

domain. 

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Enhancement Supplemental Guidance: This control enhancement is intended to mitigate the risk 

that information is modified between review and transfer/release.

(5) The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement 

digital signatures. 

Enhancement Supplemental Guidance: Related control: SC-13.

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD Not Selected HIGH AU-10

AU-11 AUDIT RECORD RETENTION 

Control: The organization retains audit records for [Assignment: organization-defined time period 

consistent with records retention policy] 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. The National Archives and Records Administration (NARA) 

General Records Schedules (GRS) provide federal policy on record retention. 

Control Enhancements: None. 

References: None. 

Priority and Baseline Allocation:

P3 LOW AU-11 MOD AU-11 HIGH AU-11

AU-12 AUDIT GENERATION 

Control: The information system: 

a. Provides audit record generation capability for the list of auditable events defined in AU-2 at 

[Assignment: organization-defined information system components]; 

b. Allows designated organizational personnel to select which auditable events are to be audited 

by specific components of the system; and 

c. Generates audit records for the list of audited events defined in AU-2 with the content as 

defined in AU-3. 

Supplemental Guidance: Audits records can be generated from various components within the 

information system. The list of audited events is the set of events for which audits are to be 

generated. This set of events is typically a subset of the list of all events for which the system is 

capable of generating audit records (i.e., auditable events). Related controls: AU-2, AU-3. 

Control Enhancements:

(1) The information system compiles audit records from [Assignment: organization-defined 

information system components] into a system-wide (logical or physical) audit trail that is timecorrelated to within [Assignment: organization-defined level of tolerance for relationship between 

time stamps of individual records in the audit trail].

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APPENDIX F-AU PAGE F-31

Enhancement Supplemental Guidance: The audit trail is time-correlated if the time stamp in the 

individual audit records can be reliably related to the time stamp in other audit records to 

achieve a time ordering of the records within the organization-defined tolerance. 

(2) The information system produces a system-wide (logical or physical) audit trail composed of audit 

records in a standardized format. 

Enhancement Supplemental Guidance: Audit information normalized to a common standard 

promotes interoperability and exchange of such information between dissimilar devices and 

information systems. This facilitates an audit system that produces event information that can 

be more readily analyzed and correlated. System log records and audit records compliant 

with the Common Event Expression (CEE) are examples of standard formats for audit 

records. If individual logging mechanisms within the information system do not conform to a 

standardized format, the system may convert individual audit records into a standardized 

format when compiling the system-wide audit trail.

References: None. 

Priority and Baseline Allocation:

P1 LOW AU-12 MOD AU-12 HIGH AC-12 (1)

AU-13 MONITORING FOR INFORMATION DISCLOSURE 

Control: The organization monitors open source information for evidence of unauthorized 

exfiltration or disclosure of organizational information [Assignment: organization-defined 

frequency]. 

Supplemental Guidance: None. 

Control Enhancements: None. 

References: None. 

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

AU-14 SESSION AUDIT 

Control: The information system provides the capability to: 

a. Capture/record and log all content related to a user session; and 

b. Remotely view/hear all content related to an established user session in real time. 

Supplemental Guidance: Session auditing activities are developed, integrated, and used in 

consultation with legal counsel in accordance with applicable federal laws, Executive Orders, 

directives, policies, or regulations. 

Control Enhancements: 

(1) The information system initiates session audits at system start-up. 

References: None. 

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

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FAMILY: SECURITY ASSESSMENT AND AUTHORIZATION CLASS: MANAGEMENT

CA-1 SECURITY ASSESSMENT AND AUTHORIZATION POLICIES AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. Formal, documented security assessment and authorization policies that address purpose, 

scope, roles, responsibilities, management commitment, coordination among organizational 

entities, and compliance; and 

b. Formal, documented procedures to facilitate the implementation of the security assessment 

and authorization policies and associated security assessment and authorization controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the security assessment and authorization family. The policies and procedures are consistent 

with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Existing organizational policies and procedures may make the need for additional 

specific policies and procedures unnecessary. The security assessment/authorization policies can 

be included as part of the general information security policy for the organization. Security 

assessment/authorization procedures can be developed for the security program in general and for 

a particular information system, when required. The organizational risk management strategy is a 

key factor in the development of the security assessment and authorization policy. Related 

control: PM-9. 

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-37, 800-53A, 800-100. 

Priority and Baseline Allocation:

P1 LOW CA-1 MOD CA-1 HIGH CA-1

CA-2 SECURITY ASSESSMENTS 

Control: The organization: 

a. Develops a security assessment plan that describes the scope of the assessment including: 

- Security controls and control enhancements under assessment; 

- Assessment procedures to be used to determine security control effectiveness; and 

- Assessment environment, assessment team, and assessment roles and responsibilities; 

b. Assesses the security controls in the information system [Assignment: organization-defined 

frequency] 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; 

c. Produces a security assessment report that documents the results of the assessment; and 

d. Provides the results of the security control assessment, in writing, to the authorizing official or 

authorizing official designated representative. 

Supplemental Guidance: The organization assesses the security controls in an information system as 

part of: (i) security authorization or reauthorization; (ii) meeting the FISMA requirement for 

annual assessments; (iii) continuous monitoring; and (iv) testing/evaluation of the information 

system as part of the system development life cycle process. The assessment report documents the 

assessment results in sufficient detail as deemed necessary by the organization, to determine the 

APPENDIX F-CA PAGE F-32
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accuracy and completeness of the report and whether the security controls are implemented 

correctly, operating as intended, and producing the desired outcome with respect to meeting the 

security requirements of the information system. 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 authorization 

process. To satisfy the FISMA annual assessment requirement, organizations can draw upon the 

security control assessment results from any of the following sources, including but not limited to: 

(i) assessments conducted as part of an information system authorization or reauthorization 

process; (ii) continuous monitoring (see CA-7); or (iii) testing and evaluation of an information 

system as part of the ongoing system development life cycle (provided that the testing and 

evaluation results are current and relevant to the determination of security control effectiveness). 

Existing security control assessment results are reused to the extent that they are still valid and are 

supplemented with additional assessments as needed. 

Subsequent to the initial authorization of the information system and in accordance with OMB 

policy, the organization assesses a subset of the security controls annually during continuous 

monitoring. The organization establishes the security control selection criteria and subsequently 

selects a subset of the security controls within the information system and its environment of 

operation for assessment. Those security controls that are the most volatile (i.e., controls most 

affected by ongoing changes to the information system or its environment of operation) or deemed 

critical by the organization to protecting organizational operations and assets, individuals, other 

organizations, and the Nation are assessed more frequently in accordance with an organizational 

assessment of risk. All other controls are assessed at least once during the information system’s 

three-year authorization cycle. The organization can use the current year’s assessment results 

from any of the above sources to meet the FISMA annual assessment requirement provided that 

the results are current, valid, and relevant to determining security control effectiveness. External 

audits (e.g., audits conducted by external entities such as regulatory agencies) are outside the 

scope of this control. Related controls: CA-6, CA-7, PM-9, SA-11. 

Control Enhancements: 

(1) The organization employs an independent assessor or assessment team to conduct an 

assessment of the security controls in the information system. 

Enhancement Supplemental Guidance: An independent assessor or assessment 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 associated with the information system or to the determination of security control 

effectiveness. Independent security assessment 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 assessment services are considered independent if the information 

system owner is not directly involved in the contracting process or cannot unduly influence 

the impartiality of the assessor or assessment team conducting the assessment of the security 

controls in the information system. The authorizing official determines the required level of 

assessor independence based on the security categorization of the information system and/or 

the ultimate risk to organizational operations and assets, and to individuals. The authorizing 

official determines if the level of assessor 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 be accomplished 

by individuals that are in the developmental, operational, and/or management chain of the 

system owner, independence in the assessment process can be achieved by ensuring that the 

assessment results are carefully reviewed and analyzed by an independent team of experts to 

validate the completeness, accuracy, integrity, and reliability of the results.

(2) The organization includes as part of security control assessments, [Assignment: organizationdefined frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; 

malicious user testing; penetration testing; red team exercises; [Assignment: organization-defined 

other forms of security testing]]. 

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Enhancement Supplemental Guidance: Penetration testing exercises both physical and technical 

security controls. A standard method for penetration testing consists of: (i) pretest analysis 

based on full knowledge of the target system; (ii) pretest identification of potential 

vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability 

of identified vulnerabilities. Detailed rules of engagement are agreed upon by all parties 

before the commencement of any penetration testing scenario. These rules of engagement are 

correlated with the tools, techniques, and procedures that are anticipated to be employed by 

threat-sources in carrying out attacks. An organizational assessment of risk guides the 

decision on the level of independence required for penetration agents or penetration teams 

conducting penetration testing. Red team exercises are conducted as a simulated adversarial 

attempt to compromise organizational missions and/or business processes to provide a 

comprehensive assessment of the security capability of the information system and 

organization. While penetration testing may be laboratory-based testing, red team exercises 

are intended to be more comprehensive in nature and reflect real-world conditions. 

Information system monitoring, malicious user testing, penetration testing, red-team 

exercises, and other forms of security testing (e.g., independent verification and validation) 

are conducted to improve the readiness of the organization by exercising organizational 

capabilities and indicating current performance levels as a means of focusing organizational 

actions to improve the security state of the system and organization. Testing is conducted in 

accordance with applicable federal laws, Executive Orders, directives, policies, regulations, 

and standards. Testing methods are approved by authorizing officials in coordination with the 

organization’s Risk Executive Function. Vulnerabilities uncovered during red team exercises 

are incorporated into the vulnerability remediation process. Related controls: RA-5, SI-2. 

References: FIPS Publication 199; NIST Special Publications 800-37, 800-53A, 800-115.

Priority and Baseline Allocation:

P2 LOW CA-2 MOD CA-2 (1) HIGH CA-2 (1) (2)

CA-3 INFORMATION SYSTEM CONNECTIONS 

Control: The organization: 

a. Authorizes connections from the information system to other information systems outside of 

the authorization boundary through the use of Interconnection Security Agreements; 

b. Documents, for each connection, the interface characteristics, security requirements, and the 

nature of the information communicated; and 

c. Monitors the information system connections on an ongoing basis verifying enforcement of 

security requirements. 

Supplemental Guidance: This control applies to dedicated connections between information systems 

and does not apply to transitory, user-controlled connections such as email and website browsing. 

The organization carefully considers the risks that may be introduced when information systems 

are connected to other systems with different security requirements and security controls, both 

within the organization and external to the organization. Authorizing officials determine the risk 

associated with each connection and the appropriate controls employed. If the interconnecting 

systems have the same authorizing official, an Interconnection Security Agreement is not required. 

Rather, the interface characteristics between the interconnecting information systems are described 

in the security plans for the respective systems. If the interconnecting systems have different 

authorizing officials but the authorizing officials are in the same organization, the organization 

determines whether an Interconnection Security Agreement is required, or alternatively, the 

interface characteristics between systems are described in the security plans of the respective 

systems. Instead of developing an Interconnection Security Agreement, organizations may choose 

to incorporate this information into a formal contract, especially if the interconnection is to be 

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established between a federal agency and a nonfederal (private sector) organization. In every case, 

documenting the interface characteristics is required, yet the formality and approval process vary 

considerably even though all accomplish the same fundamental objective of managing the risk 

being incurred by the interconnection of the information systems. Risk considerations also 

include information systems sharing the same networks. Information systems may be identified 

and authenticated as devices in accordance with IA-3. Related controls: AC-4, IA-3, SC-7, SA-9. 

Control Enhancements:

(1) The organization prohibits the direct connection of an unclassified, national security system to an 

external network. 

Enhancement Supplemental Guidance: An external network is a network that is not controlled by 

the organization (e.g., the Internet). No direct connection means that an information system 

cannot connect to an external network without the use of an approved boundary protection 

device (e.g., firewall) that mediates the communication between the system and the network. 

(2) The organization prohibits the direct connection of a classified, national security system to an 

external network. 

Enhancement Supplemental Guidance: An external network is a network that is not controlled by 

the organization (e.g., the Internet). No direct connection means that an information system 

cannot connect to an external network without the use of an approved boundary protection 

device (e.g., firewall) that mediates the communication between the system and the network. 

In addition, the approved boundary protection device (typically a managed interface/crossdomain system), provides information flow enforcement from the information system to the 

external network consistent with AC-4.

References: FIPS Publication 199; NIST Special Publication 800-47. 

Priority and Baseline Allocation:

P1 LOW CA-3 MOD CA-3 HIGH CA-3

CA-4 SECURITY CERTIFICATION 

[Withdrawn: Incorporated into CA-2].

CA-5 PLAN OF ACTION AND MILESTONES 

Control: The organization: 

a. Develops a plan of action and milestones for the information system to document the 

organization’s planned remedial actions to correct weaknesses or deficiencies noted during 

the assessment of the security controls and to reduce or eliminate known vulnerabilities in the 

system; and 

b. Updates existing plan of action and milestones [Assignment: organization-defined frequency] 

based on the findings from security controls assessments, security impact analyses, and 

continuous monitoring activities. 

Supplemental Guidance: The plan of action and milestones is a key document in the security 

authorization package and is subject to federal reporting requirements established by OMB. 

Related control: PM-4. 

Control Enhancements:

(1) The organization employs automated mechanisms to help ensure that the plan of action and 

milestones for the information system is accurate, up to date, and readily available.

References: OMB Memorandum 02-01; NIST Special Publication 800-37. 

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Priority and Baseline Allocation:

P3 LOW CA-5 MOD CA-5 HIGH CA-5

CA-6 SECURITY AUTHORIZATION 

Control: The organization: 

a. Assigns a senior-level executive or manager to the role of authorizing official for the 

information system; 

b. Ensures that the authorizing official authorizes the information system for processing before 

commencing operations; and 

c. Updates the security authorization [Assignment: organization-defined frequency]. 

Supplemental Guidance: Security authorization is the official management decision given by a 

senior organizational official or executive (i.e., authorizing official) to authorize operation of an 

information system and to explicitly accept the risk to organizational operations and assets, 

individuals, other organizations, and the Nation based on the implementation of an agreed-upon 

set of security controls. Authorizing officials typically have budgetary oversight for information 

systems or are responsible for the mission or business operations supported by the systems. 

Security authorization is an inherently federal responsibility and therefore, authorizing officials 

must be federal employees. Through the security authorization process, authorizing officials are 

accountable for the security risks associated with information system operations. Accordingly, 

authorizing officials are in management positions with a level of authority commensurate with 

understanding and accepting such information system-related security risks. Through the 

employment of a comprehensive continuous monitoring process, the critical information contained 

in the authorization package (i.e., the security plan (including risk assessment), 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 cost of security 

reauthorization, the authorizing official uses the results of the continuous monitoring process to 

the maximum extent possible as the basis for rendering a reauthorization decision. OMB policy 

requires that federal information systems are reauthorized at least every three years or when there 

is a significant change to the system. The organization defines what constitutes a significant 

change to the information system. Related controls: CA-2, CA-7, PM-9, PM-10. 

Control Enhancements: None. 

References: OMB Circular A-130; NIST Special Publication 800-37. 

Priority and Baseline Allocation:

P3 LOW CA-6 MOD CA-6 HIGH CA-6

CA-7 CONTINUOUS MONITORING 

Control: The organization establishes a continuous monitoring strategy and implements a 

continuous monitoring program that includes: 

a. A configuration management process for the information system and its constituent 

components;

b. A determination of the security impact of changes to the information system and environment 

of operation; 

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c. Ongoing security control assessments in accordance with the organizational continuous 

monitoring strategy; and 

d. Reporting the security state of the information system to appropriate organizational officials 

[Assignment: organization-defined frequency]. 

Supplemental Guidance: A continuous monitoring program allows an organization to maintain the 

security authorization of an information system over time in a highly dynamic environment of 

operation with changing threats, vulnerabilities, technologies, and missions/business processes. 

Continuous monitoring of security controls using automated support tools facilitates near real-time 

risk management and promotes organizational situational awareness with regard to the security 

state of the information system. The implementation of a continuous monitoring program results 

in ongoing updates to the security plan, the security assessment report, and the plan of action and 

milestones, the three principal documents in the security authorization package. A rigorous and 

well executed continuous monitoring program significantly reduces the level of effort required for 

the reauthorization of the information system. Continuous monitoring activities are scaled in 

accordance with the impact level of the information system. Related controls: CA-2, CA-5, CA-6, 

CM-3, CM-4. 

Control Enhancements: 

(1) The organization employs an independent assessor or assessment 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 assessor or team to assess all of the security controls during the 

information system’s three-year authorization cycle. See supplemental guidance for CA-2, 

enhancement (1), for further information on assessor independence. Related controls: CA-2, 

CA-5, CA-6, CM-4.

(2) The organization plans, schedules, and conducts assessments [Assignment: organization-defined 

frequency], [Selection: announced; unannounced], [Selection: in-depth monitoring; malicious user 

testing; penetration testing; red team exercises; [Assignment: organization-defined other forms of 

security assessment]] to ensure compliance with all vulnerability mitigation procedures. 

Enhancement Supplemental Guidance: Examples of vulnerability mitigation procedures are 

contained in Information Assurance Vulnerability Alerts. Testing is intended to ensure that 

the information system continues to provide adequate security against constantly evolving 

threats and vulnerabilities. Conformance testing also provides independent validation. See 

supplemental guidance for CA-2, enhancement (2) for further information on malicious user 

testing, penetration testing, red-team exercises, and other forms of security testing. Related 

control: CA-2.

References: NIST Special Publications 800-37, 800-53A; US-CERT Technical Cyber Security 

Alerts; DOD Information Assurance Vulnerability Alerts. 

Priority and Baseline Allocation:

P3 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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented configuration management policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the configuration 

management policy and associated configuration management controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the configuration management family. The policy and procedures are consistent with applicable 

federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The organizational risk management strategy is a key factor in the development of 

the configuration management policy. Related control: PM-9. 

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100. 

Priority and Baseline Allocation:

P1 LOW CM-1 MOD CM-1 HIGH CM-1

CM-2 BASELINE CONFIGURATION 

Control: The organization develops, documents, and maintains under configuration control, a 

current baseline configuration of the information system. 

Supplemental Guidance: This control establishes a baseline configuration for the information system 

and its constituent components including communications and connectivity-related aspects of the 

system. The baseline configuration provides information about the components of an information 

system (e.g., the standard software load for a workstation, server, network component, or mobile 

device including operating system/installed applications with current version numbers and patch 

information), network topology, and the logical placement of the component within the system 

architecture. The baseline configuration is a documented, up-to-date specification to which the 

information system is built. Maintaining the baseline configuration involves creating new 

baselines as the information system changes over time. The baseline configuration of the 

information system is consistent with the organization’s enterprise architecture. Related controls: 

CM-3, CM-6, CM-8, CM-9. 

Control Enhancements: 

(1) The organization reviews and updates the baseline configuration of the information system: 

(a) [Assignment: organization-defined frequency]; 

(b) When required due to [Assignment organization-defined circumstances]; and 

(c) As an integral part of information system component installations and upgrades. 

(2) The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, 

and readily available baseline configuration of the information system. 

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Enhancement Supplemental Guidance: Software inventory tools are examples of automated 

mechanisms that help organizations maintain consistent baseline configurations for 

information systems. Software inventory tools can be deployed for each operating system in 

use within the organization (e.g., on workstations, servers, network components, mobile 

devices) and used to track operating system version numbers, applications and types of 

software installed on the operating systems, and current patch levels. Software inventory 

tools can also scan information systems for unauthorized software to validate organizationdefined lists of authorized and unauthorized software programs.

(3) The organization retains older versions of baseline configurations as deemed necessary to support 

rollback. 

(4) The organization: 

(a) Develops and maintains [Assignment: organization-defined list of software programs not 

authorized to execute on the information system]; and 

(b) Employs an allow-all, deny-by-exception authorization policy to identify software allowed to 

execute on the information system. 

(5) The organization: 

(a) Develops and maintains [Assignment: organization-defined list of software programs 

authorized to execute on the information system]; and 

(b) Employs a deny-all, permit-by-exception authorization policy to identify software allowed to 

execute on the information system. 

(6) The organization maintains a baseline configuration for development and test environments that is 

managed separately from the operational baseline configuration. 

References: NIST Special Publication 800-128. 

Priority and Baseline Allocation:

P1 LOW CM-2 MOD CM-2 (1) (3) (4) HIGH CM-2 (1) (2) (3) (5) (6)

CM-3 CONFIGURATION CHANGE CONTROL 

Control: The organization: 

a. Determines the types of changes to the information system that are configuration controlled; 

b. Approves configuration-controlled changes to the system with explicit consideration for 

security impact analyses; 

c. Documents approved configuration-controlled changes to the system; 

d. Retains and reviews records of configuration-controlled changes to the system; 

e. Audits activities associated with configuration-controlled changes to the system; and 

f. Coordinates and provides oversight for configuration change control activities through 

[Assignment: organization-defined configuration change control element (e.g., committee, 

board] that convenes [Selection: (one or more): [Assignment: organization-defined 

frequency]; [Assignment: organization-defined configuration change conditions]]. 

Supplemental Guidance: The organization determines the types of changes to the information system 

that are configuration controlled. Configuration change control for the information system 

involves the systematic proposal, justification, implementation, test/evaluation, review, and 

disposition of changes to the system, including upgrades and modifications. Configuration change 

control includes changes to components of the information system, changes to the configuration 

settings for information technology products (e.g., operating systems, applications, firewalls, 

routers), emergency changes, and changes to remediate flaws. A typical organizational process for 

managing configuration changes to the information system includes, for example, a chartered 

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Configuration Control Board that approves proposed changes to the system. Auditing of changes 

refers to changes in activity before and after a change is made to the information system and the 

auditing activities required to implement the change. Related controls: CM-4, CM-5, CM-6, SI-2.

Control Enhancements: 

(1) The organization employs automated mechanisms to: 

(a) Document proposed changes to the information system; 

(b) Notify designated approval authorities; 

(c) Highlight approvals that have not been received by [Assignment: organization-defined time 

period]; 

(d) Inhibit change until designated approvals are received; and 

(e) Document completed changes to the information system. 

(2) The organization tests, validates, and documents changes to the information system before 

implementing the changes on the operational system. 

Enhancement Supplemental Guidance: The organization ensures that testing does not interfere 

with information system operations. The individual/group conducting the tests understands 

the organizational information security policies and procedures, the information system 

security policies and procedures, and the specific health, safety, and environmental risks 

associated with a particular facility and/or process. An operational system may need to be 

taken off-line, or replicated to the extent feasible, before testing can be conducted. If an 

information system must be taken off-line for testing, the tests are scheduled to occur during 

planned system outages whenever possible. In situations where the organization cannot 

conduct testing of an operational system, the organization employs compensating controls 

(e.g., providing a replicated system to conduct testing) in accordance with the general 

tailoring guidance.

(3) The organization employs automated mechanisms to implement changes to the current 

information system baseline and deploys the updated baseline across the installed base. 

Enhancement Supplemental Guidance: Related controls: CM-2, CM-6.

(4) The organization requires an information security representative to be a member of the 

[Assignment: organization-defined configuration change control element (e.g., committee, board)]. 

Enhancement Supplemental Guidance: Information security representatives can include, for 

example, information system security officers or information system security managers. The 

configuration change control element in this control enhancement is consistent with the 

change control element defined by the organization in CM-3.

References: NIST Special Publication 800-128. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD CM-3 (2) HIGH CM-3 (1) (2)

CM-4 SECURITY IMPACT ANALYSIS 

Control: The organization analyzes changes to the information system to determine potential 

security impacts prior to change implementation. 

Supplemental Guidance: Security impact analyses are conducted by organizational personnel with 

information security responsibilities, including for example, Information System Administrators, 

Information System Security Officers, Information System Security Managers, and Information 

System Security Engineers. Individuals conducting security impact analyses have the appropriate 

skills and technical expertise to analyze the changes to information systems and the associated 

security ramifications. Security impact analysis may include, for example, reviewing information 

system documentation such as the security plan to understand how specific security controls are 

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implemented within the system and how the changes might affect the controls. Security impact 

analysis may also include an assessment of risk to understand the impact of the changes and to 

determine if additional security controls are required. Security impact analysis is scaled in 

accordance with the impact level of the information system. Related controls: CA-2, CA-7, CM3, CM-9, SI-2. 

Control Enhancements:

(1) The organization analyzes new software in a separate test environment before installation in an 

operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or 

intentional malice. 

(2) The organization, after the information system is changed, checks the security functions to verify 

that the functions are implemented correctly, operating as intended, and producing the desired 

outcome with regard to meeting the security requirements for the system. 

Enhancement Supplemental Guidance: Changes include information system upgrades and 

modifications.

References: NIST Special Publication 800-128. 

Priority and Baseline Allocation:

P2 LOW CM-4 MOD CM-4 HIGH CM-4 (1)

CM-5 ACCESS RESTRICTIONS FOR CHANGE 

Control: The organization defines, documents, approves, and enforces physical and logical access 

restrictions associated with changes to the information system. 

Supplemental Guidance: Any changes to the hardware, software, and/or firmware components of the 

information system can potentially have significant effects on the overall security of the system. 

Accordingly, only qualified and authorized individuals are allowed to obtain access to information 

system components for purposes of initiating changes, including upgrades and modifications. 

Additionally, maintaining records of access is essential for ensuring that configuration change 

control is being implemented as intended and for supporting after-the-fact actions should the 

organization become aware of an unauthorized change to the information system. Access 

restrictions for change also include software libraries. Examples of access restrictions include, for 

example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media 

libraries, abstract layers (e.g., changes are implemented into a third-party interface rather than 

directly into the information system component), and change windows (e.g., changes occur only 

during specified times, making unauthorized changes outside the window easy to discover). Some 

or all of the enforcement mechanisms and processes necessary to implement this security control 

are included in other controls. For measures implemented in other controls, this control provides 

information to be used in the implementation of the other controls to cover specific needs related 

to enforcing authorizations to make changes to the information system, auditing changes, and 

retaining and review records of changes. Related controls: AC-3, AC-6, PE-3. 

Control Enhancements: 

(1) The organization employs automated mechanisms to enforce access restrictions and support 

auditing of the enforcement actions. 

(2) The organization conducts audits of information system changes [Assignment: organizationdefined frequency] and when indications so warrant to determine whether unauthorized changes 

have occurred. 

(3) The information system prevents the installation of [Assignment: organization-defined critical 

software programs] that are not signed with a certificate that is recognized and approved by the 

organization. 

Enhancement Supplemental Guidance: Critical software programs and/or modules include, for 

example, patches, service packs, and where applicable, device drivers.

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(4) The organization enforces a two-person rule for changes to [Assignment: organization-defined 

information system components and system-level information]. 

(5) The organization: 

(a) Limits information system developer/integrator privileges to change hardware, software, and 

firmware components and system information directly within a production environment; and 

(b) Reviews and reevaluates information system developer/integrator privileges [Assignment: 

organization-defined frequency]. 

(6) The organization limits privileges to change software resident within software libraries (including 

privileged programs). 

(7) The information system automatically implements [Assignment: organization-defined safeguards 

and countermeasures] if security functions (or mechanisms) are changed inappropriately. 

Enhancement Supplemental Guidance: The information system reacts automatically when 

inappropriate and/or unauthorized modifications have occurred to security functions or 

mechanisms. Automatic implementation of safeguards and countermeasures includes, for 

example, reversing the change, halting the information system or triggering an audit alert 

when an unauthorized modification to a critical security file occurs.

References: None. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD CM-5 HIGH CM-5 (1) (2) (3)

CM-6 CONFIGURATION SETTINGS 

Control: The organization: 

a. Establishes and documents mandatory configuration settings for information technology 

products employed within the information system using [Assignment: organization-defined 

security configuration checklists] that reflect the most restrictive mode consistent with 

operational requirements; 

b. Implements the configuration settings; 

c. Identifies, documents, and approves exceptions from the mandatory configuration settings for 

individual components within the information system based on explicit operational 

requirements; and 

d. Monitors and controls changes to the configuration settings in accordance with organizational 

policies and procedures. 

Supplemental Guidance: Configuration settings are the configurable security-related parameters of 

information technology products that are part of the information system. Security-related 

parameters are those parameters impacting the security state of the system including parameters 

related to meeting other security control requirements. Security-related parameters include, for 

example, registry settings; account, file, and directory settings (i.e., permissions); and settings for 

services, ports, protocols, and remote connections. Organizations establish organization-wide 

mandatory configuration settings from which the settings for a given information system are 

derived. A security configuration checklist (sometimes referred to as a lockdown guide, hardening 

guide, security guide, security technical implementation guide [STIG], or benchmark) is a series of 

instructions or procedures for configuring an information system component to meet operational 

requirements. Checklists can be developed by information technology developers and vendors, 

consortia, academia, industry, federal agencies (and other government organizations), and others 

in the public and private sectors. An example of a security configuration checklist is the Federal 

Desktop Core Configuration (FDCC) which potentially affects the implementation of CM-6 and 

other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and 

defined standards within the protocol (e.g., Common Configuration Enumeration) provide an 

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effective method to uniquely identify, track, and control configuration settings. OMB establishes 

federal policy on configuration requirements for federal information systems. Related controls: 

CM-2, CM-3, SI-4. 

Control Enhancements: 

(1) The organization employs automated mechanisms to centrally manage, apply, and verify 

configuration settings. 

(2) The organization employs automated mechanisms to respond to unauthorized changes to 

[Assignment: organization-defined configuration settings]. 

Enhancement Supplemental Guidance: Responses to unauthorized changes to configuration 

settings can include, for example, alerting designated organizational personnel, restoring 

mandatory/organization-defined configuration settings, or in the extreme case, halting 

affected information system processing.

(3) The organization incorporates detection of unauthorized, security-relevant configuration changes 

into the organization’s incident response capability to ensure that such detected events are 

tracked, monitored, corrected, and available for historical purposes. 

Enhancement Supplemental Guidance: Related controls: IR-4, IR-5.

(4) The information system (including modifications to the baseline configuration) demonstrates 

conformance to security configuration guidance (i.e., security checklists), prior to being introduced 

into a production environment. 

References: OMB Memoranda 07-11, 07-18, 08-22; NIST Special Publications 800-70, 800-128; 

Web: NVD.NIST.GOV; WWW.NSA.GOV. 

Priority and Baseline Allocation:

P1 LOW CM-6 MOD CM-6 (3) HIGH CM-6 (1) (2) (3)

CM-7 LEAST FUNCTIONALITY 

Control: The organization configures the information system to provide only essential capabilities 

and specifically prohibits or restricts the use of the following functions, ports, protocols, and/or 

services: [Assignment: organization-defined list of prohibited 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, organizations limit component functionality to a single function per device (e.g., 

email server or web server, not both). The functions and services provided by organizational 

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, auto-execute, file sharing). Organizations consider disabling unused 

or unnecessary physical and logical ports and protocols (e.g., Universal Serial Bus [USB], File 

Transfer Protocol [FTP], Internet Protocol Version 6 [IPv6], Hyper Text Transfer Protocol 

[HTTP]) on information system components to prevent unauthorized connection of devices, 

unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize 

network scanning tools, intrusion detection and prevention systems, and end-point protections 

such as firewalls and host-based intrusion detection systems to identify and prevent the use of 

prohibited functions, ports, protocols, and services. Related control: RA-5. 

Control Enhancements: 

(1) The organization reviews the information system [Assignment: organization-defined frequency] to 

identify and eliminate unnecessary functions, ports, protocols, and/or services. 

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(2) The organization employs automated mechanisms to prevent program execution in accordance 

with [Selection (one or more): list of authorized software programs; list of unauthorized software 

programs; rules authorizing the terms and conditions of software program usage]. 

Enhancement Supplemental Guidance: Related control: CM-2.

(3) The organization ensures compliance with [Assignment: organization-defined registration 

requirements for ports, protocols, and services]. 

Enhancement Supplemental Guidance: Organizations use the registration process to manage, 

track, and provide oversight for information systems and implemented functionality. 

References: None. 

Priority and Baseline Allocation:

P1 LOW CM-7 MOD CM-7 (1) HIGH CM-7 (1) (2)

CM-8 INFORMATION SYSTEM COMPONENT INVENTORY 

Control: The organization develops, documents, and maintains an inventory of information system 

components that: 

a. Accurately reflects the current information system; 

b. Is consistent with the authorization boundary of the information system; 

c. Is at the level of granularity deemed necessary for tracking and reporting; 

d. Includes [Assignment: organization-defined information deemed necessary to achieve 

effective property accountability]; and 

e. Is available for review and audit by designated organizational officials. 

Supplemental Guidance: Information deemed to be necessary by the organization to achieve 

effective property accountability can include, for example, hardware inventory specifications 

(manufacturer, type, model, serial number, physical location), software license information, 

information system/component owner, and for a networked component/device, the machine name 

and network address. Related controls: CM-2, CM-6. 

Control Enhancements: 

(1) The organization updates the inventory of information system components as an integral part of 

component installations, removals, and information system updates. 

(2) The organization employs automated mechanisms to help maintain an up-to-date, complete, 

accurate, and readily available inventory of information system components. 

Enhancement Supplemental Guidance: Organizations maintain the information system inventory 

to the extent feasible. Virtual machines, for example, can be difficult to monitor because they 

are not visible to the network when not in use. In such cases, the intent of this control 

enhancement is to maintain as up-to-date, complete, and accurate an inventory as is 

reasonable.

(3) The organization: 

(a) Employs automated mechanisms [Assignment: organization-defined frequency] to detect the 

addition of unauthorized components/devices into the information system; and 

(b) Disables network access by such components/devices or notifies designated organizational 

officials. 

Enhancement Supplemental Guidance: This control enhancement is applied in addition to the 

monitoring for unauthorized remote connections in AC-17 and for unauthorized mobile 

devices in AC-19. The monitoring for unauthorized components/devices on information 

system networks may be accomplished on an ongoing basis or by the periodic scanning of 

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organizational networks for that purpose. Automated mechanisms can be implemented within 

the information system and/or in another separate information system or device. Related 

controls: AC-17, AC-19. 

(4) The organization includes in property accountability information for information system 

components, a means for identifying by [Selection (one or more): name; position; role] individuals 

responsible for administering those components. 

(5) The organization verifies that all components within the authorization boundary of the information 

system are either inventoried as a part of the system or recognized by another system as a 

component within that system. 

(6) The organization includes assessed component configurations and any approved deviations to 

current deployed configurations in the information system component inventory. 

Enhancement Supplemental Guidance: This control enhancement focuses on the configuration 

settings established by the organization for its information system components, the specific 

information system components that have been assessed to determine compliance with the 

required configuration settings, and any approved deviations from established configuration 

settings in the deployed information system components. Related controls: CM-2, CM-6.

References: NIST Special Publication 800-128. 

Priority and Baseline Allocation:

P1 LOW CM-8 MOD CM-8 (1) (5) HIGH CM-8 (1) (2) (3) (4) (5)

CM-9 CONFIGURATION MANAGEMENT PLAN 

Control: The organization develops, documents, and implements a configuration management plan 

for the information system that: 

a. Addresses roles, responsibilities, and configuration management processes and procedures; 

b. Defines the configuration items for the information system and when in the system 

development life cycle the configuration items are placed under configuration management; 

and 

c. Establishes the means for identifying configuration items throughout the system development 

life cycle and a process for managing the configuration of the configuration items. 

Supplemental Guidance: Configuration items are the information system items (hardware, software, 

firmware, and documentation) to be configuration managed. The configuration management plan 

satisfies the requirements in the organization’s configuration management policy while being 

tailored to the individual information system. The configuration management plan defines 

detailed processes and procedures for how configuration management is used to support system 

development life cycle activities at the information system level. The plan describes how to move 

a change through the change management process, how configuration settings and configuration 

baselines are updated, how the information system component inventory is maintained, how 

development, test, and operational environments are controlled, and finally, how documents are 

developed, released, and updated. The configuration management approval process includes 

designation of key management stakeholders that are responsible for reviewing and approving 

proposed changes to the information system, and security personnel that would conduct an impact 

analysis prior to the implementation of any changes to the system. Related control: SA-10. 

Control Enhancements:

(1) The organization assigns responsibility for developing the configuration management process to 

organizational personnel that are not directly involved in system development. 

Enhancement Supplemental Guidance: In the absence of a dedicated configuration management 

team, the system integrator may be tasked with developing the configuration management 

process.

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References: NIST Special Publication 800-128. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD CM-9 HIGH CM-9
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FAMILY: CONTINGENCY PLANNING CLASS: OPERATIONAL 

CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented contingency planning policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the contingency planning 

policy and associated contingency planning controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the contingency planning family. The policy and procedures are consistent with applicable 

federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The organizational risk management strategy is a key factor in the development of the 

contingency planning policy. Related control: PM-9. 

Control Enhancements: None. 

References: Federal Continuity Directive 1; NIST Special Publications 800-12, 800-34, 800-100. 

Priority and Baseline Allocation:

P1 LOW CP-1 MOD CP-1 HIGH CP-1

CP-2 CONTINGENCY PLAN 

Control: The organization: 

a. Develops a contingency plan for the information system that: 

- Identifies essential missions and business functions and associated contingency 

requirements; 

- Provides recovery objectives, restoration priorities, and metrics; 

- Addresses contingency roles, responsibilities, assigned individuals with contact 

information; 

- Addresses maintaining essential missions and business functions despite an information 

system disruption, compromise, or failure; 

- Addresses eventual, full information system restoration without deterioration of the 

security measures originally planned and implemented; and 

- Is reviewed and approved by designated officials within the organization; 

b. Distributes copies of the contingency plan to [Assignment: organization-defined list of key 

contingency personnel (identified by name and/or by role) and organizational elements]; 

c. Coordinates contingency planning activities with incident handling activities; 

d. Reviews the contingency plan for the information system [Assignment: organization-defined 

frequency]; 

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e. Revises the contingency plan to address changes to the organization, information system, or 

environment of operation and problems encountered during contingency plan implementation, 

execution, or testing; and 

f. Communicates contingency plan changes to [Assignment: organization-defined list of key 

contingency personnel (identified by name and/or by role) and organizational elements]. 

Supplemental Guidance: Contingency planning for information systems is part of an overall 

organizational program for achieving continuity of operations for mission/business operations. 

Contingency planning addresses both information system restoration and implementation of 

alternative mission/business processes when systems are compromised. Information system 

recovery objectives are consistent with applicable laws, Executive Orders, directives, policies, 

standards, or regulations. In addition to information system availability, contingency plans also 

address other security-related events resulting in a reduction in mission/business effectiveness, 

such as malicious attacks compromising the confidentiality or integrity of the information system. 

Examples of actions to call out in contingency plans include, for example, graceful degradation, 

information system shutdown, fall back to a manual mode, alternate information flows, or 

operating in a mode that is reserved solely for when the system is under attack. Related controls: 

AC-14, CP-6, CP-7, CP-8, IR-4, PM-8, PM-11. 

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, Crisis Communications Plan, 

Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency Plan. 

(2) The organization conducts capacity planning so that necessary capacity for information 

processing, telecommunications, and environmental support exists during contingency 

operations. 

(3) The organization plans for the resumption of essential missions and business functions within 

[Assignment: organization-defined time period] of contingency plan activation. 

(4) The organization plans for the full resumption of missions and business functions within 

[Assignment: organization-defined time period] of contingency plan activation. 

(5) The organization plans for the continuance of essential missions and business functions with little 

or no loss of operational continuity and sustains that continuity until full information system 

restoration at primary processing and/or storage sites. 

(6) The organization provides for the transfer of all essential missions and business functions to 

alternate processing and/or storage sites with little or no loss of operational continuity and 

sustains that continuity through restoration to primary processing and/or storage sites. 

References: Federal Continuity Directive 1; NIST Special Publication 800-34. 

Priority and Baseline Allocation:

P1 LOW CP-2 MOD CP-2 (1) HIGH CP-2 (1) (2) (3)

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]. 

Supplemental Guidance: None. 

Control Enhancements: 

(1) The organization incorporates simulated events into contingency training to facilitate effective 

response by personnel in crisis situations. 

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(2) The organization employs automated mechanisms to provide a more thorough and realistic 

training environment. 

References: NIST Special Publications 800-16, 800-50. 

Priority and Baseline Allocation:

P2 LOW CP-3 MOD CP-3 HIGH CP-3 (1)

CP-4 CONTINGENCY PLAN TESTING AND EXERCISES 

Control: The organization: 

a. Tests and/or exercises the contingency plan for the information system [Assignment: 

organization-defined frequency] using [Assignment: organization-defined tests and/or 

exercises] to determine the plan’s effectiveness and the organization’s readiness to execute 

the plan; and 

b. 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., checklist, walk-through/tabletop, simulation: parallel, full 

interrupt). Contingency plan testing and/or exercises 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. 

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, Crisis Communications Plan, 

Critical Infrastructure Plan, Cyber Incident Response Plan, and Occupant Emergency 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. 

(4) The organization includes a full recovery and reconstitution of the information system to a known 

state as part of contingency plan testing. 

Enhancement Supplemental Guidance: Related controls: CP-10, SC-24.

References: FIPS Publication 199; NIST Special Publications 800-34, 800-84. 

Priority and Baseline Allocation:

P2 LOW CP-4 MOD CP-4 (1) HIGH CP-4 (1) (2) (4)

CP-5 CONTINGENCY PLAN UPDATE 

[Withdrawn: Incorporated into CP-2].

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CP-6 ALTERNATE STORAGE SITE 

Control: The organization establishes an alternate storage site including necessary agreements to 

permit the storage and recovery of information system backup information. 

Supplemental Guidance: Related controls: CP-2, CP-9, MP-4. 

Control Enhancements:

(1) The organization identifies an alternate storage site that is separated from the primary storage site 

so as not to be susceptible to the same hazards. 

Enhancement Supplemental Guidance: Hazards of concern to the organization are typically 

defined in an organizational assessment of risk.

(2) The organization configures the alternate storage site to facilitate recovery operations in 

accordance with recovery time and recovery point objectives. 

(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. 

Enhancement Supplemental Guidance: Explicit mitigation actions include, for example, 

duplicating backup information at another alternate storage site if access to the first alternate 

site is hindered; or, if electronic accessibility to the alternate site is disrupted, planning for 

physical access to retrieve backup information. 

References: NIST Special Publication 800-34. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD CP-6 (1) (3) HIGH CP-6 (1) (2) (3)

CP-7 ALTERNATE PROCESSING SITE 

Control: The organization: 

a. Establishes an alternate processing site including necessary agreements to permit the 

resumption of information system operations for essential missions and business functions 

within [Assignment: organization-defined time period consistent with recovery time 

objectives] when the primary processing capabilities are unavailable; and 

b. Ensures that equipment and supplies required to resume operations are available at the 

alternate site or contracts are in place to support delivery to the site in time to support the 

organization-defined time period for resumption. 

Supplemental Guidance: Related control: CP-2. 

Control Enhancements:

(1) The organization identifies an alternate processing site that is separated from the primary 

processing site so as not to be susceptible to the same hazards. 

Enhancement Supplemental Guidance: Hazards that might affect the information system are 

typically defined in the risk assessment.

(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 configures the alternate processing site so that it is ready to be used as the 

operational site supporting essential missions and business functions. 

(5) The organization ensures that the alternate processing site provides information security 

measures equivalent to that of the primary site. 

References: NIST Special Publication 800-34. 

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Priority and Baseline Allocation:

P1 LOW Not Selected MOD CP-7 (1) (2) (3) (5) HIGH CP-7 (1) (2) (3) (4) (5)

CP-8 TELECOMMUNICATIONS SERVICES 

Control: The organization establishes alternate telecommunications services including necessary 

agreements to permit the resumption of information system operations for essential missions and 

business functions within [Assignment: organization-defined time period] when the primary 

telecommunications capabilities are unavailable. 

Supplemental Guidance: Related control: CP-2. 

Control Enhancements:

(1) The organization: 

(a) Develops primary and alternate telecommunications service agreements that contain priorityof-service provisions in accordance with the organization’s availability requirements; and 

(b) Requests Telecommunications Service Priority for all telecommunications services used for 

national security emergency preparedness in the event that the primary and/or alternate 

telecommunications services are provided by a common carrier. 

(2) The organization obtains alternate telecommunications services with consideration for reducing 

the likelihood of sharing a single point of failure with primary telecommunications services.

(3) The organization obtains alternate telecommunications service providers that are 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 

contingency plans. 

References: NIST Special Publication 800-34; Web: TSP.NCS.GOV. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD CP-8 (1) (2) HIGH CP-8 (1) (2) (3) (4)

CP-9 INFORMATION SYSTEM BACKUP 

Control: The organization: 

a. Conducts backups of user-level information contained in the information system [Assignment: 

organization-defined frequency consistent with recovery time and recovery point objectives]; 

b. Conducts backups of system-level information contained in the information system 

[Assignment: organization-defined frequency consistent with recovery time and recovery 

point objectives]; 

c. Conducts backups of information system documentation including security-related 

documentation [Assignment: organization-defined frequency consistent with recovery time 

and recovery point objectives]; and 

d. Protects the confidentiality and integrity of backup information at the storage location. 

Supplemental Guidance: System-level information includes, for example, system-state information, 

operating system and application software, and licenses. Digital signatures and cryptographic 

hashes are examples of mechanisms that can be employed by organizations to protect the integrity 

of information system backups. An organizational assessment of risk guides the use of encryption 

for protecting backup information. The protection of system backup information while in transit is 

beyond the scope of this control. Related controls: CP-6, MP-4. 

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Control Enhancements: 

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

media reliability and information integrity. 

(2) The organization uses a sample of backup information in the restoration of selected 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, as well as copies of the information system inventory (including hardware, 

software, and firmware components) in a separate facility or in a fire-rated container that is not 

colocated with the operational system. 

(4) [Withdrawn: Incorporated into CP-9]. 

(5) The organization transfers information system backup information to the alternate storage site 

[Assignment: organization-defined time period and transfer rate consistent with the recovery time 

and recovery point objectives]. 

(6) The organization accomplishes information system backup by maintaining a redundant secondary 

system, not collocated, that can be activated without loss of information or disruption to the 

operation. 

References: NIST Special Publication 800-34. 

Priority and Baseline Allocation:

P1 LOW CP-9 MOD CP-9 (1) HIGH CP-9 (1) (2) (3)

CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION 

Control: The organization provides for the recovery and reconstitution of the information system to 

a known state after a disruption, compromise, or failure. 

Supplemental Guidance: Recovery is executing information system contingency plan activities to 

restore essential missions and business functions. Reconstitution takes place following recovery 

and includes activities for returning the information system to its original functional state before 

contingency plan activation. Recovery and reconstitution procedures are based on organizational 

priorities, established recovery point/time and reconstitution objectives, and appropriate metrics. 

Reconstitution includes the deactivation of any interim information system capability that may 

have been needed during recovery operations. Reconstitution also includes an assessment of the 

fully restored information system capability, a potential system reauthorization and the necessary 

activities to prepare the system against another disruption, compromise, or failure. Recovery and 

reconstitution capabilities employed by the organization can be a combination of automated 

mechanisms and manual procedures. Related controls: CA-2, CA-6, CA-7, SC-24. 

Control Enhancements: 

(1) [Withdrawn: Incorporated into CP-4]. 

(2) The information system implements transaction recovery for systems that are transaction-based. 

Enhancement Supplemental Guidance: Database management systems and transaction processing 

systems are examples of information systems that are transaction-based. Transaction rollback 

and transaction journaling are examples of mechanisms supporting transaction recovery.

(3) The organization provides compensating security controls for [Assignment: organization-defined 

circumstances that can inhibit recovery and reconstitution to a known state]. 

(4) The organization provides the capability to reimage information system components within 

[Assignment: organization-defined restoration time-periods] from configuration-controlled and 

integrity-protected disk images representing a secure, operational state for the components. 

(5) The organization provides [Selection: real-time; near-real-time] [Assignment: organization-defined 

failover capability for the information system]. 

Enhancement Supplemental Guidance: Examples of failover capability are incorporating 

mirrored information system operations at an alternate processing site or periodic data 

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mirroring at regular intervals during a time period defined by the organization's recovery time 

period.

(6) The organization protects backup and restoration hardware, firmware, and software. 

Enhancement Supplemental Guidance: Protection of backup and restoration hardware, firmware, 

and software includes both physical and technical measures. Router tables, compilers, and 

other security-relevant system software are examples of backup and restoration software.

References: NIST Special Publication 800-34. 

Priority and Baseline Allocation:

P1 LOW CP-10 MOD CP-10 (2) (3) HIGH CP-10 (2) (3) (4)
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FAMILY: IDENTIFICATION AND AUTHENTICATION CLASS: TECHNICAL 

IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES 

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented identification and authentication policy that addresses purpose, scope, 

roles, responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

b. Formal, documented procedures to facilitate the implementation of the identification and 

authentication policy and associated identification and authentication controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the identification and authentication family. The policy and procedures are consistent with 

applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Existing organizational policies and procedures may make the need for additional 

specific policies and procedures unnecessary. 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. The organizational risk management strategy is a key factor 

in the development of the identification and authentication policy. Related control: PM-9. 

Control Enhancements: None. 

References: FIPS Publication 201; NIST Special Publications 800-12, 800-63, 800-73, 800-76, 

800-78, 800-100. 

Priority and Baseline Allocation:

P1 LOW IA-1 MOD IA-1 HIGH IA-1

IA-2 IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) 

Control: The information system uniquely identifies and authenticates organizational users (or 

processes acting on behalf of organizational users). 

Supplemental Guidance: Organizational users include organizational employees or individuals the 

organization deems to have equivalent status of employees (e.g., contractors, guest researchers, 

individuals from allied nations). Users are uniquely identified and authenticated for all accesses 

other than those accesses explicitly identified and documented by the organization in AC-14. 

Unique identification of individuals in group accounts (e.g., shared privilege accounts) may need 

to be considered for detailed accountability of activity. Authentication of user identities is 

accomplished through the use of passwords, tokens, biometrics, or in the case of multifactor 

authentication, some combination thereof. Access to organizational information systems is 

defined as either local or network. Local access is any access to an organizational information 

system by a user (or process acting on behalf of a user) where such access is obtained by direct 

connection without the use of a network. Network access is any access to an organizational 

information system by a user (or process acting on behalf of a user) where such access is obtained 

through a network connection. Remote access is a type of network access which involves 

communication through an external network (e.g., the Internet). Internal networks include local 

area networks, wide area networks, and virtual private networks that are under the control of the 

organization. For a virtual private network (VPN), the VPN is considered an internal network if 

the organization establishes the VPN connection between organization-controlled endpoints in a 

manner that does not require the organization to depend on any external networks across which the 

VPN transits to protect the confidentiality and integrity of information transmitted. Identification 

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and authentication requirements for information system access by other than organizational users 

are described in IA-8. 

The identification and authentication requirements in this control are satisfied by complying with 

Homeland Security Presidential Directive 12 consistent with organization-specific implementation 

plans provided to OMB. In addition to identifying and authenticating users at the informationsystem level (i.e., at logon), identification and authentication mechanisms are employed at the 

application level, when necessary, to provide increased information security for the organization. 

Related controls: AC-14, AC-17, AC-18, IA-4, IA-5. 

Control Enhancements:

(1) The information system uses multifactor authentication for network access to privileged accounts.

(2) The information system uses multifactor authentication for network access to non-privileged 

accounts.

(3) The information system uses multifactor authentication for local access to privileged accounts.

(4) The information system uses multifactor authentication for local access to non-privileged 

accounts.

(5) The organization: 

(a) Allows the use of group authenticators only when used in conjunction with an 

individual/unique authenticator; and 

(b) Requires individuals to be authenticated with an individual authenticator prior to using a 

group authenticator. 

(6) The information system uses multifactor authentication for network access to privileged accounts 

where one of the factors is provided by a device separate from the information system being 

accessed. 

(7) The information system uses multifactor authentication for network access to non-privileged 

accounts where one of the factors is provided by a device separate from the information system 

being accessed. 

(8) The information system uses [Assignment: organization-defined replay-resistant authentication 

mechanisms] for network access to privileged accounts. 

Enhancement Supplemental Guidance: An authentication process resists replay attacks if it is 

impractical to achieve a successful authentication by recording and replaying a previous 

authentication message. Techniques used to address this include protocols that use nonces or 

challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.

(9) The information system uses [Assignment: organization-defined replay-resistant authentication 

mechanisms] for network access to non-privileged accounts. 

Enhancement Supplemental Guidance: An authentication process resists replay attacks if it is 

impractical to achieve a successful authentication by recording and replaying a previous 

authentication message. Techniques used to address this include protocols that use nonces or 

challenges (e.g., TLS), and time synchronous or challenge-response one-time authenticators.

References: HSPD 12; OMB Memorandum 04-04; FIPS Publication 201; NIST Special 

Publications 800-63, 800-73, 800-76, 800-78.

Priority and Baseline Allocation:

P1 LOW IA-2 (1) MOD IA-2 (1) (2) (3) (8) HIGH IA-2 (1) (2) (3) (4) (8) (9)

IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION 

Control: The information system uniquely identifies and authenticates [Assignment: organizationdefined list of specific and/or types of devices] before establishing a connection. 

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Supplemental Guidance: The devices requiring unique identification and authentication may be 

defined by type, by specific device, or by a combination of type and device as deemed appropriate 

by the organization. The information system typically uses either shared known information (e.g., 

Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] 

addresses) for identification or an organizational authentication solution (e.g., IEEE 802.1x and 

Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security 

[TLS] authentication, Kerberos) to identify and authenticate devices on local and/or wide area 

networks. The required strength of the device authentication mechanism is determined by the 

security categorization of the information system. 

Control Enhancements: 

(1) The information system authenticates devices before establishing remote and wireless network 

connections using bidirectional authentication between devices that is cryptographically based. 

Enhancement Supplemental Guidance: Remote network connection is any connection with a 

device communicating through an external network (e.g., the Internet). Related controls: AC17, AC-18.

(2) The information system authenticates devices before establishing network connections using 

bidirectional authentication between devices that is cryptographically based. 

(3) The organization standardizes, with regard to dynamic address allocation, Dynamic Host Control 

Protocol (DHCP) lease information and the time assigned to devices, and audits lease information 

when assigned to a device. 

Enhancement Supplemental Guidance: With regard to dynamic address allocation for devices, 

DHCP-enabled clients typically obtain leases for IP addresses from DHCP servers. 

References: None. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD IA-3 HIGH IA-3

IA-4 IDENTIFIER MANAGEMENT 

Control: The organization manages information system identifiers for users and devices by: 

a. Receiving authorization from a designated organizational official to assign a user or device 

identifier; 

b. Selecting an identifier that uniquely identifies an individual or device; 

c. Assigning the user identifier to the intended party or the device identifier to the intended 

device; 

d. Preventing reuse of user or device identifiers for [Assignment: organization-defined time 

period]; and 

e. Disabling the user identifier after [Assignment: organization-defined time period of 

inactivity]. 

Supplemental Guidance: Common device identifiers include media access control (MAC) or Internet 

protocol (IP) addresses, or device-unique token identifiers. Management of user identifiers is not 

applicable to shared information system accounts (e.g., guest and anonymous accounts). It is 

commonly the case that a user identifier is the name of an information system account associated 

with an individual. In such instances, identifier management is largely addressed by the account 

management activities of AC-2. IA-4 also covers user identifiers not necessarily associated with 

an information system account (e.g., the identifier used in a physical security control database 

accessed by a badge reader system for access to the information system). Related control: AC-2, 

IA-2. 

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Control Enhancements:

(1) The organization prohibits the use of information system account identifiers as public identifiers 

for user electronic mail accounts (i.e., user identifier portion of the electronic mail address).

Enhancement Supplemental Guidance: The organization implements this control enhancement to 

the extent that the information system allows.

(2) The organization requires that registration to receive a user ID and password include authorization 

by a supervisor, and be done in person before a designated registration authority.

(3) The organization requires multiple forms of certification of individual identification such as 

documentary evidence or a combination of documents and biometrics be presented to the 

registration authority.

(4) The organization manages user identifiers by uniquely identifying the user as [Assignment: 

organization-defined characteristic identifying user status].

Enhancement Supplemental Guidance: Characteristics identifying user status include, for 

example, contractors and foreign nationals.

(5) The information system dynamically manages identifiers, attributes, and associated access 

authorizations.

Enhancement Supplemental Guidance: In contrast to conventional approaches to identification 

and authentication which employ static information system accounts for preregistered users, 

many service-oriented architecture implementations rely on establishing identities at run time 

for entities that were previously unknown. Dynamic establishment of identities and 

association of attributes and privileges with these identities is anticipated and provisioned. 

Pre-established trust relationships and mechanisms with appropriate authorities to validate 

identities and related credentials are essential.

References: FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78. 

Priority and Baseline Allocation:

P1 LOW IA-4 MOD IA-4 HIGH IA-4

IA-5 AUTHENTICATOR MANAGEMENT 

Control: The organization manages information system authenticators for users and devices by: 

a. Verifying, as part of the initial authenticator distribution, the identity of the individual and/or 

device receiving the authenticator; 

b. Establishing initial authenticator content for authenticators defined by the organization; 

c. Ensuring that authenticators have sufficient strength of mechanism for their intended use; 

d. Establishing and implementing administrative procedures for initial authenticator distribution, 

for lost/compromised or damaged authenticators, and for revoking authenticators; 

e. Changing default content of authenticators upon information system installation; 

f. Establishing minimum and maximum lifetime restrictions and reuse conditions for 

authenticators (if appropriate); 

g. Changing/refreshing authenticators [Assignment: organization-defined time period by 

authenticator type]; 

h. Protecting authenticator content from unauthorized disclosure and modification; and 

i. Requiring users to take, and having devices implement, specific measures to safeguard 

authenticators. 

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Supplemental Guidance: User authenticators include, for example, passwords, tokens, biometrics, 

PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial 

password) as opposed to requirements about authenticator content (e.g., minimum password 

length). Many information system components are shipped with factory default authentication 

credentials to allow for initial installation and configuration. Default authentication credentials are 

often well known, easily discoverable, present a significant security risk, and therefore, are 

changed upon installation. The requirement to protect user authenticators may be implemented via 

control PL-4 or PS-6 for authenticators in the possession of users and by controls AC-3, AC-6, 

and SC-28 for authenticators stored within the information system (e.g., passwords stored in a 

hashed or encrypted format, files containing encrypted or hashed passwords accessible only with 

super user privileges). The information system supports user authenticator management by 

organization-defined settings and restrictions for various authenticator characteristics including, 

for example, minimum password length, password composition, validation time window for time 

synchronous one time tokens, and number of allowed rejections during verification stage of 

biometric authentication. Measures to safeguard user authenticators include, for example, 

maintaining possession of individual authenticators, not loaning or sharing authenticators with 

others, and reporting lost or compromised authenticators immediately. Authenticator management 

includes issuing and revoking, when no longer needed, authenticators for temporary access such as 

that required for remote maintenance. Device authenticators include, for example, certificates and 

passwords. Related controls: AC-2, IA-2, PL-4, PS-6. 

Control Enhancements: 

(1) The information system, for password-based authentication: 

(a) Enforces minimum password complexity of [Assignment: organization-defined requirements 

for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, 

numbers, and special characters, including minimum requirements for each type]; 

(b) Enforces at least a [Assignment: organization-defined number of changed characters] when 

new passwords are created; 

(c) Encrypts passwords in storage and in transmission; 

(d) Enforces password minimum and maximum lifetime restrictions of [Assignment: organizationdefined numbers for lifetime minimum, lifetime maximum]; and 

(e) Prohibits password reuse for [Assignment: organization-defined number] generations. 

Enhancement Supplemental Guidance: This control enhancement is intended primarily for 

environments where passwords are used as a single factor to authenticate users, or in a similar 

manner along with one or more additional authenticators. The enhancement generally does 

not apply to situations where passwords are used to unlock hardware authenticators. The 

implementation of such password mechanisms may not meet all of the requirements in the 

enhancement. 

(2) The information system, for PKI-based authentication: 

(a) Validates certificates by constructing a certification path with status information to an 

accepted trust anchor; 

(b) Enforces authorized access to the corresponding private key; and 

(c) Maps the authenticated identity to the user account. 

Enhancement Supplemental Guidance: Status information for certification paths includes, for 

example, certificate revocation lists or online certificate status protocol responses.

(3) The organization requires that the registration process to receive [Assignment: organizationdefined types of and/or specific authenticators] be carried out in person before a designated 

registration authority with authorization by a designated organizational official (e.g., a supervisor). 

(4) The organization employs automated tools to determine if authenticators are sufficiently strong to 

resist attacks intended to discover or otherwise compromise the authenticators. 

(5) The organization requires vendors and/or manufacturers of information system components to 

provide unique authenticators or change default authenticators prior to delivery. 

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Enhancement Supplemental Guidance: This control enhancement extends the requirement for 

organizations to change default authenticators upon information system installation, by 

requiring vendors and/or manufacturers of information system components to provide unique 

authenticators or change default authenticators for those components prior to delivery to the 

organization. Unique authenticators are assigned by vendors and/or manufacturers to specific 

information system components (i.e., delivered information technology products) with distinct 

serial numbers. This requirement is included in acquisition documents prepared by the 

organization when procuring information systems and/or information system components.

(6) The organization protects authenticators commensurate with the classification or sensitivity of the 

information accessed. 

(7) The organization ensures that unencrypted static authenticators are not embedded in applications 

or access scripts or stored on function keys. 

Enhancement Supplemental Guidance: Organizations exercise caution in determining whether an 

embedded or stored authenticator is in encrypted or unencrypted form. If the authenticator in 

its stored representation, is used in the manner stored, then that representation is considered 

an unencrypted authenticator. This is irrespective of whether that representation is perhaps an 

encrypted version of something else (e.g., a password).

(8) The organization takes [Assignment: organization-defined measures] to manage the risk of 

compromise due to individuals having accounts on multiple information systems. 

Enhancement Supplemental Guidance: When an individual has accounts on multiple information 

systems, there is the risk that if one account is compromised and the individual is using the 

same user identifier and authenticator, other accounts will be compromised as well. Possible 

alternatives include, but are not limited to: (i) having the same user identifier but different 

authenticators on all systems; (ii) having different user identifiers and authenticators on each 

system; (iii) employing some form of single sign-on mechanism; or (iv) including some form 

of one-time passwords on all systems.

References: OMB Memorandum 04-04; FIPS Publication 201; NIST Special Publications 800-73, 

800-63, 800-76, 800-78. 

Priority and Baseline Allocation:

P1 LOW IA-5 (1) MOD IA-5 (1) (2) (3) HIGH IA-5 (1) (2) (3)

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. 

References: None. 

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Priority and Baseline Allocation:

P1 LOW IA-6 MOD IA-6 HIGH IA-6

IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION 

Control: The information system uses mechanisms for authentication to a cryptographic module 

that meet the requirements of applicable federal laws, Executive Orders, directives, policies, 

regulations, standards, and guidance for such authentication. 

Supplemental Guidance: None. 

Control Enhancements: None. 

References: FIPS Publication 140-2; Web: CSRC.NIST.GOV/CRYPTVAL. 

Priority and Baseline Allocation:

P1 LOW IA-7 MOD IA-7 HIGH IA-7

IA-8 IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) 

Control: The information system uniquely identifies and authenticates non-organizational users (or 

processes acting on behalf of non-organizational users). 

Supplemental Guidance: Non-organizational users include all information system users other than 

organizational users explicitly covered by IA-2. Users are uniquely identified and authenticated 

for all accesses other than those accesses explicitly identified and documented by the organization 

in accordance with AC-14. In accordance with the E-Authentication E-Government initiative, 

authentication of non-organizational users accessing federal information systems may be required 

to protect federal, proprietary, or privacy-related information (with exceptions noted for national 

security systems). Accordingly, a risk assessment is used in determining the authentication needs 

of the organization. Scalability, practicality, and security are simultaneously considered in 

balancing the need to ensure ease of use for access to federal information and information systems 

with the need to protect and adequately mitigate risk to organizational operations, organizational 

assets, individuals, other organizations, and the Nation. Identification and authentication 

requirements for information system access by organizational users are described in IA-2. Related 

controls: AC-14, AC-17, AC-18, MA-4. 

Control Enhancements: None. 

References: OMB Memorandum 04-04; Web: WWW.CIO.GOV/EAUTHENTICATION; NIST Special 

Publication 800-63.

Priority and Baseline Allocation:

P1 LOW IA-8 MOD IA-8 HIGH IA-8
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FAMILY: INCIDENT RESPONSE CLASS: OPERATIONAL 

IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented incident response policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the incident response 

policy and associated incident response controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the incident response family. The policy and procedures are consistent with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The 

organizational risk management strategy is a key factor in the development of the incident 

response policy. Related control: PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-61, 800-83, 800-100. 

Priority and Baseline Allocation:

P1 LOW IR-1 MOD IR-1 HIGH IR-1

IR-2 INCIDENT RESPONSE TRAINING 

Control: The organization: 

a. Trains personnel in their incident response roles and responsibilities with respect to the 

information system; and 

b. Provides refresher training [Assignment: organization-defined frequency]. 

Supplemental Guidance: Incident response training includes user training in the identification and 

reporting of suspicious activities, both from external and internal sources. Related control: AT-3. 

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. 

References: NIST Special Publications 800-16, 800-50. 

Priority and Baseline Allocation:

P2 LOW IR-2 MOD IR-2 HIGH IR-2 (1) (2)

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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] using [Assignment: organization-defined 

tests and/or exercises] to determine the incident response effectiveness and documents the results. 

Supplemental Guidance: None. 

Control Enhancements:

(1) The organization employs automated mechanisms to more thoroughly and effectively test/exercise 

the incident response capability. 

Enhancement Supplemental Guidance: Automated mechanisms can provide the ability to more 

thoroughly and effectively test or exercise the incident response 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. Related control: 

AT-2.

References: NIST Special Publications 800-84, 800-115. 

Priority and Baseline Allocation:

P2 LOW Not Selected MOD IR-3 HIGH IR-3 (1)

IR-4 INCIDENT HANDLING 

Control: The organization: 

a. Implements an incident handling capability for security incidents that includes preparation, 

detection and analysis, containment, eradication, and recovery; 

b. Coordinates incident handling activities with contingency planning activities; and 

c. Incorporates lessons learned from ongoing incident handling activities into incident response 

procedures, training, and testing/exercises, and implements the resulting changes accordingly. 

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. Related controls: AU-6, CP-2, IR-2, IR-3, PE-6, SC-5, SC-7, SI-3, 

SI-4, SI-7. 

Control Enhancements:

(1) The organization employs automated mechanisms to support the incident handling process. 

Enhancement Supplemental Guidance: An online incident management system is an example of 

an automated mechanism.

(2) The organization includes dynamic reconfiguration of the information system as part of the 

incident response capability. 

Enhancement Supplemental Guidance: Dynamic reconfiguration includes, for example, changes 

to router rules, access control lists, intrusion detection/prevention system parameters, and 

filter rules for firewalls and gateways. 

(3) The organization identifies classes of incidents and defines appropriate actions to take in response 

to ensure continuation of organizational missions and business functions. 

Enhancement Supplemental Guidance: Classes of incidents include, for example, malfunctions 

due to design/implementation errors and omissions, targeted malicious attacks, and untargeted 

malicious attacks. Incident response actions that may be appropriate include, for example, 

graceful degradation, information system shutdown, fall back to manual mode or alternative 

technology whereby the system operates differently, employing deceptive measures (e.g., 

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false data flows, false status measures), alternate information flows, or operating in a mode 

that is reserved solely for when a system is under attack.

(4) The organization correlates incident information and individual incident responses to achieve an 

organization-wide perspective on incident awareness and response. 

(5) The organization implements a configurable capability to automatically disable the information 

system if any of the following security violations are detected: [Assignment: organization-defined 

list of security violations]. 

References: NIST Special Publication 800-61. 

Priority and Baseline Allocation:

P1 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. 

Supplemental Guidance: Documenting information system security incidents includes, for example, 

maintaining records about each incident, the status of the incident, and other pertinent information 

necessary for forensics, evaluating incident details, trends, and handling. Incident information can 

be obtained from a variety of sources including, for example, incident reports, incident response 

teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator 

reports. 

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. 

Enhancement Supplemental Guidance: Automated mechanisms for tracking security incidents 

and collecting/analyzing incident information include, for example, the Einstein network 

monitoring device and monitoring online Computer Incident Response Centers (CIRCs) or 

other electronic databases of incidents. Related controls: AU-6, AU-7, SI-4. 

References: NIST Special Publication 800-61.

Priority and Baseline Allocation:

P1 LOW IR-5 MOD IR-5 HIGH IR-5 (1)

IR-6 INCIDENT REPORTING 

 Control: The organization: 

a. Requires personnel to report suspected security incidents to the organizational incident 

response capability within [Assignment: organization-defined time-period]; and 

b. Reports security incident information to designated authorities. 

Supplemental Guidance: The intent of this control is to address both specific incident reporting 

requirements within an organization and the formal incident reporting requirements for federal 

agencies and their subordinate organizations. The types of security incidents reported, the content 

and timeliness of the reports, and the list of designated reporting authorities are consistent with 

applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Current federal policy requires that all federal agencies (unless specifically exempted 

from such requirements) report security incidents to the United States Computer Emergency 

Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of 

Operations for Federal Cyber Security Incident Handling. Related controls: IR-4, IR-5. 

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Control Enhancements:

(1) The organization employs automated mechanisms to assist in the reporting of security incidents. 

(2) The organization reports information system weaknesses, deficiencies, and/or vulnerabilities 

associated with reported security incidents to appropriate organizational officials. 

References: NIST Special Publication 800-61: Web: WWW.US-CERT.GOV.

Priority and Baseline Allocation:

P1 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, integral to the 

organizational incident response capability, that offers advice and assistance to users of the 

information system for the handling and reporting of security incidents. 

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. Related controls: IR-4, IR-6. 

Control Enhancements:

(1) The organization employs automated mechanisms to increase the availability of incident responserelated information and support. 

Enhancement Supplemental Guidance: Automated mechanisms can provide a push and/or pull 

capability for users to obtain incident response assistance. For example, individuals might 

have access to a website to query the assistance capability, or conversely, the assistance 

capability may have the ability to proactively send information to users (general distribution 

or targeted) as part of increasing understanding of current response capabilities and support. 

(2) The organization: 

(a) Establishes a direct, cooperative relationship between its incident response capability and 

external providers of information system protection capability; and 

(b) Identifies organizational incident response team members to the external providers. 

Enhancement Supplemental Guidance: External providers of information system protection 

capability include, for example, the Computer Network Defense program within the U.S. 

Department of Defense. External providers help to protect, monitor, analyze, detect, and 

respond to unauthorized activity within organizational information systems and networks.

References: None. 

Priority and Baseline Allocation:

P3 LOW IR-7 MOD IR-7 (1) HIGH IR-7 (1)

IR-8 INCIDENT RESPONSE PLAN 

Control: The organization: 

a. Develops an incident response plan that: 

- Provides the organization with a roadmap for implementing its incident response 

capability; 

- Describes the structure and organization of the incident response capability; 

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- Provides a high-level approach for how the incident response capability fits into the overall 

organization; 

- Meets the unique requirements of the organization, which relate to mission, size, structure, 

and functions; 

- Defines reportable incidents; 

- Provides metrics for measuring the incident response capability within the organization. 

- Defines the resources and management support needed to effectively maintain and mature 

an incident response capability; and 

- Is reviewed and approved by designated officials within the organization; 

b. Distributes copies of the incident response plan to [Assignment: organization-defined list of 

incident response personnel (identified by name and/or by role) and organizational elements]; 

c. Reviews the incident response plan [Assignment: organization-defined frequency]; 

d. Revises the incident response plan to address system/organizational changes or problems 

encountered during plan implementation, execution, or testing; and 

e. Communicates incident response plan changes to [Assignment: organization-defined list of 

incident response personnel (identified by name and/or by role) and organizational elements]. 

Supplemental Guidance: It is important that organizations have a formal, focused, and coordinated 

approach to responding to incidents. The organization’s mission, strategies, and goals for incident 

response help determine the structure of its incident response capability. 

Control Enhancements: None. 

References: NIST Special Publication 800-61.

Priority and Baseline Allocation:

P1 LOW IR-8 MOD IR-8 HIGH IR-8
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FAMILY: MAINTENANCE CLASS: OPERATIONAL

MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented information system maintenance policy that addresses purpose, scope, 

roles, responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

b. Formal, documented procedures to facilitate the implementation of the information system 

maintenance policy and associated system maintenance controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the system maintenance family. The policy and procedures are consistent with applicable 

federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The organizational risk management strategy is a key factor in the development of the 

system maintenance policy. Related control: PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100. 

Priority and Baseline Allocation:

P1 LOW MA-1 MOD MA-1 HIGH MA-1

MA-2 CONTROLLED MAINTENANCE 

Control: The organization: 

a. Schedules, performs, documents, and reviews records of maintenance and repairs on 

information system components in accordance with manufacturer or vendor specifications 

and/or organizational requirements; 

b. Controls all maintenance activities, whether performed on site or remotely and whether the 

equipment is serviced on site or removed to another location; 

c. Requires that a designated official explicitly approve the removal of the information system or 

system components from organizational facilities for off-site maintenance or repairs; 

d. Sanitizes equipment to remove all information from associated media prior to removal from 

organizational facilities for off-site maintenance or repairs; and 

e. Checks all potentially impacted security controls to verify that the controls are still 

functioning properly following maintenance or repair actions. 

Supplemental Guidance: The control is intended to address the information security aspects of the 

organization’s information system maintenance program. Related controls: MP-6, SI-2. 

Control Enhancements: 

(1) The organization maintains maintenance records for the information system that include: 

(a) Date and time of maintenance; 

(b) Name of the individual performing the maintenance; 

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(c) Name of escort, if necessary; 

(d) A description of the maintenance performed; and 

(e) A list of equipment removed or replaced (including identification numbers, if applicable). 

(2) The organization employs automated mechanisms to schedule, conduct, and document 

maintenance and repairs as required, producing up-to date, accurate, complete, and available 

records of all maintenance and repair actions, needed, in process, and completed. 

References: None. 

Priority and Baseline Allocation:

P2 LOW MA-2 MOD MA-2 (1) HIGH MA-2 (1) (2)

MA-3 MAINTENANCE TOOLS 

Control: The organization approves, controls, monitors the use of, and maintains on an ongoing 

basis, information system maintenance tools. 

Supplemental Guidance: The intent of this control is to address the security-related issues arising 

from the hardware and software brought into the information system specifically for diagnostic 

and 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. Related control: MP-6. 

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 prevents the unauthorized removal of maintenance equipment by one of the 

following: (i) verifying that there is no organizational information contained on the equipment; (ii) 

sanitizing or destroying the equipment; (iii) retaining the equipment within the facility; or (iv) 

obtaining an exemption from a designated organization official explicitly authorizing removal of the 

equipment from the facility. 

(4) The organization employs automated mechanisms to restrict the use of maintenance tools to 

authorized personnel only. 

References: NIST Special Publication 800-88. 

Priority and Baseline Allocation:

P2 LOW Not Selected MOD MA-3 (1) (2) HIGH MA-3 (1) (2) (3)

MA-4 NON-LOCAL MAINTENANCE 

Control: The organization: 

a. Authorizes, monitors, and controls non-local maintenance and diagnostic activities; 

b. Allows the use of non-local maintenance and diagnostic tools only as consistent with 

organizational policy and documented in the security plan for the information system; 

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c. Employs strong identification and authentication techniques in the establishment of non-local 

maintenance and diagnostic sessions; 

d. Maintains records for non-local maintenance and diagnostic activities; and 

e. Terminates all sessions and network connections when non-local maintenance is completed. 

Supplemental Guidance: Non-local maintenance and diagnostic activities are those activities 

conducted by individuals communicating through a network; either an external network (e.g., the 

Internet) or an internal network. Local maintenance and diagnostic activities are those activities 

carried out by individuals physically present at the information system or information system 

component and not communicating across a network connection. Identification and authentication 

techniques used in the establishment of non-local maintenance and diagnostic sessions are 

consistent with the network access requirements in IA-2. Strong authenticators include, for 

example, PKI where certificates are stored on a token protected by a password, passphrase, or 

biometric. Enforcing requirements in MA-4 is accomplished in part, by other controls. Related 

controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-8, MA-5, MP-6, SC-7. 

Control Enhancements: 

(1) The organization audits non-local maintenance and diagnostic sessions and designated 

organizational personnel review the maintenance records of the sessions. 

(2) The organization documents, in the security plan for the information system, the installation and 

use of non-local maintenance and diagnostic connections. 

(3) The organization: 

(a) Requires that non-local maintenance and diagnostic services be performed from an 

information system that implements a level of security at least as high as that implemented on 

the system being serviced; or 

(b) Removes the component to be serviced from the information system and prior to non-local 

maintenance or diagnostic services, sanitizes the component (with regard to organizational 

information) before removal from organizational facilities, and after the service is performed, 

inspects and sanitizes the component (with regard to potentially malicious software and 

surreptitious implants) before reconnecting the component to the information system. 

(4) The organization protects non-local maintenance sessions through the use of a strong 

authenticator tightly bound to the user and by separating the maintenance session from other 

network sessions with the information system by either:

(a) Physically separated communications paths; or 

(b) Logically separated communications paths based upon encryption. 

Enhancement Supplemental Guidance: Related control: SC-13. 

(5) The organization requires that: 

(a) Maintenance personnel notify [Assignment: organization-defined personnel] when non-local 

maintenance is planned (i.e., date/time); and 

(b) A designated organizational official with specific information security/information system 

knowledge approves the non-local maintenance. 

(6) The organization employs cryptographic mechanisms to protect the integrity and confidentiality of 

non-local maintenance and diagnostic communications. 

(7) The organization employs remote disconnect verification at the termination of non-local 

maintenance and diagnostic sessions. 

References: FIPS Publications 140-2, 197, 201; NIST Special Publications 800-63, 800-88; CNSS 

Policy 15.

Priority and Baseline Allocation:

P1 LOW MA-4 MOD MA-4 (1) (2) HIGH MA-4 (1) (2) (3)

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MA-5 MAINTENANCE PERSONNEL 

Control: The organization: 

a. Establishes a process for maintenance personnel authorization and maintains a current list of 

authorized maintenance organizations or personnel; and 

b. Ensures that personnel performing maintenance on the information system have required 

access authorizations or designates organizational personnel with required access 

authorizations and technical competence deemed necessary to supervise information system 

maintenance when maintenance personnel do not possess the required access authorizations. 

Supplemental Guidance: Individuals not previously identified in the information system, such as 

vendor personnel and consultants, may legitimately require privileged access to the system, for 

example, when required to conduct maintenance or diagnostic activities with little or no notice. 

Based on a prior assessment of risk, the organization may issue temporary credentials to these 

individuals. Temporary credentials may be for one-time use or for a very limited time period. 

Related controls: IA-8, MA-5. 

Control Enhancements:

(1) The organization maintains procedures for the use of maintenance personnel that lack appropriate 

security clearances or are not U.S. citizens, that include the following requirements: 

(a) Maintenance personnel who do not have needed access authorizations, clearances, or formal 

access approvals are escorted and supervised during the performance of maintenance and 

diagnostic activities on the information system by approved organizational personnel who are 

fully cleared, have appropriate access authorizations, and are technically qualified; 

(b) Prior to initiating maintenance or diagnostic activities by personnel who do not have needed 

access authorizations, clearances or formal access approvals, all volatile information storage 

components within the information system are sanitized and all nonvolatile storage media are 

removed or physically disconnected from the system and secured; and 

(c) In the event an information system component cannot be sanitized, the procedures contained 

in the security plan for the system are enforced. 

Enhancement Supplemental Guidance: The intent of this control enhancement is to deny 

individuals who lack appropriate security clearances (i.e., individuals who do not possess 

security clearances or possess security clearances at a lower level than required) or who are 

not U.S. citizens, visual and electronic access to any classified information, Controlled 

Unclassified Information (CUI), or any other sensitive information contained on the 

information system. Procedures for the use of maintenance personnel can be documented in 

the security plan for the information system. 

(2) The organization ensures that personnel performing maintenance and diagnostic activities on an 

information system processing, storing, or transmitting classified information are cleared (i.e., 

possess appropriate security clearances) for the highest level of information on the system. 

(3) The organization ensures that personnel performing maintenance and diagnostic activities on an 

information system processing, storing, or transmitting classified information are U.S. citizens. 

(4) The organization ensures that: 

(a) Cleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are 

used to conduct maintenance and diagnostic activities on an information system only when 

the system is jointly owned and operated by the United States and foreign allied governments, 

or owned and operated solely by foreign allied governments; and 

(b) Approvals, consents, and detailed operational conditions regarding the use of foreign 

nationals to conduct maintenance and diagnostic activities on an information system are fully 

documented within a Memorandum of Agreement. 

References: None.

Priority and Baseline Allocation:

P1 LOW MA-5 MOD MA-5 HIGH MA-5

 

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MA-6 TIMELY MAINTENANCE 

Control: The organization obtains maintenance support and/or spare parts for [Assignment: 

organization-defined list of security-critical information system components and/or key 

information technology components] within [Assignment: organization-defined time period] of 

failure. 

Supplemental Guidance: The organization specifies those information system components that, 

when not operational, result in increased risk to organizations, individuals, or the Nation because 

the security functionality intended by that component is not being provided. Security-critical 

components include, for example, firewalls, guards, gateways, intrusion detection systems, audit 

repositories, authentication servers, and intrusion prevention systems. Related control: CP-2. 

Control Enhancements: None. 

References: None. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD MA-6 HIGH MA-6
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

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FAMILY: MEDIA PROTECTION CLASS: OPERATIONAL 

MP-1 MEDIA PROTECTION POLICY AND PROCEDURES

Control: The organization develops, disseminates, and reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented media protection policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the media protection 

policy and associated media protection controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the media protection family. The policy and procedures are consistent with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The 

organizational risk management strategy is a key factor in the development of the media protection 

policy. Related control: PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100.

Priority and Baseline Allocation:

P1 LOW MP-1 MOD MP-1 HIGH MP-1

MP-2 MEDIA ACCESS 

Control: The organization restricts access to [Assignment: organization-defined types of digital and 

non-digital media] to [Assignment: organization-defined list of authorized individuals] using 

[Assignment: organization-defined security measures]. 

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 mobile 

computing and communications devices with information storage capability (e.g., notebook/laptop 

computers, personal digital assistants, cellular telephones, digital cameras, and audio recording 

devices). 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. 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 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. Related controls: MP-4, PE-3. 

Control Enhancements: 

(1) The organization employs automated mechanisms to restrict access to media storage areas and to 

audit access attempts and access granted. 

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Enhancement Supplemental Guidance: This control enhancement is primarily applicable to media 

storage areas within an organization where a significant volume of media is stored and is not 

applicable to every location where some media is stored (e.g., in individual offices).

(2) The information system uses cryptographic mechanisms to protect and restrict access to 

information on portable digital media. 

References: FIPS Publication 199; NIST Special Publication 800-111.

Priority and Baseline Allocation:

P1 LOW MP-2 MOD MP-2 (1) HIGH MP-2 (1)

MP-3 MEDIA MARKING 

Control: The organization: 

a. Marks, in accordance with organizational policies and procedures, removable information 

system media and information system output indicating the distribution limitations, handling 

caveats, and applicable security markings (if any) of the information; and 

b. Exempts [Assignment: organization-defined list of removable media types] from marking as 

long as the exempted items remain within [Assignment: organization-defined controlled 

areas]. 

Supplemental Guidance: The term marking is used when referring to the application or use of 

human-readable security attributes. The term labeling is used when referring to the application or 

use of security attributes with regard to internal data structures within the information system (see 

AC-16, Security Attributes). Removable 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). An organizational assessment 

of risk guides the selection of media requiring marking. Marking is generally not required for 

media containing information determined by the organization to be in the public domain or to be 

publicly releasable. Some organizations, however, may require markings for public information 

indicating that the information is publicly releasable. Organizations may extend the scope of this 

control to include information system output devices containing organizational information, 

including, for example, monitors and printers. Marking of removable media and information 

system output is consistent with applicable federal laws, Executive Orders, directives, policies, 

regulations, standards, and guidance. 

Control Enhancements: None. 

References: FIPS Publication 199.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD MP-3 HIGH MP-3

MP-4 MEDIA STORAGE 

Control: The organization: 

a. Physically controls and securely stores [Assignment: organization-defined types of digital and 

non-digital media] within [Assignment: organization-defined controlled areas] using 

[Assignment: organization-defined security measures]; 

b. Protects information system media until the media are destroyed or sanitized using approved 

equipment, techniques, and procedures. 

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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 mobile 

computing and communications devices with information storage capability (e.g., notebook/laptop 

computers, personal digital assistants, cellular telephones, digital cameras, and audio recording 

devices). 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 use extreme caution in the types 

of information stored on telephone voicemail systems. A controlled area is any area or space for 

which the organization has confidence that the physical and procedural protections are sufficient 

to meet the requirements established for protecting the information and/or information system. 

An organizational assessment of risk guides the selection of media and associated information 

contained on that media requiring physical protection. 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. 

As part of a defense-in-depth strategy, the organization considers routinely encrypting information 

at rest on selected secondary storage devices. The employment of cryptography is at the discretion 

of the information owner/steward. The selection of the cryptographic mechanisms used is based 

upon maintaining the confidentiality and integrity of the information. The strength of mechanisms 

is commensurate with the classification and sensitivity of the information. Related controls: AC3, AC-19, CP-6, CP-9, MP-2, PE-3. 

Control Enhancements:

(1) The organization employs cryptographic mechanisms to protect information in storage. 

Enhancement Supplemental Guidance: Related control: SC-13.

References: FIPS Publication 199; NIST Special Publications 800-56, 800-57, 800-111.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD MP-4 HIGH MP-4

MP-5 MEDIA TRANSPORT 

Control: The organization: 

a. Protects and controls [Assignment: organization-defined types of digital and non-digital 

media] during transport outside of controlled areas using [Assignment: organization-defined 

security measures]; 

b. Maintains accountability for information system media during transport outside of controlled 

areas; and 

c. Restricts the activities associated with transport of such media to authorized personnel. 

Supplemental Guidance: Information system media includes both digital media (e.g., diskettes, 

magnetic tapes, removable hard drives, flash/thumb drives, compact disks, digital video disks) and 

non-digital media (e.g., paper, microfilm). This control also applies to mobile computing and 

communications devices with information storage capability (e.g., notebook/laptop computers, 

personal digital assistants, cellular telephones, digital cameras, and audio recording devices) 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, 

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and access control mechanisms typically employed in other information systems, organizational 

personnel use caution in the types of information stored on telephone voicemail systems that are 

transported outside of controlled areas. 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. 

Physical and technical security measures for the protection of digital and non-digital media are 

commensurate with the classification or sensitivity of the information residing on the media, and 

consistent with applicable federal laws, Executive Orders, directives, policies, regulations, 

standards, and guidance. Locked containers and cryptography are examples of security measures 

available to protect digital and non-digital media during transport. Cryptographic mechanisms can 

provide confidentiality and/or integrity protections depending upon the mechanisms used. An 

organizational assessment of risk guides: (i) the selection of media and associated information 

contained on that media requiring protection during transport; and (ii) the selection and use of 

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). Related controls: AC-19, CP-9. 

Control Enhancements: 

(1) [Withdrawn: Incorporated into MP-5].

(2) The organization documents activities associated with the transport of 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 to include the flexibility to define different record-keeping 

methods for different types of media transport as part of an overall system of transport-related 

records.

(3) The organization employs an identified custodian throughout the transport of information system 

media. 

Enhancement Supplemental Guidance: Custodial responsibilities can be transferred from one 

individual to another as long as an unambiguous custodian is identified at all times. 

(4) The organization employs cryptographic mechanisms to protect the confidentiality and integrity of 

information stored on digital media during transport outside of controlled areas. 

Enhancement Supplemental Guidance: This control enhancement also applies to mobile devices. 

Mobile devices include portable storage media (e.g., USB memory sticks, external hard disk 

drives) and portable computing and communications devices with storage capability (e.g., 

notebook/laptop computers, personal digital assistants, cellular telephones). Related control: 

MP-4. Related controls: MP-2; SC-13.

References: FIPS Publication 199; NIST Special Publication 800-60.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD MP-5 (2) (4) HIGH MP-5 (2) (3) (4)

MP-6 MEDIA SANITIZATION 

Control: The organization sanitizes information system media, both digital and non-digital, prior to 

disposal, release out of organizational control, or release for reuse. 

Supplemental Guidance: This control applies to all media subject to disposal or reuse, whether or not 

considered removable. Sanitization is the process used to remove information from information 

system media such that there is reasonable assurance 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 released for disposal. The organization employs sanitization 

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APPENDIX F-MP PAGE F-75

mechanisms with strength and integrity commensurate with the classification or sensitivity of the 

information. The organization uses its discretion on the employment of 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 disposal. 

Control Enhancements:

(1) The organization tracks, documents, and verifies media sanitization and disposal actions. 

(2) The organization tests sanitization equipment and procedures to verify correct performance 

[Assignment: organization-defined frequency]. 

(3) The organization sanitizes portable, removable storage devices prior to connecting such devices 

to the information system under the following circumstances: [Assignment: organization-defined 

list of circumstances requiring sanitization of portable, removable storage devices]. 

Enhancement Supplemental Guidance: Portable, removable storage devices (e.g., thumb drives, 

flash drives, external storage devices) can be the source of malicious code insertions into 

organizational information systems. Many of these devices are obtained from unknown 

sources and may contain various types of malicious code that can be readily transferred to the 

information system through USB ports or other entry portals. While scanning such devices is 

always recommended, sanitization provides additional assurance that the device is free of all 

malicious code to include code capable of initiating zero-day attacks. Organizations consider 

sanitization of portable, removable storage devices, for example, when such devices are first 

purchased from the manufacturer or vendor prior to initial use or when the organization loses 

a positive chain of custody for the device. An organizational assessment of risk guides the 

specific circumstances for employing the sanitization process. Related control: SI-3.

(4) The organization sanitizes information system media containing Controlled Unclassified 

Information (CUI) or other sensitive information in accordance with applicable organizational 

and/or federal standards and policies. 

(5) The organization sanitizes information system media containing classified information in 

accordance with NSA standards and policies. 

(6) The organization destroys information system media that cannot be sanitized. 

References: FIPS Publication 199; NIST Special Publications 800-60, 800-88; Web: 

WWW.NSA.GOV/IA/GUIDANCE/MEDIA_DESTRUCTION_GUIDANCE/INDEX.SHTML.

Priority and Baseline Allocation:

P1 LOW MP-6 MOD MP-6 HIGH MP-6 (1) (2) (3)
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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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented physical and environmental protection policy that addresses purpose, 

scope, roles, responsibilities, management commitment, coordination among organizational 

entities, and compliance; and 

b. Formal, documented procedures to facilitate the implementation of the physical and 

environmental protection policy and associated physical and environmental protection 

controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the physical and environmental protection family. The policy and procedures are consistent 

with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Existing organizational policies and procedures may make the need for additional 

specific policies and procedures unnecessary. 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. The organizational risk management strategy 

is a key factor in the development of the physical and environmental protection policy. Related 

control: PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100.

Priority and Baseline Allocation:

P1 LOW PE-1 MOD PE-1 HIGH PE-1

PE-2 PHYSICAL ACCESS AUTHORIZATIONS 

Control: The organization: 

a. 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); 

b. Issues authorization credentials; 

c. Reviews and approves the access list and authorization credentials [Assignment: organizationdefined frequency], removing from the access list personnel no longer requiring access. 

Supplemental Guidance: Authorization credentials include, for example, badges, identification 

cards, and smart cards. Related control: PE-3, PE-4. 

Control Enhancements:

(1) The organization authorizes physical access to the facility where the information system resides 

based on position or role. 

(2) The organization requires two forms of identification to gain access to the facility where the 

information system resides. 

Enhancement Supplemental Guidance: Examples of forms of identification are identification 

badge, key card, cipher PIN, and biometrics.

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(3) The organization restricts physical access to the facility containing an information system that 

processes classified information to authorized personnel with appropriate clearances and access 

authorizations. 

References: None.

Priority and Baseline Allocation:

P1 LOW PE-2 MOD PE-2 HIGH PE-2

PE-3 PHYSICAL ACCESS CONTROL 

Control: The organization: 

a. Enforces physical access authorizations for all physical access points (including designated 

entry/exit points) to the facility where the information system resides (excluding those areas 

within the facility officially designated as publicly accessible); 

b. Verifies individual access authorizations before granting access to the facility; 

c. Controls entry to the facility containing the information system using physical access devices 

and/or guards; 

d. Controls access to areas officially designated as publicly accessible in accordance with the 

organization’s assessment of risk; 

e. Secures keys, combinations, and other physical access devices; 

f. Inventories physical access devices [Assignment: organization-defined frequency]; and 

g. Changes combinations and keys [Assignment: organization-defined frequency] and when keys 

are lost, combinations are compromised, or individuals are transferred or terminated. 

Supplemental Guidance: The organization determines the types of guards needed, for example, 

professional physical security staff or other personnel such as administrative staff or information 

system users, as deemed appropriate. Physical access devices include, for example, keys, locks, 

combinations, and card readers. 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 safeguarded. Related controls: MP-2, MP-4, PE-2. 

Control Enhancements:

(1) The organization enforces physical access authorizations to the information system independent 

of the physical access controls for the facility. 

Enhancement Supplemental Guidance: This control enhancement applies to server rooms, media 

storage areas, communications centers, or any other areas within an organizational facility 

containing large concentrations of information system components. The intent is to provide 

additional physical security for those areas where the organization may be more vulnerable 

due to the concentration of information system components. Security requirements for 

facilities containing organizational information systems that process, store, or transmit 

Sensitive Compartmented Information (SCI) are consistent with applicable federal laws, 

Executive Orders, directives, policies, regulations, standards, and guidance. See also PS-3, 

security requirements for personnel access to SCI. 

(2) The organization performs security checks at the physical boundary of the facility or information 

system for unauthorized exfiltration of information or information system components. 

Enhancement Supplemental Guidance: The extent/frequency or randomness of the checks is as 

deemed necessary by the organization to adequately mitigate risk associated with exfiltration. 

(3) The organization guards, alarms, and monitors every physical access point to the facility where the 

information system resides 24 hours per day, 7 days per week. 

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(4) The organization uses lockable physical casings to protect [Assignment: organization-defined 

information system components] from unauthorized physical access. 

(5) The information system detects/prevents physical tampering or alteration of hardware components 

within the system. 

(6) The organization employs a penetration testing process that includes [Assignment: organizationdefined frequency], unannounced attempts to bypass or circumvent security controls associated 

with physical access points to the facility. 

Enhancement Supplemental Guidance: Related control: CA-2.

References: FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78; ICD 704; 

DCID 6/9.

Priority and Baseline Allocation:

P1 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. 

Related control: PE-2. 

Control Enhancements: None. 

References: NSTISSI No. 7003.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD PE-4 HIGH PE-4

PE-5 ACCESS CONTROL FOR OUTPUT DEVICES 

Control: The organization controls physical access to information system output devices to prevent 

unauthorized individuals from obtaining the output. 

Supplemental Guidance: Monitors, printers, and audio devices are examples of information system 

output devices. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD PE-5 HIGH PE-5

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PE-6 MONITORING PHYSICAL ACCESS 

Control: The organization: 

a. Monitors physical access to the information system to detect and respond to physical security 

incidents; 

b. Reviews physical access logs [Assignment: organization-defined frequency]; and 

c. Coordinates results of reviews and investigations with the organization’s incident response 

capability. 

Supplemental Guidance: Investigation of and response to detected physical security incidents, 

including apparent security violations or suspicious physical access activities, are 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 

designated response actions. 

References: None.

Priority and Baseline Allocation:

P1 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: Individuals (to include organizational employees, contract personnel, and 

others) with permanent authorization credentials for the facility are not considered visitors. 

Control Enhancements:

(1) The organization escorts visitors and monitors visitor activity, when required. 

(2) The organization requires two forms of identification for visitor access to the facility. 

References: None.

Priority and Baseline Allocation:

P1 LOW PE-7 MOD PE-7 (1) HIGH PE-7 (1)

PE-8 ACCESS RECORDS 

Control: The organization: 

a. Maintains visitor access records to the facility where the information system resides (except 

for those areas within the facility officially designated as publicly accessible); and 

b. Reviews visitor access records [Assignment: organization-defined frequency]. 

Supplemental Guidance: Visitor access records include, for example, name/organization of the 

person visiting, signature of the visitor, form(s) of identification, date of access, time of entry and 

departure, purpose of visit, and name/organization of person visited. 

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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. 

References: None. 

Priority and Baseline Allocation:

P3 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: This control, to include any enhancements specified, may be satisfied by 

similar requirements fulfilled by another organizational entity other than the information security 

program. Organizations avoid duplicating actions already covered. 

Control Enhancements:

(1) The organization employs redundant and parallel power cabling paths. 

(2) The organization employs automatic voltage controls for [Assignment: organization-defined list of 

critical information system components]. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD PE-9 HIGH PE-9

PE-10 EMERGENCY SHUTOFF 

Control: The organization: 

a. Provides the capability of shutting off power to the information system or individual system 

components in emergency situations; 

b. Places emergency shutoff switches or devices in [Assignment: organization-defined location 

by information system or system component] to facilitate safe and easy access for personnel; 

and 

c. Protects emergency power shutoff capability from unauthorized activation. 

Supplemental Guidance: This control applies to facilities containing concentrations of information 

system resources, for example, data centers, server rooms, and mainframe computer rooms. 

Control Enhancements:

(1) [Withdrawn: Incorporated into PE-10]. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD PE-10 HIGH PE-10

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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: This control, to include any enhancements specified, may be satisfied by 

similar requirements fulfilled by another organizational entity other than the information security 

program. Organizations avoid duplicating actions already covered. 

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. 

Enhancement Supplemental Guidance: Long-term alternate power supplies for the information 

system are either manually or automatically activated.

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD PE-11 HIGH PE-11 (1)

PE-12 EMERGENCY LIGHTING 

Control: The organization employs and maintains automatic emergency lighting for the 

information system that activates in the event of a power outage or disruption and that covers 

emergency exits and evacuation routes within the facility. 

Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by 

similar requirements fulfilled by another organizational entity other than the information security 

program. Organizations avoid duplicating actions already covered. 

Control Enhancements:

(1) The organization provides emergency lighting for all areas within the facility supporting essential 

missions and business functions.

References: None.

Priority and Baseline Allocation:

P1 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 

for the information system that are supported by an independent energy source. 

Supplemental Guidance: Fire suppression and detection devices/systems include, for example, 

sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors. This control, 

to include any enhancements specified, may be satisfied by similar requirements fulfilled by 

another organizational entity other than the information security program. Organizations avoid 

duplicating actions already covered. 

Control Enhancements:

(1) The organization employs fire detection devices/systems for the information system that activate 

automatically and notify the organization and emergency responders in the event of a fire. 

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(2) The organization employs fire suppression devices/systems for the information system that 

provide automatic notification of any activation to the organization and emergency responders. 

(3) The organization employs an automatic fire suppression capability for the information system 

when the facility is not staffed on a continuous basis. 

(4) The organization ensures that the facility undergoes [Assignment: organization-defined frequency] 

fire marshal inspections and promptly resolves identified deficiencies. 

References: None.

Priority and Baseline Allocation:

P1 LOW PE-13 MOD PE-13 (1) (2) (3) HIGH PE-13 (1) (2) (3)

PE-14 TEMPERATURE AND HUMIDITY CONTROLS 

Control: The organization: 

a. Maintains temperature and humidity levels within the facility where the information system 

resides at [Assignment: organization-defined acceptable levels]; and 

b. Monitors temperature and humidity levels [Assignment: organization-defined frequency]. 

Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by 

similar requirements fulfilled by another organizational entity other than the information security 

program. Organizations avoid duplicating actions already covered. 

Control Enhancements:

(1) The organization employs automatic temperature and humidity controls in the facility to prevent 

fluctuations potentially harmful to the information system.

(2) The organization employs temperature and humidity monitoring that provides an alarm or 

notification of changes potentially harmful to personnel or equipment.

References: None.

Priority and Baseline Allocation:

P1 LOW PE-14 MOD PE-14 HIGH PE-14

PE-15 WATER DAMAGE PROTECTION 

Control: The organization protects the information system from damage resulting from water 

leakage by providing master shutoff valves that are accessible, working properly, and known to 

key personnel. 

Supplemental Guidance: This control, to include any enhancements specified, may be satisfied by 

similar requirements fulfilled by another organizational entity other than the information security 

program. Organizations avoid duplicating actions already covered. 

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 water leak. 

References: None.

Priority and Baseline Allocation:

P1 LOW PE-15 MOD PE-15 HIGH PE-15 (1)

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PE-16 DELIVERY AND REMOVAL 

Control: The organization authorizes, monitors, and controls [Assignment: organization-defined 

types of information system components] entering and exiting the facility and maintains records of 

those items. 

Supplemental Guidance: Effectively enforcing authorizations for entry and exit of information 

system components may require restricting access to delivery areas and possibly isolating the 

areas from the information system and media libraries. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW PE-16 MOD PE-16 HIGH PE-16

PE-17 ALTERNATE WORK SITE 

Control: The organization: 

a. Employs [Assignment: organization-defined management, operational, and technical 

information system security controls] at alternate work sites; 

b. Assesses as feasible, the effectiveness of security controls at alternate work sites; and 

c. Provides a means for employees to communicate with information security personnel in case 

of security incidents or problems. 

Supplemental Guidance: Alternate work sites may include, for example, government facilities or 

private residences of employees. The organization may define different sets of security controls 

for specific alternate work sites or types of sites. 

Control Enhancements: None. 

References: NIST Special Publication 800-46.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD PE-17 HIGH PE-17

PE-18 LOCATION OF INFORMATION SYSTEM COMPONENTS 

Control: The organization positions information system components within the facility to minimize 

potential damage from physical and environmental hazards and to minimize the opportunity for 

unauthorized access. 

Supplemental Guidance: Physical and environmental hazards include, for example, flooding, fire, 

tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, 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. In addition, 

the organization considers the location of physical entry points where unauthorized individuals, 

while not being granted access, might nonetheless be in close proximity to the information system 

and therefore, increase the potential for unauthorized access to organizational communications 

(e.g., through the use of wireless sniffers or microphones). This control, to include any 

enhancements specified, may be satisfied by similar requirements fulfilled by another 

organizational entity other than the information security program. Organizations avoid duplicating 

actions already covered. 

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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. 

References: None.

Priority and Baseline Allocation:

P2 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 security categorization of the information system (with respect to 

confidentiality) 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:

(1) The organization ensures that information system components, associated data communications, 

and networks are protected in accordance with: (i) national emissions and TEMPEST policies and 

procedures; and (ii) the sensitivity of the information being transmitted.

References: FIPS Publication 199.

Priority and Baseline Allocation:

P0 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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented security planning policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the security planning 

policy and associated security planning controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the security planning family. The policy and procedures are consistent with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The 

organizational risk management strategy is a key factor in the development of the security 

planning policy. Related control: PM-9. 

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-18, 800-100.

Priority and Baseline Allocation:

P1 LOW PL-1 MOD PL-1 HIGH PL-1

PL-2 SYSTEM SECURITY PLAN 

Control: The organization: 

a. Develops a security plan for the information system that: 

- Is consistent with the organization’s enterprise architecture; 

- Explicitly defines the authorization boundary for the system; 

- Describes the operational context of the information system in terms of missions and 

business processes; 

- Provides the security category and impact level of the information system including 

supporting rationale; 

- Describes the operational environment for the information system; 

- Describes relationships with or connections to other information systems; 

- Provides an overview of the security requirements for the system; 

- Describes the security controls in place or planned for meeting those requirements 

including a rationale for the tailoring and supplementation decisions; and 

- Is reviewed and approved by the authorizing official or designated representative prior to 

plan implementation; 

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b. Reviews the security plan for the information system [Assignment: organization-defined 

frequency]; and 

c. Updates the plan to address changes to the information system/environment of operation or 

problems identified during plan implementation or security control assessments. 

Supplemental Guidance: The security plan contains sufficient information (including specification of 

parameters for assignment and selection statements in security controls either explicitly or by 

reference) to enable an implementation that is unambiguously compliant with the intent of the plan 

and a subsequent determination of risk to organizational operations and assets, individuals, other 

organizations, and the Nation if the plan is implemented as intended. Related controls: PM-1, 

PM-7, PM-8, PM-9, PM-11. 

Control Enhancements:

(1) The organization: 

(a) Develops a security Concept of Operations (CONOPS) for the information system containing, 

at a minimum: (i) the purpose of the system; (ii) a description of the system architecture; (iii) 

the security authorization schedule; and (iv) the security categorization and associated 

factors considered in determining the categorization; and 

(b) Reviews and updates the CONOPS [Assignment: organization-defined frequency]. 

Enhancement Supplemental Guidance: The security CONOPS may be included in the security 

plan for the information system.

(2) The organization develops a functional architecture for the information system that identifies and 

maintains: 

(a) External interfaces, the information being exchanged across the interfaces, and the protection 

mechanisms associated with each interface; 

(b) User roles and the access privileges assigned to each role; 

(c) Unique security requirements; 

(d) Types of information processed, stored, or transmitted by the information system and any 

specific protection needs in accordance with applicable federal laws, Executive Orders, 

directives, policies, regulations, standards, and guidance; and 

(e) Restoration priority of information or information system services. 

Enhancement Supplemental Guidance: Unique security requirements for the information system 

include, for example, encryption of key data elements at rest. Specific protection needs for 

the information system include, for example, the Privacy Act and Health Insurance Portability 

and Accountability Act.

References: NIST Special Publication 800-18.

Priority and Baseline Allocation:

P1 LOW PL-2 MOD PL-2 HIGH PL-2

PL-3 SYSTEM SECURITY PLAN UPDATE 

[Withdrawn: Incorporated into PL-2].

PL-4 RULES OF BEHAVIOR 

Control: The organization: 

a. Establishes and makes readily available to all information system users, the rules that describe 

their responsibilities and expected behavior with regard to information and information 

system usage; and 

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b. Receives signed acknowledgment from users indicating that they have read, understand, and 

agree to abide by the rules of behavior, before authorizing access to information and the 

information system. 

Supplemental Guidance: The organization considers different sets of rules based on user roles and 

responsibilities, for example, differentiating between the rules that apply to privileged users and 

rules that apply to general users. Electronic signatures are acceptable for use in acknowledging 

rules of behavior. Related control: PS-6. 

Control Enhancements:

(1) The organization includes in the rules of behavior, explicit restrictions on the use of social 

networking sites, posting information on commercial websites, and sharing information system 

account information. 

References: NIST Publication 800-18.

Priority and Baseline Allocation:

P1 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: None. 

Control Enhancements: None. 

References: OMB Memorandum 03-22.

Priority and Baseline Allocation:

P1 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: Security-related activities include, for example, security assessments, 

audits, system hardware and software maintenance, and contingency plan testing/exercises. 

Organizational advance planning and coordination includes both emergency and nonemergency 

(i.e., planned or nonurgent unplanned) situations. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P3 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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented personnel security policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the personnel security 

policy and associated personnel security controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the personnel security family. The policy and procedures are consistent with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The 

organizational risk management strategy is a key factor in the development of the personnel 

security policy. Related control: PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100.

Priority and Baseline Allocation:

P1 LOW PS-1 MOD PS-1 HIGH PS-1

PS-2 POSITION CATEGORIZATION 

Control: The organization: 

a. Assigns a risk designation to all positions;

b. Establishes screening criteria for individuals filling those positions; and

c. Reviews and revises position risk designations [Assignment: organization-defined frequency].

Supplemental Guidance: Position risk designations are consistent with Office of Personnel 

Management policy and guidance. The screening criteria include explicit information security 

role appointment requirements (e.g., training, security clearance). 

Control Enhancements: None. 

References: 5 CFR 731.106(a).

Priority and Baseline Allocation:

P1 LOW PS-2 MOD PS-2 HIGH PS-2

PS-3 PERSONNEL SCREENING 

Control: The organization: 

a. Screens individuals prior to authorizing access to the information system; and 

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b. Rescreens individuals according to [Assignment: organization-defined list of conditions 

requiring rescreening and, where re-screening is so indicated, the frequency of such 

rescreening]. 

Supplemental Guidance: Screening and rescreening are consistent with applicable federal laws, 

Executive Orders, directives, policies, regulations, standards, guidance, and the criteria established 

for the risk designation of the assigned position. The organization may define different rescreening 

conditions and frequencies for personnel accessing the information system based on the type of 

information processed, stored, or transmitted by the system. 

Control Enhancements:

(1) The organization ensures that every user accessing an information system processing, storing, or 

transmitting classified information is cleared and indoctrinated to the highest classification level of 

the information on the system. 

(2) The organization ensures that every user accessing an information system processing, storing, or 

transmitting types of classified information which require formal indoctrination, is formally 

indoctrinated for all of the relevant types of information on the system. 

Enhancement Supplemental Guidance: Types of information requiring formal indoctrination 

include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive 

Compartment Information (SCI). 

References: 5 CFR 731.106; FIPS Publications 199, 201; NIST Special Publications 800-73, 800-

76, 800-78; ICD 704.

Priority and Baseline Allocation:

P1 LOW PS-3 MOD PS-3 HIGH PS-3

PS-4 PERSONNEL TERMINATION 

Control: The organization, upon termination of individual employment: 

a. Terminates information system access; 

b. Conducts exit interviews; 

c. Retrieves all security-related organizational information system-related property; and 

d. Retains access to organizational information and information systems formerly controlled by 

terminated individual. 

Supplemental Guidance: Information system-related property includes, for example, hardware 

authentication tokens, system administration technical manuals, keys, identification cards, and 

building passes. Exit interviews ensure that individuals understand any security constraints 

imposed by being former employees and that proper accountability is achieved for all information 

system-related property. Exit interviews may not be possible for some employees (e.g., in the case 

of job abandonment, some illnesses, and nonavailability of supervisors). Exit interviews are 

important for individuals with security clearances. Timely execution of this control is particularly 

essential for employees or contractors terminated for cause. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P2 LOW PS-4 MOD PS-4 HIGH PS-4

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PS-5 PERSONNEL TRANSFER 

Control: The organization reviews logical and physical access authorizations to information 

systems/facilities when personnel are reassigned or transferred to other positions within the 

organization and initiates [Assignment: organization-defined transfer or reassignment actions] 

within [Assignment: organization-defined time period following the formal transfer action]. 

Supplemental Guidance: This control applies when the reassignment or transfer of an employee is 

permanent or of such an extended duration as to make the actions warranted. In addition the 

organization defines the actions appropriate for the type of reassignment or transfer; whether 

permanent or temporary. Actions that may be required when personnel are transferred or 

reassigned to other positions within the organization include, for example: (i) returning old and 

issuing new keys, identification cards, and building passes; (ii) closing previous information 

system accounts and establishing new accounts; (iii) changing information system access 

authorizations; and (iv) providing for access to official records to which the employee had access 

at the previous work location and in the previous information system accounts. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P2 LOW PS-5 MOD PS-5 HIGH PS-5

PS-6 ACCESS AGREEMENTS 

Control: The organization: 

a. Ensures that individuals requiring access to organizational information and information 

systems sign appropriate access agreements prior to being granted access; and 

b. Reviews/updates the access 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. Signed access 

agreements include an acknowledgement that individuals have read, understand, and agree to 

abide by the constraints associated with the information system to which access is authorized. 

Electronic signatures are acceptable for use in acknowledging access agreements unless 

specifically prohibited by organizational policy. Related control: PL-4. 

Control Enhancements:

(1) The organization ensures that access to information with special protection measures is granted 

only to individuals who: 

(a) Have a valid access authorization that is demonstrated by assigned official government 

duties; and 

(b) Satisfy associated personnel security criteria. 

Enhancement Supplemental Guidance: Information with special protection measures includes, 

for example, privacy information, proprietary information, and Sources and Methods 

Information (SAMI). Personnel security criteria include, for example, position sensitivity 

background screening requirements.

(2) The organization ensures that access to classified information with special protection measures is 

granted only to individuals who: 

(a) Have a valid access authorization that is demonstrated by assigned official government 

duties; 

(b) Satisfy associated personnel security criteria consistent with applicable federal laws, 

Executive Orders, directives, policies, regulations, standards, and guidance; and 

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(c) Have read, understand, and signed a nondisclosure agreement. 

Enhancement Supplemental Guidance: Examples of special protection measures include, for 

example, collateral, Special Access Program (SAP) and Sensitive Compartmented 

Information (SCI).

References: None.

Priority and Baseline Allocation:

P3 LOW PS-6 MOD PS-6 HIGH PS-6

PS-7 THIRD-PARTY PERSONNEL SECURITY 

Control: The organization: 

a. Establishes personnel security requirements including security roles and responsibilities for 

third-party providers; 

b. Documents personnel security requirements; and 

c. 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. 

Control Enhancements: None. 

References: NIST Special Publication 800-35.

Priority and Baseline Allocation:

P1 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 federal laws, Executive 

Orders, directives, policies, regulations, standards, and guidance. The process is described in 

access agreements and can be included as part of the general personnel policies and procedures for 

the organization. Related controls: PL-4, PS-6. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P3 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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented risk assessment policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, and 

compliance; and 

b. Formal, documented procedures to facilitate the implementation of the risk assessment policy 

and associated risk assessment controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the risk assessment family. The policy and procedures are consistent with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance. Existing 

organizational policies and procedures may make the need for additional specific policies and 

procedures unnecessary. 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. The 

organizational risk management strategy is a key factor in the development of the risk assessment 

policy. Related control: PM-9. 

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-30,800-100.

Priority and Baseline Allocation:

P1 LOW RA-1 MOD RA-1 HIGH RA-1

RA-2 SECURITY CATEGORIZATION 

Control: The organization: 

a. Categorizes information and the information system in accordance with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance; 

b. Documents the security categorization results (including supporting rationale) in the security 

plan for the information system; and 

c. Ensures the security categorization decision is reviewed and approved by the authorizing 

official or authorizing official designated representative. 

Supplemental Guidance: A clearly defined authorization boundary is a prerequisite for an effective 

security categorization. Security categorization describes the potential adverse impacts to 

organizational operations, organizational assets, and individuals should the information and 

information system be comprised through a loss of confidentiality, integrity, or availability. The 

organization conducts the security categorization process as an organization-wide activity with the 

involvement of the chief information officer, senior information security officer, information 

system owner, mission owners, and information owners/stewards. The organization also considers 

potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act 

of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts in 

categorizing the information system. The security categorization process facilitates the creation of 

an inventory of information assets, and in conjunction with CM-8, a mapping to the information 

system components where the information is processed, stored, and transmitted. Related controls: 

CM-8, MP-4, SC-7. 

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Control Enhancements: None. 

 References: FIPS Publication 199; NIST Special Publications 800-30, 800-39, 800-60.

Priority and Baseline Allocation:

P1 LOW RA-2 MOD RA-2 HIGH RA-2

RA-3 RISK ASSESSMENT 

Control: The organization: 

a. Conducts an assessment of risk, including the likelihood and magnitude of harm, from the 

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

information system and the information it processes, stores, or transmits; 

b. Documents risk assessment results in [Selection: security plan; risk assessment report;

[Assignment: organization-defined document]]; 

c. Reviews risk assessment results [Assignment: organization-defined frequency]; and 

d. Updates the risk assessment [Assignment: organization-defined frequency] or whenever there 

are significant changes to the information system or environment of operation (including the 

identification of new threats and vulnerabilities), or other conditions that may impact the 

security state of the system. 

Supplemental Guidance: A clearly defined authorization boundary is a prerequisite for an effective 

risk assessment. Risk assessments take into account vulnerabilities, threat sources, and security 

controls planned or in place to determine the level of residual risk posed to organizational 

operations and assets, individuals, other organizations, and the Nation based on the operation of 

the information system. Risk assessments also take into account risk posed to organizational 

operations, organizational assets, or individuals from external parties (e.g., service providers, 

contractors operating information systems on behalf of the organization, individuals accessing 

organizational information systems, outsourcing entities). 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. 

Risk assessments (either formal or informal) can be conducted by organizations at various steps in 

the Risk Management Framework including: information system categorization; security control 

selection; security control implementation; security control assessment; information system 

authorization; and security control monitoring. RA-3 is a noteworthy security control in that the 

control must be partially implemented prior to the implementation of other controls in order to 

complete the first two steps in the Risk Management Framework. Risk assessments can play an 

important role in the security control selection process during the application of tailoring guidance 

for security control baselines and when considering supplementing the tailored baselines with 

additional security controls or control enhancements. 

Control Enhancements: None. 

References: NIST Special Publication 800-30.

Priority and Baseline Allocation:

P1 LOW RA-3 MOD RA-3 HIGH RA-3

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RA-4 RISK ASSESSMENT UPDATE 

[Withdrawn: Incorporated into RA-3].

RA-5 VULNERABILITY SCANNING 

Control: The organization: 

a. Scans for vulnerabilities in the information system and hosted applications [Assignment: 

organization-defined frequency and/or randomly in accordance with organization-defined 

process] and when new vulnerabilities potentially affecting the system/applications are 

identified and reported; 

b. Employs vulnerability scanning tools and techniques that promote interoperability among 

tools and automate parts of the vulnerability management process by using standards for: 

- Enumerating platforms, software flaws, and improper configurations; 

- Formatting and making transparent, checklists and test procedures; and 

- Measuring vulnerability impact; 

c. Analyzes vulnerability scan reports and results from security control assessments; 

d. Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in 

accordance with an organizational assessment of risk; and 

e. Shares information obtained from the vulnerability scanning process and security control 

assessments with designated personnel throughout the organization to help eliminate similar 

vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies). 

Supplemental Guidance: The security categorization of the information system guides the frequency 

and comprehensiveness of the vulnerability scans. Vulnerability analysis for custom software and 

applications may require additional, more specialized techniques and approaches (e.g., web-based 

application scanners, source code reviews, source code analyzers). Vulnerability scanning 

includes scanning for specific functions, ports, protocols, and services that should not be 

accessible to users or devices and for improperly configured or incorrectly operating information 

flow mechanisms. The organization considers using tools that express vulnerabilities in the 

Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open 

Vulnerability Assessment Language (OVAL) to test for the presence of vulnerabilities. The 

Common Weakness Enumeration (CWE) and the National Vulnerability Database (NVD) are also 

excellent sources for vulnerability information. In addition, security control assessments such as 

red team exercises are another source of potential vulnerabilities for which to scan. Related 

controls: CA-2, CM-6, RA-3, SI-2. 

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 new vulnerabilities are identified and reported. 

(3) The organization employs vulnerability scanning procedures that can demonstrate the breadth and 

depth of coverage (i.e., information system components scanned and vulnerabilities checked). 

(4) The organization attempts to discern what information about the information system is 

discoverable by adversaries. 

(5) The organization includes privileged access authorization to [Assignment: organization-identified 

information system components] for selected vulnerability scanning activities to facilitate more 

thorough scanning. 

(6) The organization employs automated mechanisms to compare the results of vulnerability scans 

over time to determine trends in information system vulnerabilities. 

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(7) The organization employs automated mechanisms [Assignment: organization-defined frequency] 

to detect the presence of unauthorized software on organizational information systems and notify 

designated organizational officials. 

(8) The organization reviews historic audit logs to determine if a vulnerability identified in the 

information system has been previously exploited. 

(9) The organization employs an independent penetration agent or penetration team to: 

(a) Conduct a vulnerability analysis on the information system; and 

(b) Perform penetration testing on the information system based on the vulnerability analysis to 

determine the exploitability of identified vulnerabilities. 

Enhancement Supplemental Guidance: A standard method for penetration testing includes: (i) 

pre-test analysis based on full knowledge of the target information system; (ii) pre-test 

identification of potential vulnerabilities based on pre-test analysis; and (iii) testing designed 

to determine exploitability of identified vulnerabilities. Detailed rules of engagement are 

agreed upon by all parties before the commencement of any penetration testing scenario.

References: NIST Special Publications 800-40, 800-70, 800-115; Web: CWE.MITRE.ORG; 

NVD.NIST.GOV.

Priority and Baseline Allocation:

P1 LOW RA-5 MOD RA-5 (1) HIGH RA-5 (1) (2) (3) (4) (5) (7)
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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 reviews/updates [Assignment: organizationdefined frequency]: 

a. 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 

b. Formal, documented procedures to facilitate the implementation of the system and services 

acquisition policy and associated system and services acquisition controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the system and services acquisition family. The policy and procedures are consistent with 

applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Existing organizational policies and procedures may make the need for additional 

specific policies and procedures unnecessary. 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. The organizational risk management strategy is a 

key factor in the development of the system and services acquisition policy. Related control: PM9. 

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100.

Priority and Baseline Allocation:

P1 LOW SA-1 MOD SA-1 HIGH SA-1

SA-2 ALLOCATION OF RESOURCES 

Control: The organization: 

a. Includes a determination of information security requirements for the information system in 

mission/business process planning; 

b. Determines, documents, and allocates the resources required to protect the information system 

as part of its capital planning and investment control process; and 

c. Establishes a discrete line item for information security in organizational programming and 

budgeting documentation. 

Supplemental Guidance: Related controls: PM-3, PM-11. 

Control Enhancements: None. 

References: NIST Special Publication 800-65.

Priority and Baseline Allocation:

P1 LOW SA-2 MOD SA-2 HIGH SA-2

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SA-3 LIFE CYCLE SUPPORT 

Control: The organization: 

a. Manages the information system using a system development life cycle methodology that 

includes information security considerations; 

b. Defines and documents information system security roles and responsibilities throughout the 

system development life cycle; and 

c. Identifies individuals having information system security roles and responsibilities. 

Supplemental Guidance: Related control: PM-7. 

Control Enhancements: None. 

References: NIST Special Publication 800-64.

Priority and Baseline Allocation:

P1 LOW SA-3 MOD SA-3 HIGH SA-3

SA-4 ACQUISITIONS 

Control: The organization includes the following requirements and/or specifications, explicitly or 

by reference, in information system acquisition contracts based on an assessment of risk and in 

accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and 

standards: 

a. Security functional requirements/specifications; 

b. Security-related documentation requirements; and 

c. Developmental and evaluation-related assurance requirements. 

Supplemental Guidance: The acquisition documents for information systems, information system 

components, and information system services include, either explicitly or by reference, security 

requirements that describe: (i) required security capabilities (i.e., 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 acquisition documents permit updating security controls 

as new threats/vulnerabilities are identified and as new technologies are implemented. Acquisition 

documents also include requirements for appropriate information system documentation. The 

documentation addresses user and system 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 security categorization for the information system. In addition, 

the required documentation includes security configuration settings and security implementation 

guidance. FISMA reporting instructions provide guidance on configuration requirements for 

federal information systems. 

Control Enhancements:

(1) The organization requires in acquisition documents that vendors/contractors provide information 

describing the functional properties of the security controls to be employed within the information 

system, information system components, or information system services in sufficient detail to 

permit analysis and testing of the controls. 

(2) The organization requires in acquisition documents that vendors/contractors provide information 

describing the design and implementation details of the security controls to be employed within 

the information system, information system components, or information system services 

(including functional interfaces among control components) in sufficient detail to permit analysis 

and testing of the controls. 

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(3) The organization requires software vendors/manufacturers to demonstrate that their software 

development processes employ state-of-the-practice software and security engineering methods, 

quality control processes, and validation techniques to minimize flawed or malformed software. 

(4) The organization ensures that each information system component acquired is explicitly assigned 

to an information system, and that the owner of the system acknowledges this assignment. 

(5) The organization requires in acquisition documents, that information system components are 

delivered in a secure, documented configuration, and that the secure configuration is the default 

configuration for any software reinstalls or upgrades. 

(6) The organization: 

(a) Employs only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) 

information assurance (IA) and IA-enabled information technology products that composes an 

NSA-approved solution to protect classified information when the networks used to transmit 

the information are at a lower classification level than the information being transmitted; and 

(b) Ensures that these products have been evaluated and/or validated by the NSA or in 

accordance with NSA-approved procedures. 

Enhancement Supplemental Guidance: COTS IA or IA-enabled information technology products 

used to protect classified information by cryptographic means, may be required to use NSAapproved key management. 

(7) The organization: 

(a) Limits the use of commercially provided information technology products to those products 

that have been successfully evaluated against a validated U.S. Government Protection Profile 

for a specific technology type, if such a profile exists; and 

(b) Requires, if no U.S. Government Protection Profile exists for a specific technology type but a 

commercially provided information technology product relies on cryptographic functionality 

to enforce its security policy, then the cryptographic module is FIPS-validated. 

References: ISO/IEC 15408; FIPS 140-2; NIST Special Publications 800-23, 800-35, 800-36, 800-

64, 800-70; Web: WWW.NIAP-CCEVS.ORG.

Priority and Baseline Allocation:

P1 LOW SA-4 MOD SA-4 (1) (4) HIGH SA-4 (1) (2) (4)

SA-5 INFORMATION SYSTEM DOCUMENTATION 

Control: The organization: 

a. Obtains, protects as required, and makes available to authorized personnel, administrator 

documentation for the information system that describes: 

- Secure configuration, installation, and operation of the information system; 

- Effective use and maintenance of security features/functions; and 

- Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) 

functions; and 

b. Obtains, protects as required, and makes available to authorized personnel, user 

documentation for the information system that describes: 

- User-accessible security features/functions and how to effectively use those security 

features/functions; 

- Methods for user interaction with the information system, which enables individuals to 

use the system in a more secure manner; and 

- User responsibilities in maintaining the security of the information and information 

system; and 

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c. Documents attempts to obtain information system documentation when such documentation is 

either unavailable or nonexistent. 

Supplemental Guidance: The inability of the organization to obtain necessary information system 

documentation may occur, for example, due to the age of the system and/or lack of support from 

the vendor/contractor. In those situations, organizations may need to recreate selected information 

system documentation if such documentation is essential to the effective implementation and/or 

operation of security controls. 

Control Enhancements:

(1) The organization obtains, protects as required, and makes available to authorized personnel, 

vendor/manufacturer documentation that describes the functional properties of the security 

controls employed within the information system with sufficient detail to permit analysis and 

testing. 

(2) The organization obtains, protects as required, and makes available to authorized personnel, 

vendor/manufacturer documentation that describes the security-relevant external interfaces to the 

information system with sufficient detail to permit analysis and testing. 

(3) The organization obtains, protects as required, and makes available to authorized personnel, 

vendor/manufacturer documentation that describes the high-level design of the information system 

in terms of subsystems and implementation details of the security controls employed within the 

system with sufficient detail to permit analysis and testing. 

Enhancement Supplemental Guidance: An information system can be partitioned into multiple 

subsystems.

(4) The organization obtains, protects as required, and makes available to authorized personnel, 

vendor/manufacturer documentation that describes the low-level design of the information system 

in terms of modules and implementation details of the security controls employed within the 

system with sufficient detail to permit analysis and testing. 

Enhancement Supplemental Guidance: Each subsystem within an information system can contain 

one or more modules.

(5) The organization obtains, protects as required, and makes available to authorized personnel, the 

source code for the information system to permit analysis and testing. 

References: None.

Priority and Baseline Allocation:

P2 LOW SA-5 MOD SA-5 (1) (3) HIGH SA-5 (1) (2) (3)

SA-6 SOFTWARE USAGE RESTRICTIONS 

Control: The organization: 

a. Uses software and associated documentation in accordance with contract agreements and 

copyright laws; 

b. Employs tracking systems for software and associated documentation protected by quantity 

licenses to control copying and distribution; and 

c. Controls and documents the use of peer-to-peer file sharing technology to ensure that this 

capability is not used for the unauthorized distribution, display, performance, or reproduction 

of copyrighted work. 

Supplemental Guidance: Tracking systems can include, for example, simple spreadsheets or fully 

automated, specialized applications depending on the needs of the organization. 

Control Enhancements:

(1) The organization: 

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(a) Prohibits the use of binary or machine executable code from sources with limited or no 

warranty without accompanying source code; and 

(b) Provides exceptions to the source code requirement only for compelling mission/operational 

requirements when no alternative solutions are available and with the express written consent 

of the authorizing official. 

Enhancement Supplemental Guidance: Software products without accompanying source code 

from sources with limited or no warranty are assessed for potential security impacts. The 

assessment addresses the fact that these types of software products are difficult or impossible 

to review, repair, or extend, given that the organization does not have access to the original 

source code and there is no owner who could make such repairs on behalf of the organization.

References: None.

Priority and Baseline Allocation:

P1 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 whose pedigree with regard to being potentially malicious is unknown or suspect). 

Related control: CM-2. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW SA-7 MOD SA-7 HIGH SA-7

SA-8 SECURITY ENGINEERING PRINCIPLES 

Control: The organization applies information system security engineering principles in the 

specification, design, development, implementation, and modification of the information system. 

Supplemental Guidance: 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 within the system. Examples of security 

engineering principles include, for example: (i) developing layered protections; (ii) establishing 

sound security policy, architecture, and controls as the foundation for design; (iii) incorporating 

security into the system development life cycle; (iv) delineating physical and logical security 

boundaries; (v) ensuring system developers and integrators are trained on how to develop secure 

software; (vi) tailoring security controls to meet organizational and operational needs; and (vii) 

reducing risk to acceptable levels, thus enabling informed risk management decisions.

Control Enhancements: None. 

References: NIST Special Publication 800-27.

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Priority and Baseline Allocation:

P1 LOW Not Selected MOD SA-8 HIGH SA-8

SA-9 EXTERNAL INFORMATION SYSTEM SERVICES 

Control: The organization: 

a. Requires that providers of external information system services comply with organizational 

information security requirements and employ appropriate security controls in accordance 

with applicable federal laws, Executive Orders, directives, policies, regulations, standards, 

and guidance; 

b. Defines and documents government oversight and user roles and responsibilities with regard 

to external information system services; and 

c. Monitors security control compliance by external service providers. 

Supplemental Guidance: An external information system service is a service that is implemented 

outside of the authorization 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., contracts, interagency agreements, lines of 

business arrangements), licensing agreements, and/or supply chain exchanges. The responsibility 

for adequately mitigating risks arising from the use of external information system services 

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

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

with information 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 provider in the 

potentially complex consumer-provider relationship provides adequate protection for the services 

rendered to the organization. The extent and nature of this chain of trust varies based on the 

relationship between the organization and the external provider. 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. 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 noncompliance. 

Control Enhancements:

(1) The organization: 

(a) Conducts an organizational assessment of risk prior to the acquisition or outsourcing of 

dedicated information security services; and 

(b) Ensures that the acquisition or outsourcing of dedicated information security services is 

approved by [Assignment: organization-defined senior organizational official]. 

Enhancement Supplemental Guidance: Dedicated information security services include, for 

example, incident monitoring, analysis and response, operation of information security-related 

devices such as firewalls, or key management services.

References: NIST Special Publication 800-35.

Priority and Baseline Allocation:

P1 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/integrators: 

a. Perform configuration management during information system design, development, 

implementation, and operation; 

b. Manage and control changes to the information system; 

c. Implement only organization-approved changes; 

d. Document approved changes to the information system; and 

e. Track security flaws and flaw resolution. 

Supplemental Guidance: Related controls: CM-3, CM-4, CM-9. 

Control Enhancements:

(1) The organization requires that information system developers/integrators provide an integrity 

check of software to facilitate organizational verification of software integrity after delivery. 

(2) The organization provides an alternative configuration management process with organizational 

personnel in the absence of dedicated developer/integrator configuration management team. 

Enhancement Supplemental Guidance: The configuration management process includes key 

organizational personnel that are responsible for reviewing and approving proposed changes 

to the information system, and security personnel that conduct impact analyses prior to the 

implementation of any changes to the system.

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SA-10 HIGH SA-10

SA-11 DEVELOPER SECURITY TESTING 

Control: The organization requires that information system developers/integrators, in consultation 

with associated security personnel (including security engineers): 

a. Create and implement a security test and evaluation plan; 

b. Implement a verifiable flaw remediation process to correct weaknesses and deficiencies 

identified during the security testing and evaluation process; and 

c. Document the results of the security testing/evaluation and flaw remediation processes. 

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 authorization process for the delivered 

information system. Related control: CA-2, SI-2. 

Control Enhancements:

(1) The organization requires that information system developers/integrators employ code analysis 

tools to examine software for common flaws and document the results of the analysis. 

(2) The organization requires that information system developers/integrators perform a vulnerability 

analysis to document vulnerabilities, exploitation potential, and risk mitigations. 

(3) The organization requires that information system developers/integrators create a security test and 

evaluation plan and implement the plan under the witness of an independent verification and 

validation agent. 

References: None.

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Priority and Baseline Allocation:

P2 LOW Not Selected MOD SA-11 HIGH SA-11

SA-12 SUPPLY CHAIN PROTECTION 

Control: The organization protects against supply chain threats by employing: [Assignment: 

organization-defined list of measures to protect against supply chain threats] as part of a 

comprehensive, defense-in-breadth information security strategy. 

Supplemental Guidance: A defense-in-breadth approach helps to protect information systems 

(including the information technology products that compose those systems) throughout the 

system development life cycle (i.e., during design and development, manufacturing, packaging, 

assembly, distribution, system integration, operations, maintenance, and retirement). This is 

accomplished by the identification, management, and elimination of vulnerabilities at each phase 

of the life cycle and the use of complementary, mutually reinforcing strategies to mitigate risk. 

Control Enhancements:

(1) The organization purchases all anticipated information system components and spares in the 

initial acquisition. 

Enhancement Supplemental Guidance: Stockpiling information system components and spares 

avoids the need to use less trustworthy secondary or resale markets in future years. 

(2) The organization conducts a due diligence review of suppliers prior to entering into contractual 

agreements to acquire information system hardware, software, firmware, or services. 

Enhancement Supplemental Guidance: The organization reviews supplier claims with regard to 

the use of appropriate security processes in the development and manufacture of information 

system components or products. 

(3) The organization uses trusted shipping and warehousing for information systems, information 

system components, and information technology products. 

Enhancement Supplemental Guidance: Trusted shipping and warehousing reduces opportunities 

for subversive activities or interception during transit. Examples of supporting techniques 

include the use of a geographically aware beacon to detect shipment diversions or delays. 

Related control: PE-16. 

(4) The organization employs a diverse set of suppliers for information systems, information system 

components, information technology products, and information system services. 

Enhancement Supplemental Guidance: Diversification of suppliers is intended to limit the 

potential harm from a given supplier in a supply chain, increasing the work factor for an 

adversary. 

(5) The organization employs standard configurations for information systems, information system 

components, and information technology products. 

Enhancement Supplemental Guidance: By avoiding the purchase of custom configurations for 

information systems, information system components, and information technology products, 

the organization limits the possibility of acquiring systems and products that have been 

corrupted via the supply chain actions targeted at the organization. 

(6) The organization minimizes the time between purchase decisions and delivery of information 

systems, information system components, and information technology products. 

Enhancement Supplemental Guidance: By minimizing the time between purchase decisions and 

required delivery of information systems, information system components, and information 

technology products, the organization limits the opportunity for an adversary to corrupt the 

purchased system, component, or product. 

(7) The organization employs independent analysis and penetration testing against delivered 

information systems, information system components, and information technology products. 

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References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD Not Selected HIGH SA-12

SA-13 TRUSTWORTHINESS 

Control: The organization requires that the information system meets [Assignment: organizationdefined level of trustworthiness]. 

Supplemental Guidance: The intent of this control is to ensure that organizations recognize the 

importance of trustworthiness and making explicit trustworthiness decisions when designing, 

developing, and implementing organizational information systems. Trustworthiness is a 

characteristic or property of an information system that expresses the degree to which the system 

can be expected to preserve the confidentiality, integrity, and availability of the information being 

processed, stored, or transmitted by the system. Trustworthy information systems are systems that 

are capable of being trusted to operate within defined levels of risk despite the environmental 

disruptions, human errors, and purposeful attacks that are expected to occur in the specified 

environments of operation. Two factors affecting the trustworthiness of an information system 

include: (i) security functionality (i.e., the security features or functions employed within the 

system); and (ii) security assurance (i.e., the grounds for confidence that the security functionality 

is effective in its application). 

Appropriate security functionality for the information system can be obtained by using the Risk 

Management Framework (Steps 1, 2, and 3) to select and implement the necessary management, 

operational, and technical security controls necessary to mitigate risk to organizational operations 

and assets, individuals, other organizations, and the Nation. Appropriate security assurance can be 

obtained by: (i) the actions taken by developers and implementers of security controls with regard 

to the design, development, implementation, and operation of those controls; and (ii) the actions 

taken by assessors 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 information system. 

Developers and implementers can increase the assurance in security controls by employing welldefined security policy models, structured, disciplined, and rigorous hardware and software 

development techniques, and sound system/security engineering principles. Assurance is also 

based on the assessment of evidence produced during the initiation, acquisition/development, 

implementation, and operations/maintenance phases of the system development life cycle. For 

example, developmental evidence may include the techniques and methods used to design and 

develop security functionality. Operational evidence may include flaw reporting and remediation, 

the results of security incident reporting, and the results of the ongoing monitoring of security 

controls. Independent assessments by qualified assessors may include analyses of the evidence as 

well as testing, inspections, and audits. Minimum assurance requirements are described in 

Appendix E. 

Explicit trustworthiness decisions highlight situations where achieving the information system 

resilience and security capability necessary to withstand cyber attacks from adversaries with 

certain threat capabilities may require adjusting the risk management strategy, the design of 

mission/business processes with regard to automation, the selection and implementation rigor of 

management and operational protections, or the selection of information technology components 

with higher levels of trustworthiness. Trustworthiness may be defined on a component-bycomponent, subsystem-by-subsystem, or function-by-function basis. It is noted, however, that 

typically functions, subsystems, and components are highly interrelated, making separation by 

trustworthiness perhaps problematic and at a minimum, something that likely requires careful 

attention in order to achieve practically useful results. Related controls: RA-2, SA-4, SA-8, SC-3. 

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Control Enhancements: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-53, 800-53A, 800-60, 

800-64.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD Not Selected HIGH SA-13

SA-14 CRITICAL INFORMATION SYSTEM COMPONENTS 

Control: The organization: 

a. Determines [Assignment: organization-defined list of critical information system components 

that require re-implementation]; and 

b. Re-implements or custom develops such information system components. 

Supplemental Guidance: The underlying assumption is that the list of information technology 

products defined by the organization cannot be trusted due to threats from the supply chain that the 

organization finds unacceptable. The organization re-implements or custom develops such 

components to satisfy requirements for high assurance. Related controls: SA-12, SA-13. 

Control Enhancements:

(1) The organization: 

(a) Identifies information system components for which alternative sourcing is not viable; and 

(b) Employs [Assignment: organization-defined measures] to ensure that critical security controls 

for the information system components are not compromised. 

Enhancement Supplemental Guidance: Measures that the organization considers implementing 

include, for example, enhanced auditing, restrictions on source code and system utility access, 

and protection from deletion of system and application files.

References: None. 

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected
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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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented system and communications protection policy that addresses purpose, 

scope, roles, responsibilities, management commitment, coordination among organizational 

entities, and compliance; and 

b. Formal, documented procedures to facilitate the implementation of the system and 

communications protection policy and associated system and communications protection 

controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the system and communications protection family. The policy and procedures are consistent 

with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Existing organizational policies and procedures may make the need for additional 

specific policies and procedures unnecessary. 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. The organizational risk management strategy 

is a key factor in the development of the system and communications protection policy. Related 

control: PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100.

Priority and Baseline Allocation:

P1 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: Information system management functionality includes, for example, 

functions necessary to administer databases, network components, workstations, or servers, and 

typically requires privileged user access. The separation of user functionality from information 

system management functionality is either physical or logical and is accomplished by using 

different computers, different central processing units, different instances of the operating system, 

different network addresses, combinations of these methods, or other methods as appropriate. An 

example of this type of separation is observed in web administrative interfaces that use separate 

authentication methods for users of any other information system resources. This may include 

isolating the administrative interface on a different domain and with additional access controls. 

Control Enhancements:

(1) The information system prevents the presentation of information system management-related 

functionality at an interface for general (i.e., non-privileged) users.

Enhancement Supplemental Guidance: The intent of this control enhancement is to ensure that 

administration options are not available to general users (including prohibiting the use of the 

grey-out option commonly used to eliminate accessibility to such information). For example, 

administration options are not presented until the user has appropriately established a session 

with administrator privileges. 

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References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-2 HIGH SC-2

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 an isolation boundary (implemented via partitions and domains) that 

controls access to and protects the 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. Related control: SA-13. 

Control Enhancements:

(1) The information system implements underlying hardware separation mechanisms to facilitate 

security function isolation. 

(2) The information system isolates security functions enforcing access and information flow control 

from both nonsecurity functions and from other security functions. 

(3) The organization implements an information system isolation boundary to minimize the number of 

nonsecurity functions included within the boundary containing security functions. 

Enhancement Supplemental Guidance: Nonsecurity functions contained within the isolation 

boundary are considered security-relevant. 

(4) The organization implements security functions as largely independent modules that avoid 

unnecessary interactions between modules. 

(5) The organization implements security functions 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. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD Not Selected HIGH SC-3

SC-4 INFORMATION IN SHARED RESOURCES

Control: The information system prevents unauthorized and unintended information transfer via 

shared system resources. 

Supplemental Guidance: The purpose of this control is to prevent 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 of 

information in shared resources is also referred to as object reuse. This control does not address: 

(i) information remanence which refers to residual representation of data that has been in some 

way nominally erased or removed; (ii) covert channels where shared resources are manipulated to 

achieve a violation of information flow restrictions; or (iii) components in the information system 

for which there is only a single user/role. 

Control Enhancements:

(1) The information system does not share resources that are used to interface with systems 

operating at different security levels. 

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Enhancement Supplemental Guidance: Shared resources include, for example, memory, 

input/output queues, and network interface cards.

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-4 HIGH SC-4

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. Employing increased capacity and bandwidth combined with 

service redundancy may reduce the susceptibility to some denial of service attacks. Related 

control: SC-7. 

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. 

References: None.

Priority and Baseline Allocation:

P1 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. This control does 

not apply to components in the information system for which there is only a single user/role. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-7 BOUNDARY PROTECTION

Control: The information system: 

a. Monitors and controls communications at the external boundary of the system and at key 

internal boundaries within the system; and 

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b. Connects to external networks or information systems only through managed interfaces 

consisting of boundary protection devices arranged in accordance with an organizational 

security architecture. 

Supplemental Guidance: Restricting external web traffic only to organizational web servers within 

managed interfaces and prohibiting external traffic that appears to be spoofing an internal address 

as the source are examples of restricting and prohibiting communications. Managed interfaces 

employing boundary protection devices include, for example, proxies, gateways, routers, firewalls, 

guards, or encrypted tunnels arranged in an effective security architecture (e.g., routers protecting 

firewalls and application gateways residing on a protected subnetwork commonly referred to as a 

demilitarized zone or DMZ). 

The organization 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. Related controls: AC-4, 

IR-4, SC-5. 

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 information system prevents public access into the organization’s internal networks except as 

appropriately mediated by managed interfaces employing boundary protection devices. 

(3) The organization limits the number of access points to the information system to allow for more 

comprehensive monitoring of inbound and outbound communications and network traffic. 

Enhancement Supplemental Guidance: The Trusted Internet Connection (TIC) initiative is an 

example of limiting the number of managed network access points.

(4) The organization: 

(a) Implements a managed interface for each external telecommunication service; 

(b) Establishes a traffic flow policy for each managed interface; 

(c) Employs security controls as needed to protect the confidentiality and integrity of the 

information being transmitted; 

(d) Documents each exception to the traffic flow policy with a supporting mission/business need 

and duration of that need; 

(e) Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency]; 

and 

(f) Removes traffic flow policy exceptions that are no longer supported by an explicit 

mission/business need. 

(5) The information system at managed interfaces, 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. 

(7) The information system prevents remote devices that have established a non-remote connection 

with the system from communicating outside of that communications path with resources in 

external networks. 

Enhancement Supplemental Guidance: This control enhancement is implemented within the 

remote device (e.g., notebook/laptop computer) via configuration settings that are not 

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configurable by the user of that device. An example of a non-remote communications path 

from a remote device is a virtual private network. When a non-remote connection is 

established using a virtual private network, the configuration settings prevent split-tunneling. 

Split tunneling might otherwise be used by remote users to communicate with the information 

system as an extension of that system and to communicate with local resources such as a 

printer or file server. Since the remote device, when connected by a non-remote connection, 

becomes an extension of the information system, allowing dual communications paths such as 

split-tunneling would be, in effect, allowing unauthorized external connections into the 

system.

(8) The information system routes [Assignment: organization-defined internal communications traffic]

to [Assignment: organization-defined external networks] through authenticated proxy servers 

within the managed interfaces of boundary protection devices. 

Enhancement Supplemental Guidance: External networks are networks outside the control of the 

organization. Proxy servers support logging individual Transmission Control Protocol (TCP) 

sessions and blocking specific Uniform Resource Locators (URLs), domain names, and 

Internet Protocol (IP) addresses. Proxy servers are also configurable with organizationdefined lists of authorized and unauthorized websites.

(9) The information system, at managed interfaces, denies network traffic and audits internal users (or 

malicious code) posing a threat to external information systems. 

Enhancement Supplemental Guidance: Detecting internal actions that may pose a security threat 

to external information systems is sometimes termed extrusion detection. Extrusion detection 

at the information system boundary includes the analysis of network traffic (incoming as well 

as outgoing) looking for indications of an internal threat to the security of external systems. 

(10) The organization prevents the unauthorized exfiltration of information across managed interfaces. 

Enhancement Supplemental Guidance: Measures to prevent unauthorized exfiltration of 

information from the information system include, for example: (i) strict adherence to protocol 

formats; (ii) monitoring for indications of beaconing from the information system; (iii) 

monitoring for use of steganography; (iv) disconnecting external network interfaces except 

when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) 

employing traffic profile analysis to detect deviations from the volume or types of traffic 

expected within the organization. Examples of devices enforcing strict adherence to protocol 

formats include, for example, deep packet inspection firewalls and XML gateways. These 

devices verify adherence to the protocol specification at the application layer and serve to 

identify vulnerabilities that cannot be detected by devices operating at the network or 

transport layer.

(11) The information system checks incoming communications to ensure that the communications are 

coming from an authorized source and routed to an authorized destination. 

(12) The information system implements host-based boundary protection mechanisms for servers, 

workstations, and mobile devices. 

Enhancement Supplemental Guidance: A host-based boundary protection mechanism is, for 

example, a host-based firewall. Host-based boundary protection mechanisms are employed 

on mobile devices, such as notebook/laptop computers, and other types of mobile devices 

where such boundary protection mechanisms are available.

(13) The organization isolates [Assignment: organization defined key information security tools, 

mechanisms, and support components] from other internal information system components via 

physically separate subnets with managed interfaces to other portions of the system. 

(14) The organization protects against unauthorized physical connections across the boundary 

protections implemented at [Assignment: organization-defined list of managed interfaces]. 

Enhancement Supplemental Guidance: Information systems operating at different security 

categories may routinely share common physical and environmental controls, since the 

systems may share space within organizational facilities. In practice, it is possible that these 

separate information systems may share common equipment rooms, wiring closets, and cable 

distribution paths. Protection against unauthorized physical connections can be achieved, for 

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example, by employing clearly identified and physically separated cable trays, connection 

frames, and patch panels for each side of managed interfaces with physical access controls 

enforcing limited authorized access to these items. Related control: PE-4.

(15) The information system routes all networked, privileged accesses through a dedicated, managed 

interface for purposes of access control and auditing. 

Enhancement Supplemental Guidance: Related controls: AC-2, AC-3, AC-4, AU-2. 

(16) The information system prevents discovery of specific system components (or devices) 

composing a managed interface. 

Enhancement Supplemental Guidance: This control enhancement is intended to protect the 

network addresses of information system components that are part of the managed interface 

from discovery through common tools and techniques used to identify devices on a network. 

The network addresses are not available for discovery (e.g., not published or entered in the 

domain name system), requiring prior knowledge for access. Another obfuscation technique 

is to periodically change network addresses.

(17) The organization employs automated mechanisms to enforce strict adherence to protocol format. 

Enhancement Supplemental Guidance: Automated mechanisms used to enforce protocol formats 

include, for example, deep packet inspection firewalls and XML gateways. These devices 

verify adherence to the protocol specification (e.g., IEEE) at the application layer and serve to 

identify significant vulnerabilities that cannot be detected by devices operating at the network 

or transport layer.

(18) The information system fails securely in the event of an operational failure of a boundary 

protection device. 

Enhancement Supplemental Guidance: Fail secure is a condition achieved by the application of a 

set of information system mechanisms to ensure that in the event of an operational failure of a 

boundary protection device at a managed interface (e.g., router, firewall, guard, application 

gateway residing on a protected subnetwork commonly referred to as a demilitarized zone), 

the system does not enter into an unsecure state where intended security properties no longer 

hold. A failure of a boundary protection device cannot lead to, or cause information external 

to the boundary protection device to enter the device, nor can a failure permit unauthorized 

information release. 

References: FIPS Publication 199; NIST Special Publications 800-41, 800-77.

Priority and Baseline Allocation:

P1 LOW SC-7 MOD SC-7 (1) (2) (3) (4) (5) (7) HIGH SC-7 (1) (2) (3) (4) (5) (6) (7) (8)

SC-8 TRANSMISSION INTEGRITY

Control: The information system protects the integrity of transmitted information. 

Supplemental Guidance: This control applies to communications across internal and external 

networks. 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. Related controls: AC-17, PE-4. 

Control Enhancements:

(1) The organization employs cryptographic mechanisms to recognize changes to information during 

transmission unless otherwise protected by alternative physical measures. 

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Enhancement Supplemental Guidance: Alternative physical protection measures include, for 

example, protected distribution systems. Related control: SC-13.

(2) The information system maintains the integrity of information during aggregation, packaging, and 

transformation in preparation for transmission. 

Enhancement Supplemental Guidance: Information can be intentionally and/or maliciously 

modified at data aggregation or protocol transformation points, compromising the integrity of 

the information.

References: FIPS Publications 140-2, 197; NIST Special Publications 800-52, 800-77, 800-81, 

800-113; NSTISSI No. 7003.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-8 (1) HIGH SC-8 (1)

SC-9 TRANSMISSION CONFIDENTIALITY

Control: The information system protects the confidentiality of transmitted information. 

Supplemental Guidance: This control applies to communications across internal and external 

networks. 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. Related controls: AC-17, PE-4. 

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. Related control: SC-13.

(2) The information system maintains the confidentiality of information during aggregation, packaging, 

and transformation in preparation for transmission. 

Enhancement Supplemental Guidance: Information can be intentionally and/or maliciously 

disclosed at data aggregation or protocol transformation points, compromising the 

confidentiality of the information. 

References: FIPS Publications 140-2, 197; NIST Special Publications 800-52, 800-77, 800-113; 

CNSS Policy 15; NSTISSI No. 7003.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-9 (1) HIGH SC-9 (1)

SC-10 NETWORK DISCONNECT

Control: The information system terminates the network connection associated with a 

communications session at the end of the session or after [Assignment: organization-defined time 

period] of inactivity.

Supplemental Guidance: This control applies to both internal and external networks. Terminating 

network connections associated with communications sessions include, for example, de-allocating 

associated TCP/IP address/port pairs at the operating-system level, or de-allocating networking 

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assignments at the application level if multiple application sessions are using a single, operating 

system-level network connection. The time period of inactivity may, as the organization deems 

necessary, be a set of time periods by type of network access or for specific accesses. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P2 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. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

Control: The organization establishes and manages cryptographic keys for required cryptography 

employed within the information system. 

Supplemental Guidance: Cryptographic key management and establishment can be performed using 

manual procedures or automated mechanisms with supporting manual procedures. In addition to 

being required for the effective operation of a cryptographic mechanism, effective cryptographic 

key management provides protections to maintain the availability of the information in the event 

of the loss of cryptographic keys by users. 

Control Enhancements:

(1) The organization maintains availability of information in the event of the loss of cryptographic keys 

by users. 

(2) The organization produces, controls, and distributes symmetric cryptographic keys using 

[Selection: NIST-approved, NSA-approved] key management technology and processes. 

(3) The organization produces, controls, and distributes symmetric and asymmetric cryptographic 

keys using NSA-approved key management technology and processes. 

(4) The organization produces, controls, and distributes asymmetric cryptographic keys using 

approved PKI Class 3 certificates or prepositioned keying material. 

(5) The organization produces, controls, and distributes asymmetric cryptographic keys using 

approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s 

private key. 

References: NIST Special Publications 800-56, 800-57.

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Priority and Baseline Allocation:

P1 LOW SC-12 MOD SC-12 HIGH SC-12 (1)

SC-13 USE OF CRYPTOGRAPHY

Control: The information system implements required cryptographic protections using 

cryptographic modules that comply with applicable federal laws, Executive Orders, directives, 

policies, regulations, standards, and guidance. 

Supplemental Guidance: None. 

Control Enhancements:

(1) The organization employs, at a minimum, FIPS-validated cryptography to protect unclassified 

information. 

(2) The organization employs NSA-approved cryptography to protect classified information. 

(3) The organization employs, at a minimum, FIPS-validated cryptography to protect information when 

such information must be separated from individuals who have the necessary clearances yet lack 

the necessary access approvals. 

(4) The organization employs [Selection: FIPS-validated; NSA-approved] cryptography to implement 

digital signatures. 

References: FIPS Publication 140-2; Web: CSRC.NIST.GOV/CRYPTVAL, WWW.CNSS.GOV.

Priority and Baseline Allocation:

P1 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: The purpose of this control is to ensure that organizations explicitly address 

the protection needs for public information and applications with such protection likely being 

implemented as part of other security controls. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW SC-14 MOD SC-14 HIGH SC-14

SC-15 COLLABORATIVE COMPUTING DEVICES

Control: The information system: 

a. Prohibits remote activation of collaborative computing devices with the following exceptions: 

[Assignment: organization-defined exceptions where remote activation is to be allowed]; and 

b. Provides an explicit indication of use to users physically present at the devices. 

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Supplemental Guidance: Collaborative computing devices include, for example, networked white 

boards, cameras, and microphones. Explicit indication of use includes, for example, signals to 

users when collaborative computing devices are activated. 

Control Enhancements:

(1) The information system provides physical disconnect of collaborative computing devices in a 

manner that supports ease of use. 

(2) The information system or supporting environment blocks both inbound and outbound traffic 

between instant messaging clients that are independently configured by end users and external 

service providers. 

Enhancement Supplemental Guidance: Blocking restrictions do not include instant messaging 

services that are configured by an organization to perform an authorized function. 

(3) The organization disables or removes collaborative computing devices from information systems 

in [Assignment: organization-defined secure work areas]. 

References: None.

Priority and Baseline Allocation:

P1 LOW SC-15 MOD SC-15 HIGH SC-15

SC-16 TRANSMISSION OF SECURITY ATTRIBUTES

Control: The information system associates security attributes with information exchanged between 

information systems. 

Supplemental Guidance: Security attributes may be explicitly or implicitly associated with the 

information contained within the information system. Related control: AC-16. 

Control Enhancements:

(1) The information system validates the integrity of security attributes exchanged between systems. 

References: None.

Priority and Baseline Allocation:

P0 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 organization attains certificates from an 

approved, shared service provider, as required by OMB policy. For federal agencies operating a 

legacy public key infrastructure cross-certified with the Federal Bridge Certification Authority at 

medium assurance or higher, this Certification Authority will suffice. This control focuses on 

certificates with a visibility external to the information system and does not include certificates 

related to internal system operations, for example, application-specific time services. 

Control Enhancements: None. 

References: OMB Memorandum 05-24; NIST Special Publications 800-32, 800-63.

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Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-17 HIGH SC-17

SC-18 MOBILE CODE

Control: The organization: 

a. Defines acceptable and unacceptable mobile code and mobile code technologies; 

b. Establishes usage restrictions and implementation guidance for acceptable mobile code and 

mobile code technologies; and 

c. Authorizes, monitors, and controls the use of mobile code within the information system. 

Supplemental Guidance: Decisions regarding the employment of mobile code within organizational 

information systems are based on the potential for the code to cause damage to the system if used 

maliciously. 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. 

Policy and procedures related to mobile code, address preventing the development, acquisition, or 

introduction of unacceptable mobile code within the information system. 

Control Enhancements:

(1) The information system implements detection and inspection mechanisms to identify unauthorized 

mobile code and takes corrective actions, when necessary. 

Enhancement Supplemental Guidance: Corrective actions when unauthorized mobile code is 

detected include, for example, blocking, quarantine, or alerting administrator. Disallowed 

transfers include, for example, sending word processing files with embedded macros. 

(2) The organization ensures the acquisition, development, and/or use of mobile code to be deployed 

in information systems meets [Assignment: organization-defined mobile code requirements]. 

(3) The information system prevents the download and execution of prohibited mobile code. 

(4) The information system prevents the automatic execution of mobile code in [Assignment: 

organization-defined software applications] and requires [Assignment: organization-defined 

actions] prior to executing the code. 

Enhancement Supplemental Guidance: Actions required before executing mobile code, include, 

for example, prompting users prior to opening electronic mail attachments.

References: NIST Special Publication 800-28; DOD Instruction 8552.01.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-18 HIGH SC-18

SC-19 VOICE OVER INTERNET PROTOCOL

Control: The organization: 

a. 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 

b. Authorizes, monitors, and controls the use of VoIP within the information system. 

Supplemental Guidance: None.

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Control Enhancements: None. 

References: NIST Special Publication 800-58.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-19 HIGH SC-19

SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)

Control: The information system provides additional data origin and integrity artifacts along with 

the authoritative data the system returns in response to name/address resolution queries. 

Supplemental Guidance: This control enables remote clients to obtain origin authentication and 

integrity verification assurances for the host/service name to network 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. DNS resource records are examples of 

authoritative data. Information systems that use technologies other than the DNS to map between 

host/service names and network addresses provide other means to assure the authenticity and 

integrity of response data. The DNS security controls are consistent with, and referenced from, 

OMB Memorandum 08-23. 

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 (DS) resource records in the DNS. 

References: OMB Memorandum 08-23; NIST Special Publication 800-81.

Priority and Baseline Allocation:

P1 LOW SC-20 (1) MOD SC-20 (1) HIGH SC-20 (1)

SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)

Control: The information system performs data origin authentication and data integrity verification 

on the name/address resolution responses the system receives from authoritative sources when 

requested by client systems. 

Supplemental Guidance: A recursive resolving or caching domain name system (DNS) server is an 

example of an information system that provides name/address resolution service for local clients. 

Authoritative DNS servers are examples of authoritative sources. Information systems that use 

technologies other than the DNS to map between host/service names and network addresses 

provide other means to enable clients to verify the authenticity and integrity of response data.

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. 

References: NIST Special Publication 800-81.

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Priority and Baseline Allocation:

P1 LOW Not Selected MOD Not Selected HIGH SC-21

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 internal/external 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). With regard to role separation, DNS servers with an internal role, 

only process name/address resolution requests from within the organization (i.e., internal clients). 

DNS servers with an external role only process name/address resolution information requests from 

clients external to the organization (i.e., on the external networks including the Internet). The set 

of clients that can access an authoritative DNS server in a particular role is specified by the 

organization (e.g., by address ranges, explicit lists). 

Control Enhancements: None. 

References: NIST Special Publication 800-81.

Priority and Baseline Allocation:

P1 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 establish grounds for confidence at each end of a 

communications session in the ongoing identity of the other party and in the validity of the 

information being transmitted. For example, this control addresses man-in-the-middle attacks 

including session hijacking or insertion of false information into a session. This control is only 

implemented where deemed necessary by the organization (e.g., sessions in service-oriented 

architectures providing web-based services). 

Control Enhancements:

(1) The information system invalidates session identifiers upon user logout or other session 

termination. 

(2) The information system provides a readily observable logout capability whenever authentication is 

used to gain access to web pages. 

(3) The information system generates a unique session identifier for each session and recognizes only 

session identifiers that are system-generated. 

(4) The information system generates unique session identifiers with [Assignment: organizationdefined randomness requirements]. 

Enhancement Supplemental Guidance: Employing the concept of randomness in the generation 

of unique session identifiers helps to protect against brute-force attacks to determine future 

session identifiers.

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References: NIST Special Publications 800-52, 800-77, 800-95.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-23 HIGH SC-23

SC-24 FAIL IN KNOWN STATE

Control: The information system fails to a [Assignment: organization-defined known-state] for 

[Assignment: organization-defined types of failures] preserving [Assignment: organization-defined 

system state information] in failure. 

Supplemental Guidance: Failure in a known state can address safety or security in accordance with 

the mission/business needs of the organization. Failure in a known secure state helps prevent a 

loss of confidentiality, integrity, or availability in the event of a failure of the information system 

or a component of the system. Failure in a known safe state helps prevent systems from failing to 

a state that may cause injury to individuals or destruction to property. Preserving information 

system state information facilitates system restart and return to the operational mode of the 

organization with less disruption of mission/business processes. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD Not Selected HIGH SC-24

SC-25 THIN NODES

Control: The information system employs processing components that have minimal functionality 

and information storage. 

Supplemental Guidance: The deployment of information system components with minimal 

functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every 

user endpoint, and may reduce the exposure of information, information systems, and services to a 

successful attack. Related control: SC-30. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-26 HONEYPOTS

Control: The information system includes components specifically designed to be the target of 

malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks. 

Supplemental Guidance: None. 

Control Enhancements:

(1) The information system includes components that proactively seek to identify web-based 

malicious code. 

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Enhancement Supplemental Guidance: Devices that actively seek out web-based malicious code 

by posing as clients are referred to as client honeypots or honey clients. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-27 OPERATING SYSTEM-INDEPENDENT APPLICATIONS

Control: The information system includes: [Assignment: organization-defined operating systemindependent applications]. 

Supplemental Guidance: Operating system-independent applications are applications that can run on 

multiple operating systems. Such applications promote portability and reconstitution on different 

platform architectures, increasing the availability for critical functionality within an organization 

while information systems with a given operating system are under attack. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-28 PROTECTION OF INFORMATION AT REST

Control: The information system protects the confidentiality and integrity of information at rest. 

Supplemental Guidance: This control is intended to address the confidentiality and integrity of 

information at rest in nonmobile devices and covers user information and system information. 

Information at rest refers to the state of information when it is located on a secondary storage 

device (e.g., disk drive, tape drive) within an organizational information system. Configurations 

and/or rule sets for firewalls, gateways, intrusion detection/prevention systems, and filtering 

routers and authenticator content are examples of system information likely requiring protection. 

Organizations may choose to employ different mechanisms to achieve confidentiality and integrity 

protections, as appropriate. 

Control Enhancements: 

(1) The organization employs cryptographic mechanisms to prevent unauthorized disclosure and 

modification of information at rest unless otherwise protected by alternative physical measures. 

References: NIST Special Publications 800-56, 800-57, 800-111. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SC-28 HIGH SC-28

SC-29 HETEROGENEITY 

Control: The organization employs diverse information technologies in the implementation of the 

information system. 

Supplemental Guidance: Increasing the diversity of information technologies within the information 

system reduces the impact of the exploitation of a specific technology. Organizations that select 

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this control should consider that an increase in diversity may add complexity and management 

overhead, both of which have the potential to lead to mistakes and misconfigurations which could 

increase overall risk. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-30 VIRTUALIZATION TECHNIQUES 

Control: The organization employs virtualization techniques to present information system 

components as other types of components, or components with differing configurations. 

Supplemental Guidance: Virtualization techniques provide organizations with the ability to disguise 

information systems, potentially reducing the likelihood of successful attacks without the cost of 

having multiple platforms. 

Control Enhancements: 

(1) The organization employs virtualization techniques to support the deployment of a diversity of 

operating systems and applications that are changed [Assignment: organization-defined 

frequency]. 

Enhancement Supplemental Guidance: While frequent changes to operating systems and 

applications pose configuration management challenges, the changes result in an increased 

work factor for adversaries in order to carry out successful attacks. Changing the apparent 

operating system or application, as opposed to the actual operating system or application, 

results in virtual changes that still impede attacker success while helping to reduce the 

configuration management effort. 

(2) The organization employs randomness in the implementation of the virtualization techniques. 

References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-31 COVERT CHANNEL ANALYSIS

Control: The organization requires that information system developers/integrators perform a covert 

channel analysis to identify those aspects of system communication that are potential avenues for 

covert storage and timing channels. 

Supplemental Guidance: Information system developers/integrators are in the best position to 

identify potential avenues within the system that might lead to covert channels. Covert channel 

analysis is a meaningful activity when there is the potential for unauthorized information flows 

across security domains, for example, in the case of information systems containing exportcontrolled information and having connections to external networks (i.e., networks not controlled 

by the organization). Covert channel analysis is also meaningful in the case of multilevel secure 

(MLS) systems, multiple security level (MSL) systems, and cross domain systems. 

Control Enhancements:

(1) The organization tests a subset of the vendor-identified covert channel avenues to determine if 

they are exploitable. 

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References: None.

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-32 INFORMATION SYSTEM PARTITIONING 

Control: The organization partitions the information system into components residing in separate 

physical domains (or environments) as deemed necessary. 

Supplemental Guidance: Information system partitioning is a part of a defense-in-depth protection 

strategy. An organizational assessment of risk guides the partitioning of information system 

components into separate physical domains (or environments). The security categorization also 

guides the selection of appropriate candidates for domain partitioning when system components 

can be associated with different system impact levels derived from the categorization. Managed 

interfaces restrict or prohibit network access and information flow among partitioned information 

system components. Related controls: AC-4, SC-7.

Control Enhancements: None. 

References: FIPS Publication 199. 

Priority and Baseline Allocation:

P0 LOW Not Selected MOD SC-32 HIGH SC-32

SC-33 TRANSMISSION PREPARATION INTEGRITY 

Control: The information system protects the integrity of information during the processes of data 

aggregation, packaging, and transformation in preparation for transmission. 

Supplemental Guidance: Information can be subjected to unauthorized changes (e.g., malicious 

and/or unintentional modification) at information aggregation or protocol transformation points.

Control Enhancements: None. 

References: None. 

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected

SC-34 NON-MODIFIABLE EXECUTABLE PROGRAMS 

Control: The information system at [Assignment: organization-defined information system 

components]: 

a. Loads and executes the operating environment from hardware-enforced, read-only media; 

and 

b. Loads and executes [Assignment: organization-defined applications] from hardwareenforced, read-only media. 

Supplemental Guidance: In this control, the term operating environment is defined as the code upon 

which applications are hosted, for example, a monitor, executive, operating system, or application 

running directly on the hardware platform. Hardware-enforced, read-only media include, for 

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example, CD-R/DVD-R disk drives. Use of non-modifiable storage ensures the integrity of the 

software program from the point of creation of the read-only image. 

Control Enhancements:

(1) The organization employs [Assignment: organization-defined information system components] 

with no writeable storage that is persistent across component restart or power on/off. 

Enhancement Supplemental Guidance: This control enhancement: (i) eliminates the possibility of 

malicious code insertion via persistent, writeable storage within the designated information 

system component; and (ii) requires no such removable storage be employed, a requirement 

that may be applied directly or as a specific restriction imposed through AC-19.

(2) The organization protects the integrity of the information on read-only media. 

Enhancement Supplemental Guidance: This control enhancement covers protecting the integrity 

of information to be placed onto read-only media and controlling the media after information 

has been recorded onto the media. Protection measures may include, as deemed necessary by 

the organization, a combination of prevention and detection/response. This enhancement may 

be satisfied by requirements imposed by other controls such as AC-3, AC-5, CM-3, CM-5, 

CM-9, MP-2, MP-4, MP-5, SA-12, SC-28, SI-3, and SI-7. 

References: None. 

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected
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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 reviews/updates [Assignment: organizationdefined frequency]: 

a. A formal, documented system and information integrity policy that addresses purpose, scope, 

roles, responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

b. Formal, documented procedures to facilitate the implementation of the system and 

information integrity policy and associated system and information integrity controls. 

Supplemental Guidance: This control is intended to produce the policy and procedures that are 

required for the effective implementation of selected security controls and control enhancements 

in the system and information integrity family. The policy and procedures are consistent with 

applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Existing organizational policies and procedures may make the need for additional 

specific policies and procedures unnecessary. 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. The organizational risk management strategy is a 

key factor in the development of the system and information integrity policy. Related control: 

PM-9.

Control Enhancements: None. 

References: NIST Special Publications 800-12, 800-100.

Priority and Baseline Allocation:

P1 LOW SI-1 MOD SI-1 HIGH SI-1

SI-2 FLAW REMEDIATION 

Control: The organization: 

a. Identifies, reports, and corrects information system flaws; 

b. Tests software updates related to flaw remediation for effectiveness and potential side effects 

on organizational information systems before installation; and 

c. Incorporates flaw remediation into the organizational configuration management process. 

Supplemental Guidance: The organization identifies information systems containing software 

affected by recently announced software flaws (and potential vulnerabilities resulting from those 

flaws) and reports this information to designated organizational officials with information security 

responsibilities (e.g., senior information security officers, information system security managers, 

information systems security officers). The organization (including any contractor to the 

organization) promptly installs security-relevant software updates (e.g., patches, service packs, 

and hot fixes). Flaws discovered during security assessments, continuous monitoring, incident 

response activities, or information system error handling, are also addressed expeditiously. 

Organizations are encouraged to use resources such as the Common Weakness Enumeration 

(CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws 

discovered in organizational information systems. By requiring that flaw remediation be 

incorporated into the organizational configuration management process, it is the intent of this 

control that required/anticipated remediation actions are tracked and verified. An example of 

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CERT guidance and Information Assurance Vulnerability Alerts have been accomplished. 

Related controls: CA-2, CA-7, CM-3, MA-2, IR-4, RA-5, SA-11, SI-11. 

Control Enhancements:

(1) The organization centrally manages the flaw remediation process and installs software updates 

automatically. 

Enhancement Supplemental Guidance: Due to information system integrity and availability 

concerns, organizations give careful consideration to the methodology used to carry out 

automatic updates.

(2) The organization employs automated mechanisms [Assignment: organization-defined frequency] 

to determine the state of information system components with regard to flaw remediation. 

(3) The organization measures the time between flaw identification and flaw remediation, comparing 

with [Assignment: organization-defined benchmarks]. 

(4) The organization employs automated patch management tools to facilitate flaw remediation to 

[Assignment: organization-defined information system components]. 

References: NIST Special Publication 800-40.

Priority and Baseline Allocation:

P1 LOW SI-2 MOD SI-2 (2) HIGH SI-2 (1) (2)

SI-3 MALICIOUS CODE PROTECTION 

Control: The organization: 

a. Employs malicious code protection mechanisms at information system entry and exit points 

and at workstations, servers, or mobile computing devices on the network to detect and 

eradicate malicious code: 

- Transported by electronic mail, electronic mail attachments, web accesses, removable 

media, or other common means; or 

- Inserted through the exploitation of information system vulnerabilities; 

b. Updates malicious code protection mechanisms (including signature definitions) whenever 

new releases are available in accordance with organizational configuration management 

policy and procedures; 

c. Configures malicious code protection mechanisms to: 

- Perform periodic scans of the information system [Assignment: organization-defined 

frequency] and real-time scans of files from external sources as the files are downloaded, 

opened, or executed in accordance with organizational security policy; and 

- [Selection (one or more): block malicious code; quarantine malicious code; send alert to 

administrator; [Assignment: organization-defined action]] in response to malicious code 

detection; and 

d. Addresses the receipt of false positives during malicious code detection and eradication and 

the resulting potential impact on the availability of the information system. 

Supplemental Guidance: Information system entry and exit points include, for example, firewalls, 

electronic mail servers, web servers, proxy servers, and remote-access servers. Malicious code 

includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be 

encoded in various formats (e.g., UUENCODE, Unicode) or contained within a compressed file. 

Removable media includes, for example, USB devices, diskettes, or compact disks. A variety of 

technologies and methods exist to limit or eliminate the effects of malicious code attacks. 

Pervasive configuration management and strong software integrity controls may be effective in 

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preventing execution of unauthorized code. In addition to commercial off-the-shelf software, 

malicious code may also be present in custom-built software. This could include, for example, 

logic bombs, back doors, and other types of cyber attacks that could affect organizational missions 

and business functions. Traditional malicious code protection mechanisms are not built to detect 

such code. In these situations, organizations must rely instead on other risk mitigation measures to 

include, for example, secure coding practices, trusted procurement processes, configuration 

management and control, and monitoring practices to help ensure that software does not perform 

functions other than those intended. Related controls: SA-4, SA-8, SA-12, SA-13, SI-4, SI-7. 

Control Enhancements:

(1) The organization centrally manages malicious code protection mechanisms. 

(2) The information system automatically updates malicious code protection mechanisms (including 

signature definitions). 

(3) The information system prevents non-privileged users from circumventing malicious code 

protection capabilities. 

(4) The information system updates malicious code protection mechanisms only when directed by a 

privileged user. 

(5) The organization does not allow users to introduce removable media into the information system. 

(6) The organization tests malicious code protection mechanisms [Assignment: organization-defined 

frequency] by introducing a known benign, non-spreading test case into the information system 

and subsequently verifying that both detection of the test case and associated incident reporting 

occur, as required. 

References: NIST Special Publication 800-83.

Priority and Baseline Allocation:

P1 LOW SI-3 MOD SI-3 (1) (2) (3) HIGH SI-3 (1) (2) (3)

SI-4 INFORMATION SYSTEM MONITORING 

Control: The organization: 

a. Monitors events on the information system in accordance with [Assignment: organizationdefined monitoring objectives] and detects information system attacks; 

b. Identifies unauthorized use of the information system; 

c. Deploys monitoring devices: (i) strategically within the information system to collect 

organization-determined essential information; and (ii) at ad hoc locations within the system 

to track specific types of transactions of interest to the organization; 

d. Heightens the level of information system monitoring activity whenever there is an indication 

of increased risk to organizational operations and assets, individuals, other organizations, or 

the Nation based on law enforcement information, intelligence information, or other credible 

sources of information; and 

e. Obtains legal opinion with regard to information system monitoring activities in accordance 

with applicable federal laws, Executive Orders, directives, policies, or regulations. 

Supplemental Guidance: Information system monitoring includes external and internal monitoring. 

External monitoring includes the observation of events occurring at the system boundary (i.e., part 

of perimeter defense and boundary protection). Internal monitoring includes the observation of 

events occurring within the system (e.g., within internal organizational networks and system 

components). 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). Strategic 

locations for monitoring devices include, for example, at selected perimeter locations and near 

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server farms supporting critical applications, with such devices typically being employed at the 

managed interfaces associated with controls SC-7 and AC-17. The Einstein network monitoring 

device from the Department of Homeland Security is an example of a system monitoring device. 

The granularity of the information collected is determined by the organization based on its 

monitoring objectives and the capability of the information system to support such activities. An 

example of a specific type of transaction of interest to the organization with regard to monitoring 

is Hyper Text Transfer Protocol (HTTP) traffic that bypasses organizational HTTP proxies, when 

use of such proxies is required. Related controls: AC-4, AC-8, AC-17, AU-2, AU-6, SI-3, SI-7. 

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, internal traffic that indicates the presence of malicious code within an information 

system or propagating among system components, the unauthorized export of information, or 

signaling to an external information system. Evidence of malicious code is used to identify 

potentially compromised information systems or information system components.

(5) The information system provides near real-time alerts when the following indications of 

compromise or potential compromise occur: [Assignment: organization-defined list of compromise 

indicators]. 

Enhancement Supplemental Guidance: Alerts may be generated, depending on the organizationdefined list of indicators, from a variety of sources, for example, audit records or input from 

malicious code protection mechanisms, intrusion detection or prevention mechanisms, or 

boundary protection devices such as firewalls, gateways, and routers. 

(6) The information system prevents non-privileged users from circumventing intrusion detection and 

prevention capabilities. 

(7) The information system notifies [Assignment: organization-defined list of incident response 

personnel (identified by name and/or by role)] of suspicious events and takes [Assignment: 

organization-defined list of least-disruptive actions to terminate suspicious events]. 

Enhancement Supplemental Guidance: The least-disruptive actions may include initiating a 

request for human response. 

(8) The organization protects information obtained from intrusion-monitoring tools from unauthorized 

access, modification, and deletion. 

(9) The organization tests/exercises intrusion-monitoring tools [Assignment: organization-defined 

time-period]. 

Enhancement Supplemental Guidance: The frequency of testing/exercises is dependent upon the 

type and method of deployment of the intrusion-monitoring tools. 

(10) The organization makes provisions so that encrypted traffic is visible to information system 

monitoring tools. 

Enhancement Supplemental Guidance: The enhancement recognizes the need to balance 

encrypting traffic versus the need to have insight into that traffic from a monitoring 

perspective. For some organizations, the need to ensure the confidentiality of traffic is 

paramount; for others, the mission-assurance concerns are greater.

(11) The organization analyzes outbound communications traffic at the external boundary of the system 

(i.e., system perimeter) and, as deemed necessary, at selected interior points within the system 

(e.g., subnets, subsystems) to discover anomalies. 

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Enhancement Supplemental Guidance: Anomalies within the information system include, for 

example, large file transfers, long-time persistent connections, unusual protocols and ports in 

use, and attempted communications with suspected malicious external addresses.

(12) 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 trigger alerts]. 

(13) The organization: 

(a) Analyzes communications traffic/event patterns for the information system; 

(b) Develops profiles representing common traffic patterns and/or events; and 

(c) Uses the traffic/event profiles in tuning system-monitoring devices to reduce the number of 

false positives to [Assignment: organization-defined measure of false positives] and the 

number of false negatives to [Assignment: organization-defined measure of false negatives]. 

(14) The organization employs a wireless intrusion detection system to identify rogue wireless devices 

and to detect attack attempts and potential compromises/breaches to the information system. 

(15) The organization employs an intrusion detection system to monitor wireless communications 

traffic as the traffic passes from wireless to wireline networks. 

(16) The organization correlates information from monitoring tools employed throughout the 

information system to achieve organization-wide situational awareness. 

(17) The organization correlates results from monitoring physical, cyber, and supply chain activities to 

achieve integrated situational awareness. 

Enhancement Supplemental Guidance: Integrated situational awareness enhances the capability 

of the organization to more quickly detect sophisticated attacks and investigate the methods 

and techniques employed to carry out the attacks.

References: NIST Special Publications 800-61, 800-83, 800-92, 800-94.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SI-4 (2) (4) (5) (6) HIGH SI-4 (2) (4) (5) (6)

SI-5 SECURITY ALERTS, ADVISORIES, AND DIRECTIVES 

 Control: The organization: 

a. Receives information system security alerts, advisories, and directives from designated 

external organizations on an ongoing basis; 

b. Generates internal security alerts, advisories, and directives as deemed necessary; 

c. Disseminates security alerts, advisories, and directives to [Assignment: organization-defined 

list of personnel (identified by name and/or by role)]; and 

d. Implements security directives in accordance with established time frames, or notifies the 

issuing organization of the degree of noncompliance. 

Supplemental Guidance: Security alerts and advisories are generated by the United States Computer 

Emergency Readiness Team (US-CERT) to maintain situational awareness across the federal 

government. Security directives are issued by OMB or other designated organizations with the 

responsibility and authority to issue such directives. Compliance to security directives is essential

due to the critical nature of many of these directives and the potential immediate adverse affects 

on organizational operations and assets, individuals, other organizations, and the Nation should the 

directives not be implemented in a timely manner. 

Control Enhancements: 

(1) The organization employs automated mechanisms to make security alert and advisory information 

available throughout the organization as needed. 

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References: NIST Special Publication 800-40.

Priority and Baseline Allocation:

P1 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): [Assignment: organization-defined system transitional states]; 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; [Assignment: organization-defined alternative action(s)]] 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. Information system transitional states include, for example, startup, 

restart, shutdown, and abort. 

Control Enhancements:

(1) The information system provides notification of failed automated security tests. 

(2) The information system provides automated support for the management of distributed security 

testing. 

(3) The organization reports the result of security function verification to designated organizational 

officials with information security responsibilities. 

Enhancement Supplemental Guidance: Organizational officials with information security 

responsibilities include, for example, senior information security officers, information system 

security managers, and information systems security officers. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD Not Selected HIGH SI-6

SI-7 SOFTWARE AND INFORMATION INTEGRITY 

Control: The information system detects 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 information system. 

(2) The organization employs automated tools that provide notification to designated individuals upon 

discovering discrepancies during integrity verification. 

(3) The organization employs centrally managed integrity verification tools. 

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(4) The organization requires use of tamper-evident packaging for [Assignment: organization-defined 

information system components] during [Selection: transportation from vendor to operational site; 

during operation; both]. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SI-7 (1) HIGH SI-7 (1) (2)

SI-8 SPAM PROTECTION 

Control: The organization: 

a. Employs spam protection mechanisms at information system entry and exit points and at 

workstations, servers, or mobile computing devices on the network to detect and take action 

on unsolicited messages transported by electronic mail, electronic mail attachments, web 

accesses, or other common means; and 

b. Updates spam protection mechanisms (including signature definitions) when new releases are 

available in accordance with organizational configuration management policy and procedures. 

Supplemental Guidance: Information system entry and exit points include, for example, firewalls, 

electronic mail servers, web servers, proxy servers, and remote-access servers. Related controls: 

SC-5, SI-3. 

Control Enhancements:

(1) The organization centrally manages spam protection mechanisms. 

(2) The information system automatically updates spam protection mechanisms (including signature 

definitions). 

References: NIST Special Publication 800-45. 

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SI-8 HIGH SI-8 (1)

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 organizational 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. Related controls: 

AC-5, AC-6. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P2 LOW Not Selected MOD SI-9 HIGH SI-9

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SI-10 INFORMATION INPUT VALIDATION 

Control: The information system checks the validity of information inputs. 

Supplemental Guidance: Rules for checking the valid syntax and semantics 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. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P1 LOW Not Selected MOD SI-10 HIGH SI-10

SI-11 ERROR HANDLING 

Control: The information system: 

a. Identifies potentially security-relevant error conditions; 

b. Generates error messages that provide information necessary for corrective actions without 

revealing [Assignment: organization-defined sensitive or potentially harmful information] in 

error logs and administrative messages that could be exploited by adversaries; and 

c. Reveals error messages only to authorized personnel. 

Supplemental Guidance: The structure and content of error messages are carefully considered by the 

organization. The extent to which the information system is able to identify and handle error 

conditions is guided by organizational policy and operational requirements. Sensitive information 

includes, for example, account numbers, social security numbers, and credit card numbers. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P2 LOW Not Selected MOD SI-11 HIGH SI-11

SI-12 INFORMATION OUTPUT HANDLING AND RETENTION 

Control: The organization handles and retains both information within and output from the 

information system in accordance with applicable federal laws, Executive Orders, directives, 

policies, regulations, standards, and operational requirements. 

Supplemental Guidance: The output handling and retention requirements cover the full life cycle of 

the information, in some cases extending beyond the disposal of the information system. The 

National Archives and Records Administration provides guidance on records retention. Related 

controls: MP-2, MP-4. 

Control Enhancements: None. 

References: None.

Priority and Baseline Allocation:

P2 LOW SI-12 MOD SI-12 HIGH SI-12

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SI-13 PREDICTABLE FAILURE PREVENTION 

Control: The organization: 

a. Protects the information system from harm by considering mean time to failure for 

[Assignment: organization-defined list of information system components] in specific 

environments of operation; and 

b. Provides substitute information system components, when needed, and a mechanism to 

exchange active and standby roles of the components. 

Supplemental Guidance: While mean time to failure is primarily a reliability issue, this control 

focuses on the potential failure of specific components of the information system that provide 

security capability. Mean time to failure rates are defendable and based on considerations that are 

installation-specific, not industry-average. The transfer of responsibilities between active and 

standby information system components does not compromise safety, operational readiness, or 

security (e.g., state variables are preserved). The standby component is available at all times 

except where a failure recovery is in progress or for maintenance reasons. Related control: CP-2. 

Control Enhancements:

(1) The organization takes the information system component out of service by transferring 

component responsibilities to a substitute component no later than [Assignment: organizationdefined fraction or percentage] of mean time to failure. 

(2) The organization does not allow a process to execute without supervision for more than 

[Assignment: organization-defined time period]. 

(3) The organization manually initiates a transfer between active and standby information system 

components at least once per [Assignment: organization-defined frequency] if the mean time to 

failure exceeds [Assignment: organization-defined time period]. 

(4) The organization, if an information system component failure is detected: 

(a) Ensures that the standby information system component successfully and transparently 

assumes its role within [Assignment: organization-defined time period]; and 

(b) [Selection (one or more): activates [Assignment: organization-defined alarm]; automatically 

shuts down the information system]. 

Enhancement Supplemental Guidance: Automatic or manual transfer of roles to a standby unit 

may occur upon detection of a component failure. 

References: None. 

Priority and Baseline Allocation:

P0 LOW Not Selected MOD Not Selected HIGH Not Selected
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APPENDIX G

INFORMATION SECURITY PROGRAMS

ORGANIZATION-WIDE INFORMATION SECURITY PROGRAM MANAGEMENT CONTROLS 

he Federal Information Security Management Act (FISMA) requires organizations to 

develop and implement an organization-wide information security program to address 

information security for the information and information systems that support the 

operations and assets of the organization, including those provided or managed by another 

organization, contractor, or other source. The information security program management (PM) 

controls described in this appendix complement the security controls in Appendix F and focus on 

the organization-wide information security requirements that are independent of any particular 

information system and are essential for managing information security programs. Organizations 

specify the individuals within the organization responsible for the development, implementation, 

assessment, authorization, and monitoring of the information security program management 

controls. Organizations document program management controls in the information security 

program plan. The organization-wide information security program plan supplements the 

individual security plans developed for each organizational information system. Together, the 

security plans for the individual information systems and the information security program cover 

the totality of security controls employed by the organization. 

T 

In addition to documenting the information security program management controls, the security 

program plan provides a vehicle for the organization, in a central repository, to document all 

security controls from Appendix F that have been designated as common controls (i.e., security 

controls inherited by organizational information systems). The information security program 

management controls and common controls contained in the information security program plan 

are implemented, assessed for effectiveness,74 and authorized by a senior organizational official, 

with the same or similar authority and responsibility for managing risk as the authorization 

officials for information systems.75 Plans of action and milestones are developed and maintained 

for the program management and common controls that are deemed through assessment to be less 

than effective. Information security program management and common controls are also subject 

to the same continuous monitoring requirements as security controls employed in individual 

organizational information systems. 

Cautionary Note 

Organizations are required to implement security program management controls to provide a foundation 

for the organization’s information security program. The successful implementation of security controls 

for organizational information systems depends on the successful implementation of the organization’s 

program management controls. 

 

74 Assessment procedures for program management controls and common controls can be found in NIST Special 

Publication 800-53A. 

75 In situations where common controls are inherited from external environments, organizations should consult the 

guidance provided in Section 3.4. 

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PM-1 INFORMATION SECURITY PROGRAM PLAN 

Control: The organization: 

a. Develops and disseminates an organization-wide information security program plan that: 

- Provides an overview of the requirements for the security program and a description of the 

security program management controls and common controls in place or planned for 

meeting those requirements; 

- Provides sufficient information about the program management controls and common 

controls (including specification of parameters for any assignment and selection operations 

either explicitly or by reference) to enable an implementation that is unambiguously 

compliant with the intent of the plan and a determination of the risk to be incurred if the 

plan is implemented as intended; 

- Includes roles, responsibilities, management commitment, coordination among 

organizational entities, and compliance; 

- Is approved by a senior official with responsibility and accountability for the risk being 

incurred to organizational operations (including mission, functions, image, and reputation), 

organizational assets, individuals, other organizations, and the Nation; 

b. Reviews the organization-wide information security program plan [Assignment: organizationdefined frequency]; and 

c. Revises the plan to address organizational changes and problems identified during plan 

implementation or security control assessments. 

Supplemental Guidance: The information security program plan can be represented in a single 

document or compilation of documents at the discretion of the organization. The plan documents 

the organization-wide program management controls and organization-defined common controls. 

The security plans for individual information systems and the organization-wide information 

security program plan together, provide complete coverage for all security controls employed 

within the organization. Common controls are documented in an appendix to the organization’s 

information security program plan unless the controls are included in a separate security plan for 

an information system (e.g., security controls employed as part of an intrusion detection system 

providing organization-wide boundary protection inherited by one or more organizational 

information systems). The organization-wide information security program plan will indicate 

which separate security plans contain descriptions of common controls. 

Organizations have the flexibility to describe common controls in a single document or in multiple 

documents. In the case of multiple documents, the documents describing common controls are 

included as attachments to the information security program plan. If the information security 

program plan contains multiple documents, the organization specifies in each document the 

organizational official or officials responsible for the development, implementation, assessment, 

authorization, and monitoring of the respective common controls. For example, the organization 

may require that the Facilities Management Office develop, implement, assess, authorize, and 

continuously monitor common physical and environmental protection controls from the PE family 

when such controls are not associated with a particular information system but instead, support 

multiple information systems. Related control: PM-8. 

Control Enhancements: None.

References: None. 

PM-2 SENIOR INFORMATION SECURITY OFFICER 

Control: The organization appoints a senior information security officer with the mission and 

resources to coordinate, develop, implement, and maintain an organization-wide information 

security program. 

APPENDIX G PAGE G-2
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

Supplemental Guidance: The security officer described in this control is an organizational official. 

For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, 

or regulations) this official is the Senior Agency Information Security Officer. Organizations may 

also refer to this organizational official as the Senior Information Security Officer or Chief 

Information Security Officer. 

Control Enhancements: None. 

References: None. 

PM-3 INFORMATION SECURITY RESOURCES 

Control: The organization: 

a. Ensures that all capital planning and investment requests include the resources needed to 

implement the information security program and documents all exceptions to this 

requirement; 

b. Employs a business case/Exhibit 300/Exhibit 53 to record the resources required; and 

c. Ensures that information security resources are available for expenditure as planned. 

Supplemental Guidance: Organizations may designate and empower an Investment Review Board 

(or similar group) to manage and provide oversight for the information security-related aspects of 

the capital planning and investment control process. Related controls: PM-4, SA-2. 

Control Enhancements: None. 

References: NIST Special Publication 800-65. 

PM-4 PLAN OF ACTION AND MILESTONES PROCESS 

Control: The organization implements a process for ensuring that plans of action and milestones for 

the security program and the associated organizational information systems are maintained and 

document the remedial information security actions to mitigate risk to organizational operations 

and assets, individuals, other organizations, and the Nation. 

Supplemental Guidance: The plan of action and milestones is a key document in the information 

security program 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. Related control: 

CA-5. 

Control Enhancements: None. 

References: OMB Memorandum 02-01; NIST Special Publication 800-37. 

PM-5 INFORMATION SYSTEM INVENTORY 

Control: The organization develops and maintains an inventory of its information systems. 

Supplemental Guidance: This control addresses the inventory requirements in FISMA. OMB 

provides guidance on developing information systems inventories and associated reporting 

requirements.

Control Enhancements: None. 

References: None.

APPENDIX G PAGE G-3
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

PM-6 INFORMATION SECURITY MEASURES OF PERFORMANCE 

Control: The organization develops, monitors, and reports on the results of information security 

measures of performance. 

Supplemental Guidance: Measures of performance are outcome-based metrics used by an 

organization to measure the effectiveness or efficiency of the information security program and 

the security controls employed in support of the program. 

Control Enhancements: None. 

References: NIST Special Publication 800-55.

PM-7 ENTERPRISE ARCHITECTURE 

Control: The organization develops an enterprise architecture with consideration for information 

security and the resulting risk to organizational operations, organizational assets, individuals, other 

organizations, and the Nation. 

Supplemental Guidance: The enterprise architecture developed by the organization is aligned with 

the Federal Enterprise Architecture. The integration of information security requirements and 

associated security controls into the organization’s enterprise architecture helps to ensure that 

security considerations are addressed by organizations early in the system development life cycle 

and are directly and explicitly related to the organization’s mission/business processes. This also 

embeds into the enterprise architecture, an integral security architecture consistent with 

organizational risk management and information security strategies. Security requirements and 

control integration are most effectively accomplished through the application of the Risk 

Management Framework and supporting security standards and guidelines. The Federal Segment 

Architecture Methodology provides guidance on integrating information security requirements and 

security controls into enterprise architectures. Related controls: PL-2, PM-11, RA-2. 

Control Enhancements: None. 

References: NIST Special Publication 800-39; Web: WWW.FSAM.GOV.

PM-8 CRITICAL INFRASTRUCTURE PLAN 

Control: The organization addresses information security issues in the development, 

documentation, and updating of a critical infrastructure and key resources protection plan. 

Supplemental Guidance: The requirement and guidance for defining critical infrastructure and key 

resources and for preparing an associated critical infrastructure protection plan are found in 

applicable federal laws, Executive Orders, directives, policies, regulations, standards, and 

guidance. Related controls: PM-1, PM-9, PM-11, RA-3. 

Control Enhancements: None. 

References: HSPD 7.

PM-9 RISK MANAGEMENT STRATEGY 

Control: The organization: 

a. Develops a comprehensive strategy to manage risk to organizational operations and assets, 

individuals, other organizations, and the Nation associated with the operation and use of 

information systems; and 

b. Implements that strategy consistently across the organization. 

Supplemental Guidance: An organization-wide risk management strategy includes, for example, an 

unambiguous expression of the risk tolerance for the organization, acceptable risk assessment 

APPENDIX G PAGE G-4
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

APPENDIX G PAGE G-5

methodologies, risk mitigation strategies, a process for consistently evaluating risk across the 

organization with respect to the organization’s risk tolerance, and approaches for monitoring risk 

over time. The use of a risk executive function can facilitate consistent, organization-wide 

application of the risk management strategy. The organization-wide risk management strategy can 

be informed by risk-related inputs from other sources both internal and external to the organization 

to ensure the strategy is both broad-based and comprehensive. Related control: RA-3. 

Control Enhancements: None. 

References: NIST Special Publications 800-30, 800-39.

PM-10 SECURITY AUTHORIZATION PROCESS 

Control: The organization: 

a. Manages (i.e., documents, tracks, and reports) the security state of organizational information 

systems through security authorization processes; 

b. Designates individuals to fulfill specific roles and responsibilities within the organizational 

risk management process; and 

c. Fully integrates the security authorization processes into an organization-wide risk 

management program. 

Supplemental Guidance: The security authorization process for information systems requires the 

implementation of the Risk Management Framework and the employment of associated security 

standards and guidelines. Specific roles within the risk management process include a designated 

authorizing official for each organizational information system. Related control: CA-6. 

Control Enhancements: None. 

References: NIST Special Publications 800-37, 800-39.

PM-11 MISSION/BUSINESS PROCESS DEFINITION 

Control: The organization: 

a. Defines mission/business processes with consideration for information security and the 

resulting risk to organizational operations, organizational assets, individuals, other 

organizations, and the Nation; and 

b. Determines information protection needs arising from the defined mission/business processes 

and revises the processes as necessary, until an achievable set of protection needs is obtained. 

Supplemental Guidance: Information protection needs are technology-independent, required 

capabilities to counter threats to organizations, individuals, or the Nation through the compromise 

of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs 

are derived from the mission/business needs defined by the organization, the mission/business 

processes selected to meet the stated needs, and the organizational risk management strategy. 

Information protection needs determine the required security controls for the organization and the 

associated information systems supporting the mission/business processes. Inherent in defining an 

organization’s information protection needs is an understanding of the level of adverse impact that 

could result if a compromise of information occurs. The security categorization process is used to 

make such potential impact determinations. Mission/business process definitions and associated 

information protection requirements are documented by the organization in accordance with 

organizational policy and procedure. Related controls: PM-7, PM-8, RA-2. 

Control Enhancements: None. 

References: FIPS Publication 199; NIST Special Publication 800-60.
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

APPENDIX H

INTERNATIONAL INFORMATION SECURITY STANDARDS 

SECURITY CONTROL MAPPINGS FOR ISO/IEC 27001 

he mapping tables in this appendix provide organizations with a general indication of 

security control coverage with respect to ISO/IEC 27001, Information technology–Security 

techniques–Information security management systems–Requirements.

76 ISO/IEC 

27001 applies to all types of organizations (e.g., commercial, government) and specifies 

requirements for establishing, implementing, operating, monitoring, reviewing, maintaining, and 

improving a documented information security management system (ISMS) within the context of 

the organization’s overall business risks. While the risk management approach established by 

NIST originally focused on managing risk from information systems (as required by FISMA and 

described in NIST Special Publication 800-39), the approach is being expanded to include risk 

management at the organizational level. A forthcoming version of NIST Special Publication 800-

39 will incorporate ISO/IEC 27001 to manage organizational information security risk through 

the establishment of an ISMS. Since NIST’s mission includes the adoption of international and 

national standards where appropriate, NIST intends to pursue convergence to reduce the burden 

on organizations that must conform to both sets of standards. The convergence initiative will be 

carried out in three phases. Phase I, the subject of this appendix, provides a two-way mapping 

between the security controls in NIST Special Publication 800-53 and the controls in ISO/IEC 

27001 (Annex A). Phase II will provide a two-way mapping between the organization-level risk 

management concepts in NIST Special Publication 800-39 (forthcoming version) and general 

requirements in ISO/IEC 27001. Phase III will use the results from Phase I and II to fully 

integrate ISO/IEC 27001 into NIST’s risk management approach such that an organization that 

complies with NIST standards and guidelines can also comply with ISO/IEC 27001 (subject to 

appropriate assessment requirements for ISO/IEC 27001 certification). 

T 

Table H-1 provides a forward mapping from the security controls in NIST Special Publication 

800-53 to the controls in ISO/IEC 27001 (Annex A). 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 ISO/IEC 

27001 (Annex A). Security controls with similar functional meaning are included in the mapping 

table. For example, Special Publication 800-53 contingency planning and ISO/IEC 27001 

(Annex A) business continuity were deemed to have similar, but not the same, functionality. In 

some cases, 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 control broadly in terms of approved authorizations for controlling access between source 

and destination objects, whereas ISO/IEC 27001 (Annex A) addresses the information flow more 

narrowly as it applies to interconnected network domains. Table H-2 provides a reverse mapping 

from the security controls in ISO/IEC 27001 (Annex A) to the security controls in Special 

Publication 800-53.77

 

76 ISO/IEC 27001 was published in October 2005 by the International Organization for Standardization (ISO) and the 

International Electrotechnical Commission (IEC). 

77 The use of the term XX-1 controls in mapping Table H-2 refers to the set of security controls represented by the first 

control in each family in NIST Special Publication 800-53, where XX is a placeholder for the two-letter family 

identifier. These security controls primarily focus on policies and procedures for each topic area addressed by the 

respective security control family. 

APPENDIX H PAGE H-1
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

Organizations are encouraged to use the mapping tables as a starting point for conducting further 

analyses and interpretation of the extent of compliance with ISO/IEC 27001 from compliance 

with the NIST security standards and guidelines and visa versa. Organizations that use the 

security controls in Special Publication 800-53 as an extension to the security controls in Annex 

A in their ISO/IEC 27001 implementations will have a higher probability of complying with 

NIST security standards and guidelines than those organizations that use only Annex A. 

TABLE H-1: MAPPING NIST SP 800-53 TO ISO/IEC 27001 (ANNEX A) 

NIST SP 800-53 CONTROLS ISO/IEC 27001 (Annex A) CONTROLS 

AC-1 Access Control Policy and Procedures A5.1.1, A5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A10.1.1, A.10.8.1, 

A.11.1.1, A.11.2.1, A11.2.2, A11.4.1, A.11.7.1, A.11.7.2, 

A.15.1.1, A.15.2.1 

AC-2 Account Management A.8.3.3, A.11.2.1, A.11.2.2, A.11.2.4, A15.2.1 

AC-3 Access Enforcement A.10.8.1 A.11.4.4, A.11.4.6, A.11.5.4, A.11.6.1, A.12.4.2 

AC-4 Information Flow Enforcement A.10.6.1, A.10.8.1, A.11.4.5, A.11.4.7, A.11.7.2, A.12.4.2, 

A.12.5.4 

AC-5 Separation of Duties A.6.1.3, A.8.1.1, A.10.1.3, A.11.1.1, A.11.4.1 

AC-6 Least Privilege A.6.1.3, A.8.1.1, A.11.1.1, A.11.2.2, A.11.4.1, A.11.4.4, 

A.11.4.6, A.11.5.4, A.11.6.1, A.12.4.3 

AC-7 Unsuccessful Login Attempts A.11.5.1 

AC-8 System Use Notification A.6.2.2, A.8.1.1, A.11.5.1, A.15.1.5 

AC-9 Previous Logon (Access) Notification A.11.5.1 

AC-10 Concurrent Session Control A.11.5.1 

AC-11 Session Lock A.11.3.2, A.11.3.3, A.11.5.5 

AC-12 Withdrawn --- 

AC-13 Withdrawn --- 

AC-14 Permitted Actions without Identification or 

Authentication 

A.11.6.1 

AC-15 Withdrawn --- 

AC-16 Security Attributes A.7.2.2 

AC-17 Remote Access A.10.6.1, A.10.8.1, A.11.1.1, A.11.4.1, A.11.4.2, A.11.4.4, 

A.11.4.6, A.11.4.7, A.11.7.1, A.11.7.2 

AC-18 Wireless Access A.10.6.1, A.10.8.1, A.11.1.1, A.11.4.1, A.11.4.2, A.11.4.4, 

A.11.4.6, A.11.4.7, A.11.7.1, A.11.7.2 

AC-19 Access Control for Mobile Devices A.10.4.1, A.11.1.1, A.11.4.3, A.11.7.1 

AC-20 Use of External Information Systems A.7.1.3, A.8.1.1, A.8.1.3, A.10.6.1, A.10.8.1, A.11.4.1, 

A.11.4.2 

AC-21 User-Based Collaboration and Information 

Sharing 

A.11.2.1, A.11.2.2 

AC-22 Publicly Accessible Content None 

AT-1 Security Awareness and Training Policy 

and Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, 

A.15.2.1 

AT-2 Security Awareness A.6.2.2, A.8.1.1, A.8.2.2, A.9.1.5, A.10.4.1 

AT-3 Security Training A.8.1.1, A.8.2.2, A.9.1.5 

AT-4 Security Training Records None 

AT-5 Contacts with Security Groups and 

Associations 

A.6.1.7 

AU-1 Audit and Accountability Policy and 

Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.10.10.2, 

A.15.1.1, A.15.2.1, A.15.3.1 

AU-2 Auditable Events A.10.10.1, A.10.10.4, A.10.10.5, A.15.3.1 

AU-3 Content of Audit Records A.10.10.1 

AU-4 Audit Storage Capacity A.10.10.1, A.10.3.1 

AU-5 Response to Audit Processing Failures A.10.3.1, A.10.10.1 

AU-6 Audit Review, Analysis, and Reporting A.10.10.2, A.10.10.5, A.13.1.1, A.15.1.5 

AU-7 Audit Reduction and Report Generation A.10.10.2 

AU-8 Time Stamps A.10.10.1, A.10.10.6 

AU-9 Protection of Audit Information A.10.10.3, A.13.2.3, A.15.1.3, A.15.3.2 

AU-10 Non-repudiation A.10.9.1, A.12.2.3 

AU-11 Audit Record Retention A.10.10.1, A.10.10.2, A.15.1.3 

APPENDIX H PAGE H-2
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

NIST SP 800-53 CONTROLS ISO/IEC 27001 (Annex A) CONTROLS 

AU-12 Audit Generation A.10.10.1, A.10.10.4, A.10.10.5 

AU-13 Monitoring for Information Disclosure None 

AU-14 Session Audit None 

CA-1 Security Assessment and Authorization 

Policies and Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3 A.6.1.4, A.8.1.1, A.10.1.1, 

A.15.1.1, A.15.2.1 

CA-2 Security Assessments A.6.1.8, A.10.3.2, A.15.2.1, A.15.2.2 

CA-3 Information System Connections A.6.2.1, A.6.2.3, A.10.6.1, A.10.8.1, A.10.8.2, A.10.8.5, 

A.11.4.2 

CA-4 Withdrawn --- 

CA-5 Plan of Action and Milestones None 

CA-6 Security Authorization A.6.1.4, A.10.3.2 

CA-7 Continuous Monitoring A.6.1.8, A.15.2.1, A.15.2.2 

CM-1 Configuration Management Policy and 

Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.10.1.2, 

A.12.4.1, A.12.5.1, A.15.1.1, A.15.2.1 

CM-2 Baseline Configuration A.12.4.1, A.10.1.4 

CM-3 Configuration Change Control A.10.1.1, A.10.1.2, A.10.3.2, A.12.4.1, A.12.5.1, A.12.5.2, 

A.12.5.3 

CM-4 Security Impact Analysis A.10.1.2, A.10.3.2, A.12.4.1, A.12.5.2, A.12.5.3 

CM-5 Access Restrictions for Change A.10.1.2, A.11.1.1, A.11.6.1, A.12.4.1, A.12.4.3, A.12.5.3 

CM-6 Configuration Settings None 

CM-7 Least Functionality None 

CM-8 Information System Component Inventory A.7.1.1, A.7.1.2 

CM-9 Configuration Management Plan A.6.1.3. A.7.1.1, A.7.1.2, A.8.1.1, A.10.1.1, A.10.1.2, A.10.3.2, 

A.12.4.1, A.12.4.3, A.12.5.1, A.12.5.2, A.12.5.3 

CP-1 Contingency Planning Policy and 

Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.9.1.4, A.10.1.1, 

A.10.1.2, A.14.1.1, A.14.1.3, A.15.1.1, A.15.2.1 

CP-2 Contingency Plan A.6.1.2, A.9.1.4, A.10.3.1, A.14.1.1, A.14.1.2, A.14.1.3, 

A.14.1.4, A.14.1.5 

CP-3 Contingency Training A.8.2.2, A.9.1.4, A.14.1.3 

CP-4 Contingency Plan Testing and Exercises A.6.1.2, A.9.1.4, A.14.1.1, A.14.1.3, A.14.1.4, A.14.1.5 

CP-5 Withdrawn --- 

CP-6 Alternate Storage Site A.9.1.4, A.14.1.3 

CP-7 Alternate Processing Site A.9.1.4, A.14.1.3 

CP-8 Telecommunications Services A.9.1.4, A.10.6.1, A.14.1.3 

CP-9 Information System Backup A.9.1.4, A.10.5.1, A.14.1.3, A.15.1.3 

CP-10 Information System Recovery and 

Reconstitution 

A.9.1.4, A.14.1.3 

IA-1 Identification and Authentication Policy 

and Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.11.2.1, 

A.15.1.1, A.15.2.1 

IA-2 Identification and Authentication 

(Organizational Users) 

A.11.3.2, A.11.5.1, A.11.5.2, A.11.5.3 

IA-3 Device Identification and Authentication A.11.4.3 

IA-4 Identifier Management A.11.5.2 

IA-5 Authenticator Management A.11.2.1, A.11.2.3, A.11.3.1, A.11.5.2, A.11.5.3 

IA-6 Authenticator Feedback A.11.5.1 

IA-7 Cryptographic Module Authentication A.12.3.1, A.15.1.1, A.15.1.6, A.15.2.1 

IA-8 Identification and Authentication (NonOrganizational Users) A.10.9.1, A.11.4.2, A.11.5.1, A.11.5.2 

IR-1 Incident Response Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.13.1.1, 

A.13.2.1, A.15.1.1, A.15.2.1 

IR-2 Incident Response Training A.8.2.2 

IR-3 Incident Response Testing and Exercises None 

IR-4 Incident Handling A.6.1.2, A.13.2.2, A.13.2.3 

IR-5 Incident Monitoring None 

IR-6 Incident Reporting A.6.1.6, A.13.1.1 

IR-7 Incident Response Assistance None 

IR-8 Incident Response Plan None 

MA-1 System Maintenance Policy and 

Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.9.2.4, A.10.1.1, 

A.15.1.1, A.15.2.1 

MA-2 Controlled Maintenance A.9.2.4 

APPENDIX H PAGE H-3
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

________________________________________________________________________________________________ 

NIST SP 800-53 CONTROLS ISO/IEC 27001 (Annex A) CONTROLS 

MA-3 Maintenance Tools A.9.2.4, A.11.4.4 

MA-4 Non-Local Maintenance A.9.2.4, A.11.4.4 

MA-5 Maintenance Personnel A.9.2.4, A.12.4.3 

MA-6 Timely Maintenance A.9.2.4 

MP-1 Media Protection Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.10.7.1, 

A.10.7.2, A.10.7.3, A.11.1.1, A.15.1.1, A.15.1.3, A.15.2.1 

MP-2 Media Access A.7.2.2, A.10.7.1, A.10.7.3 

MP-3 Media Marking A.7.2.2, A.10.7.1, A.10.7.3 

MP-4 Media Storage A.10.7.1, A.10.7.3, A.10.7.4, A.15.1.3 

MP-5 Media Transport A.9.2.5, A.9.2.7, A.10.7.1, A.10.7.3, A.10.8.3 

MP-6 Media Sanitization A.9.2.6, A.10.7.1, A.10.7.2, A.10.7.3 

PE-1 Physical and Environmental Protection 

Policy and Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.9.1.4, A.9.2.1, 

A.9.2.2, A.10.1.1, A.11.1.1, A.11.2.1, A.11.2.2, A.15.1.1, 

A.15.2.1 

PE-2 Physical Access Authorizations A.9.1.5, A.11.2.1, A.11.2.2, A.11.2.4 

PE-3 Physical Access Control A.9.1.1, A.9.1.2, A.9.1.3, A.9.1.5, A.9.1.6, A.11.3.2, A.11.4.4 

PE-4 Access Control for Transmission Medium A.9.1.3, A.9.1.5, A.9.2.3 

PE-5 Access Control for Output Devices A.9.1.2, A.9.1.3, A.10.6.1, A.11.3.2 

PE-6 Monitoring Physical Access A.9.1.2, A.9.1.5, A.10.10.2 

PE-7 Visitor Control A.9.1.2, A.9.1.5, A.9.1.6 

PE-8 Access Records A.9.1.5, A.10.10.2, A.15.2.1 

PE-9 Power Equipment and Power Cabling A.9.1.4, A.9.2.2, A.9.2.3 

PE-10 Emergency Shutoff A.9.1.4 

PE-11 Emergency Power A.9.1.4, A.9.2.2 

PE-12 Emergency Lighting A.9.2.2 

PE-13 Fire Protection A.9.1.4 

PE-14 Temperature and Humidity Controls A.9.2.2 

PE-15 Water Damage Protection A.9.1.4 

PE-16 Delivery and Removal A.9.1.6, A.9.2.7, A.10.7.1 

PE-17 Alternate Work Site A.9.2.5, A.11.7.2 

PE-18 Location of Information System 

Components 

A.9.2.1, A.11.3.2 

PE-19 Information Leakage A.12.5.4 

PL-1 Security Planning Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.2, A.6.1.3, A.8.1.1, A.10.1.1, 

A.15.1.1, A.15.2.1 

PL-2 System Security Plan None 

PL-3 Withdrawn --- 

PL-4 Rules of Behavior A.6.1.5, A.6.2.2, A.7.1.3. A.8.1.1, A.8.1.3, A.8.2.1, A.9.1.5, 

A.10.8.1, A.11.7.1, A.11.7.2, A.12.4.1, A.13.1.2, A.15.1.5 

PL-5 Privacy Impact Assessment A.15.1.4 

PL-6 Security-Related Activity Planning A.6.1.2, A.15.3.1 

PS-1 Personnel Security Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, 

A.15.2.1 

PS-2 Position Categorization A.8.1.1 

PS-3 Personnel Screening A.8.1.2 

PS-4 Personnel Termination A.8.3.1, A.8.3.2, A.8.3.3 

PS-5 Personnel Transfer A.8.3.1, A.8.3.2, A.8.3.3 

PS-6 Access Agreements A.6.1.5, A.8.1.1, A.8.1.3, A.8.2.1, A.9.1.5, A.10.8.1, A.11.7.1, 

A.11.7.2, A.15.1.5 

PS-7 Third-Party Personnel Security A.6.2.3, A.8.1.1, A.8.2.1, A.8.1.3 

PS-8 Personnel Sanctions A.8.2.3, A.15.1.5 

RA-1 Risk Assessment Policy and Procedures A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.14.1.2, 

A.15.1.1, A.15.2.1 

RA-2 Security Categorization A.7.2.1, A.14.1.2 

RA-3 Risk Assessment A.6.2.1, A.10.2.3, A.12.6.1, A.14.1.2 

RA-4 Withdrawn --- 

RA-5 Vulnerability Scanning A.12.6.1, A.15.2.2 

SA-1 System and Services Acquisition Policy 

and Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.6.2.1, A.8.1.1, A.10.1.1, 

A.12.1.1, A.12.5.5, A.15.1.1, A.15.2.1 

SA-2 Allocation of Resources A.6.1.2, A.10.3.1 

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SA-3 Life Cycle Support A.12.1.1 

SA-4 Acquisitions A.12.1.1, A.12.5.5 

SA-5 Information System Documentation A.10.7.4, A.15.1.3 

SA-6 Software Usage Restrictions A.12.4.1, A.12.5.5, A.15.1.2 

SA-7 User-Installed Software A.12.4.1, A.12.5.5, A.15.1.5 

SA-8 Security Engineering Principles A.10.4.1, A.10.4.2, A.11.4.5, A.12.5.5 

SA-9 External Information System Services A.6.1.5, A.6.2.1, A.6.2.3, A.8.1.1, A.8.2.1, A.10.2.1, A.10.2.2, 

A.10.2.3, A.10.6.2, A.10.8.2, A.12.5.5 

SA-10 Developer Configuration Management A.12.4.3, A.12.5.1, A.12.5.5 

SA-11 Developer Security Testing A.10.3.2, A.12.5.5 

SA-12 Supply Chain Protections A.12.5.5 

SA-13 Trustworthiness A.12.5.5 

SA-14 Critical Information System Components None 

SC-1 System and Communications Protection 

Policy and Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, 

A.15.2.1 

SC-2 Application Partitioning A.10.4.1, A.10.4.2 

SC-3 Security Function Isolation A.10.4.1, A.10.4.2, A.10.9.1, A.10.9.2 

SC-4 Information In Shared Resources None 

SC-5 Denial of Service Protection A.10.3.1 

SC-6 Resource Priority None 

SC-7 Boundary Protection A.6.2.1, A.10.4.1, A.10.4.2, A.10.6.1, A.10.8.1, A.10.9.1, 

A.10.9.2, A.10.10.2, A.11.4.5, A.11.4.6 

SC-8 Transmission Integrity A.10.4.2, A.10.6.1, A.10.6.2, A.10.9.1, A.10.9.2, A.12.2.3, 

A.12.3.1 

SC-9 Transmission Confidentiality A.10.6.1, A.10.6.2, A.10.9.1, A.10.9.2, A.12.3.1 

SC-10 Network Disconnect A.10.6.1, A.11.3.2, A.11.5.1, A.11.5.5 

SC-11 Trusted Path None 

SC-12 Cryptographic Key Establishment and 

Management 

A.12.3.2 

SC-13 Use of Cryptography A.12.3.1, A.15.1.6 

SC-14 Public Access Protections A.10.4.1, A.10.4.2, A.10.9.1, A.10.9.2, A.10.9.3 

SC-15 Collaborative Computing Devices None 

SC-16 Transmission of Security Attributes A.7.2.2, A.10.8.1 

SC-17 Public Key Infrastructure Certificates A.12.3.2 

SC-18 Mobile Code A.10.4.2 

SC-19 Voice Over Internet Protocol A.10.6.1 

SC-20 Secure Name /Address Resolution 

Service (Authoritative Source) 

A.10.6.1 

SC-21 Secure Name /Address Resolution 

Service (Recursive or Caching Resolver) 

A.10.6.1 

SC-22 Architecture and Provisioning for 

Name/Address Resolution Service 

A.10.6.1 

SC-23 Session Authenticity A.10.6.1 

SC-24 Fail in Known State None 

SC-25 Thin Nodes None 

SC-26 Honeypots None 

SC-27 Operating System-Independent 

Applications 

None 

SC-28 Protection of Information at Rest None 

SC-29 Heterogeneity None 

SC-30 Virtualization Techniques None 

SC-31 Covert Channel Analysis None 

SC-32 Information System Partitioning None 

SC-33 Transmission Preparation Integrity None 

SC-34 Non-Modifiable Executable Programs None 

SI-1 System and Information Integrity Policy 

and Procedures 

A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3, A.8.1.1, A.10.1.1, A.15.1.1, 

A.15.2.1 

SI-2 Flaw Remediation A.10.10.5, A.12.5.2, A.12.6.1, A.13.1.2 

SI-3 Malicious Code Protection A.10.4.1 

SI-4 Information System Monitoring A.10.10.2, A.13.1.1, A.13.1.2 

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SI-5 Security Alerts, Advisories, and Directives A.6.1.6, A.12.6.1, A.13.1.1, A.13.1.2 

SI-6 Security Functionality Verification None 

SI-7 Software and Information Integrity A.10.4.1, A.12.2.2, A.12.2.3 

SI-8 Spam Protection None 

SI-9 Information Input Restrictions A.10.8.1, A.11.1.1, A.11.2.2, A.12.2.2 

SI-10 Information Input Validation A.12.2.1, A.12.2.2 

SI-11 Error Handling None 

SI-12 Information Output Handling and 

Retention 

A.10.7.3, A.15.1.3, A.15.1.4, A.15.2.1 

SI-13 Predictable Failure Prevention None 

PM-1 Information Security Program Plan A.5.1.1, A.5.1.2, A.6.1.1, A.6.1.3 A.8.1.1, A.15.1.1, A.15.2.1 

PM-2 Senior Information Security Officer A.6.1.1, A.6.1.2, A.6.1.3 

PM-3 Information Security Resources None 

PM-4 Plan of Action and Milestones Process None 

PM-5 Information System Inventory A.7.1.1, A.7.1.2 

PM-6 Information Security Measures of 

Performance 

None 

PM-7 Enterprise Architecture None 

PM-8 Critical Infrastructure Plan None 

PM-9 Risk Management Strategy A.6.2.1, A.14.1.2 

PM-10 Security Authorization Process A.6.1.4 

PM-11 Mission/Business Process Definition None 

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TABLE H-2: MAPPING ISO/IEC 27001 (ANNEX A) TO NIST SP 800-53 

ISO/IEC 27001 (Annex A) CONTROLS NIST SP 800-53 CONTROLS 

A.5 Security Policy

A.5.1 Information security policy 

A.5.1.1 Information security policy document XX-1 controls 

A.5.1.2 Review of the information security policy XX-1 controls 

A.6 Organization of information security

A.6.1 Internal 

A.6.1.1 Management commitment to information security XX-1 controls, PM-2; SP 800-39, SP 800-37 

A.6.1.2 Information security coordination CP-2, CP-4, IR-4, PL-1, PL-6, PM-2, SA-2; 

SP 800-39, SP 800-37 

A.6.1.3 Allocation of information security responsibilities XX-1 controls, AC-5, AC-6, CM-9. PM-2; SP 

800-39, SP 800-37 

A.6.1.4 Authorization process for information processing facilities CA-1, CA-6, PM-10; SP 800-37 

A.6.1.5 Confidentiality agreements PL-4, PS-6, SA-9 

A.6.1.6 Contact with authorities Multiple controls with contact reference (e.g., 

IR-6, SI-5); SP 800-39; SP 800-37 

A.6.1.7 Contact with special interest groups AT-5 

A.6.1.8 Independent review of information security CA-2, CA-7; SP 800-39, SP 800-37 

A.6.2 External Parties 

A.6.2.1 Identification of risks related to external parties CA-3, PM-9, RA-3, SA-1, SA-9, SC-7 

A.6.2.2 Addressing security when dealing with customers AC-8 , AT-2, PL-4 

A.6.2.3 Addressing security in third party agreements CA-3, PS-7, SA-9 

A.7 Asset Management 

A.7.1 Responsibility for assets 

A.7.1.1 Inventory of assets CM-8, CM-9, PM-5 

A.7.1.2 Ownership of assets CM-8, CM-9, PM-5 

A.7.1.3 Acceptable use of assets AC-20, PL-4 

A.7.2 Information Classification 

A.7.2.1 Classification Guidelines RA-2 

A.7.2.2 Information labeling and handling AC-16, MP-2, MP-3, SC-16 

A.8 Human Resources Security 

A.8.1 Prior to Employment 

A.8.1.1 Roles and Responsibilities XX-1 controls, AC-5, AC-6, AC-8, AC-20, AT-2, 

AT-3, CM-9, PL-4, PS-2, PS-6, PS-7, SA-9 

A.8.1.2 Screening PS-3 

A.8.1.3 Terms and conditions of employment AC-20, PL-4, PS-6, PS-7 

A.8.2 During employment 

A.8.2.1 Management responsibilities PL-4, PS-6, PS-7, SA-9 

A.8.2.2 Awareness, education, and training AT-2, AT-3, IR-2 

A.8.2.3 Disciplinary process PS-8 

A.8.3 Termination or change of employment 

A.8.3.1 Termination responsibilities PS-4, PS-5 

A.8.3.2 Return of assets PS-4, PS-5 

A.8.3.3 Removal of access rights AC-2, PS-4, PS-5 

A.9 Physical and environmental security 

A.9.1 Secure areas 

A.9.1.1 Physical security perimeter PE-3 

A.9.1.2 Physical entry controls PE-3, PE-5, PE-6, PE-7 

A.9.1.3 Securing offices, rooms, facilities PE-3, PE-4, PE-5 

A.9.1.4 Protecting against external and environmental threats CP Family; PE-1, PE-9, PE-10, PE-11, PE-13, 

PE-15 

A.9.1.5 Working in secure areas AT-2, AT-3 , PL-4, PS-6, PE-2, PE-3, PE-4, 

PE-6, PE-7, PE-8 

A.9.1.6 Public access, delivery and loading areas PE-3 , PE-7, PE-16 

A.9.2 Equipment security 

A.9.2.1 Equipment siting and protection PE-1, PE-18 

A.9.2.2 Supporting utilities PE-1, PE-9, PE-11, PE-12, PE-14 

A.9.2.3 Cabling security PE-4, PE-9 

A.9.2.4 Equipment maintenance MA Family 

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A.9.2.5 Security of equipment off-premises MP-5, PE-17 

A.9.2.6 Secure disposal or reuse of equipment MP-6 

A.9.2.7 Removal of property MP-5, PE-16 

A.10 Communications and operations management 

A.10.1 Operational procedures and responsibilities 

A.10.1.1 Documented operating procedures XX-1 controls, CM-9 

A.10.1.2 Change management CM-1, CM-3, CM-4, CM-5, CM-9 

A.10.1.3 Segregation of duties AC-5 

A.10.1.4 Separation of development, test and operational facilities CM-2 

A.10.2 Third-party service delivery management 

A.10.2.1 Service delivery SA-9 

A.10.2.2 Monitoring and review of third-party services SA-9 

A.10.2.3 Managing changes to third-party services RA-3, SA-9 

A.10.3 System planning and acceptance 

A.10.3.1 Capacity management AU-4, AU-5, CP-2, SA-2, SC-5 

A.10.3.2 System acceptance CA-2, CA-6, CM-3, CM-4, CM-9, SA-11 

A.10.4 Protection against malicious and mobile code 

A.10.4.1 Controls against malicious code AC-19, AT-2, SA-8, SC-2, SC-3, SC-7, SC-14, 

SI-3, SI-7 

A.10.4.2 Controls against mobile code SA-8, SC-2, SC-3, SC-7, SC-14, SC-8, SC-18 

A.10.5 Backup 

A.10.5.1 Information backup CP-9 

A.10.6 Network security management 

A.10.6.1 Network controls AC-4, AC-17, AC-18, AC-20, CA-3, CP-8, PE-5, 

SC-7, SC-8, SC-9, SC-10, SC-19, SC-20, 

SC-21, SC-22, SC-23 

A.10.6.2 Security of network services SA-9, SC-8, SC-9 

A.10.7 Media handling 

A.10.7.1 Management of removable media MP Family, PE-16 

A.10.7.2 Disposal of media MP-6 

A.10.7.3 Information handling procedures MP Family, SI-12 

A.10.7.4 Security of system documentation MP-4, SA-5 

A.10.8 Exchange of information 

A.10.8.1 Information exchange policies and procedures AC-1, AC-3, AC-4, AC-17, AC-18, AC-20, CA-3, 

PL-4, PS-6, SC-7, SC-16, SI-9 

A.10.8.2 Exchange agreements CA-3, SA-9 

A.10.8.3 Physical media in transit MP-5 

A.10.8.4 Electronic messaging Multiple controls; electronic messaging not 

addressed separately in SP 800-53 

A.10.8.5 Business information systems CA-1, CA-3 

A.10.9 Electronic commerce services 

A.10.9.1 Electronic commerce AU-10, IA-8, SC-7, SC-8, SC-9, SC-3, SC-14 

A.10.9.2 Online transactions SC-3, SC-7, SC-8, SC-9, SC-14 

A.10.9.3 Publicly available information SC-14 

A.10.10 Monitoring 

A.10.10.1 Audit logging AU-1, AU-2, AU-3, AU-4, AU-5, AU-8, AU-11, 

AU-12 

A.10.10.2 Monitoring system use AU-1, AU-6, AU-7, PE-6, PE-8, SC-7, SI-4 

A.10.10.3 Protection of log information AU-9 

A.10.10.4 Administrator and operator logs AU-2, AU-12 

A.10.10.5 Fault logging AU-2, AU-6, AU-12, SI-2 

A.10.10.6 Clock synchronization AU-8 

A.11 Access Control 

A.11.1 Business requirement for access control 

A.11.1.1 Access control policy AC-1, AC-5, AC-6, AC-17, AC-18, AC-19, CM-5, 

MP-1, SI-9 

A.11.2 User access management 

A.11.2.1 User registration AC-1, AC-2, AC-21, IA-5, PE-1, PE-2 

A.11.2.2 Privilege management AC-1, AC-2, AC-6, AC-21, PE-1, PE-2, SI-9 

A.11.2.3 User password management IA-5 

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A.11.2.4 Review of user access rights AC-2, PE-2 

A 11.3 User responsibilities 

A.11.3.1 Password use IA-2, IA-5 

A.11.3.2 Unattended user equipment AC-11, IA-2, PE-3, PE-5, PE-18, SC-10 

A.11.3.3 Clear desk and clear screen policy AC-11 

A.11.4 Network access control 

A.11.4.1 Policy on use of network services AC-1, AC-5, AC-6, AC-17, AC-18, AC-20 

A.11.4.2 User authentication for external connections AC-17, AC-18, AC-20, CA-3, IA-2, IA-8 

A.11.4.3 Equipment identification in networks AC-19, IA-3 

A.11.4.4 Remote diagnostic and configuration port protection AC-3, AC-6, AC-17, AC-18, PE-3, MA-3, MA-4 

A.11.4.5 Segregation in networks AC-4, SA-8, SC-7 

A.11.4.6 Network connection control AC-3, AC-6, AC-17, AC-18, SC-7 

A.11.4.7 Network routing control AC-4, AC-17, AC-18 

A 11.5 Operating system access control 

A.11.5.1 Secure log-on procedures AC-7, AC-8, AC-9, AC-10, IA-2, IA-6, IA-8, SC10 

A.11.5.2 User identification and authentication IA-2, IA-4, IA-5, IA-8 

A.11.5.3 Password management system IA-2, IA-5 

A.11.5.4 Use of system utilities AC-3, AC-6 

A.11.5.5 Session time-out AC-11, SC-10 

A.11.5.6 Limitation of connection time None 

A.11.6 Application and information access control 

A.11.6.1 Information access restriction AC-3, AC-6, AC-14, CM-5 

A.11.6.2 Sensitive system isolation None; SP 800-39 

A.11.7 Mobile computing and teleworking 

A.11.7.1 Mobile computing and communications AC-1, AC-17, AC-18, AC-19, PL-4, PS-6 

A.11.7.2 Teleworking AC-1, AC-4, AC-17, AC-18, PE-17, PL-4, PS-6 

A.12 Information systems acquisition, development and 

maintenance 

A.12.1 Security requirements of information systems 

A.12.1.1 Security requirements analysis and specification SA-1, SA-3, SA-4 

A.12.2 Correct processing in applications 

A.12.2.1 Input data validation SI-10 

A.12.2.2 Control of internal processing SI-7, SI-9, SI-10 

A.12.2.3 Message integrity AU-10, SC-8, SI-7 

A.12.2.4 Output data validation None 

A.12.3 Cryptographic controls 

A.12.3.1 Policy on the use of cryptographic controls Multiple controls address cryptography (e.g., 

IA-7, SC-8, SC-9, SC-12, SC-13) 

A.12.3.2 Key management SC-12, SC-17 

A.12.4 Security of system files 

A.12.4.1 Control of operational software CM-1, CM-2, CM-3, CM-4, CM-5, CM-9, PL-4, 

SA-6, SA-7 

A.12.4.2 Protection of system test data Multiple controls; protection of test data not 

addressed separately in SP 800-53 (e.g., AC-3, 

AC-4) 

A.12.4.3 Access control to program source code AC-3, AC-6, CM-5, CM-9, MA-5, SA-10 

A.12.5 Security in development and support processes 

A.12.5.1 Change control procedures CM-1, CM-3, CM-9, SA-10 

A.12.5.2 Technical review of applications after operating system 

changes 

CM-3, CM-4, CM-9, SI-2 

A.12.5.3 Restrictions on changes to software packages CM-3, CM-4, CM-5, CM-9 

A.12.5.4 Information leakage AC-4, PE-19 

A.12.5.5 Outsourced software development SA-1, SA-4, SA-6, SA-7, SA-8, SA-9, SA-11, 

SA-12, SA-13 

A.12.6 Technical Vulnerability Management 

A.12.6.1 Control of technical vulnerabilities RA-3, RA-5, SI-2, SI-5 

A.13 Information security incident management 

A.13.1 Reporting information security events and weaknesses 

A.13.1.1 Reporting information security events AU-6, IR-1, IR-6, SI-4, SI-5 

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A.13.1.2 Reporting security weaknesses PL-4, SI-2, SI-4, SI-5 

A.13.2 Management of information security incidents and 

improvements 

A.13.2.1 Responsibilities and procedures IR-1 

A.13.2.2 Learning from information security incidents IR-4 

A.13.2.3 Collection of evidence AU-9, IR-4 

A.14 Business continuity management 

A.14.1 Information security aspects of business continuity 

management 

A.14.1.1 Including information security in the business continuity 

management process 

CP-1, CP-2, CP-4 

A.14.1.2 Business continuity and risk assessment CP-2, PM-9, RA Family 

A.14.1.3 Developing and implementing continuity plans including 

information security 

CP Family 

A.14.1.4 Business continuity planning framework CP-2, CP-4 

A.14.1.5 Testing, maintaining and reassessing business continuity 

plans 

CP-2, CP-4 

A.15 Compliance 

A.15.1 Compliance with legal requirements 

A.15.1.1 Identification of applicable legislation XX-1 controls, IA-7 

A.15.1.2 Intellectual property rights (IPR) SA-6 

A.15.1.3 Protection of organizational records AU-9, AU-11, CP-9, MP-1, MP-4, SA-5, SI-12 

A.15.1.4 Data protection and privacy of personal information PL-5; SI-12 

A.15.1.5 Prevention of misuse of information processing facilities AC-8, AU-6, PL-4, PS-6, PS-8, SA-7 

A.15.1.6 Regulation of cryptographic controls IA-7, SC-13 

A.15.2 Compliance with security policies and standards, and 

technical compliance 

A.15.2.1 Compliance with security policies and standards XX-1 controls, AC-2, CA-2, CA-7, IA-7, PE-8, 

SI-12 

A.15.2.2 Technical compliance checking CA-2, CA-7, RA-5 

A.15.3 Information systems audit considerations 

A.15.3.1 Information systems audit controls AU-1, AU-2, PL-6 

A.15.3.2 Protection of information systems audit tools AU-9 
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APPENDIX I

INDUSTRIAL CONTROL SYSTEMS 

SECURITY CONTROLS, ENHANCEMENTS, AND SUPPLEMENTAL GUIDANCE 

ndustrial control systems (ICS)78 are information systems that differ significantly from 

traditional administrative, mission support, and scientific data processing information 

systems. ICS typically 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 the public; (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.79

I

Previously, ICS 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, portions of these ICS 

have started to resemble the more traditional information systems. Increasingly, ICS use the 

same commercially available hardware and software components as are used in the organization’s 

traditional information systems. While the change in ICS architecture supports new information 

system capabilities, it also provides significantly less isolation from the outside world for these 

systems, introducing many of the same vulnerabilities that exist in current networked information 

systems. The result is an even greater need to secure ICS. 

FIPS 200, supported by NIST Special Publication 800-53, requires that federal agencies (and 

organizations subordinate to those agencies) implement minimum security controls for their 

organizational information systems based on the FIPS 199 security categorization of those 

systems. This includes implementing the baseline security controls described in this document in 

ICS that are operated by or on behalf of federal agencies. Section 3.3, Tailoring the Initial 

Baseline, allows organizations80 to modify or adjust recommended security control baselines 

when certain conditions exist that require that flexibility. NIST recommends that ICS owners 

take advantage of the ability to tailor the initial baselines applying the ICS-specific guidance in 

this appendix. This appendix also contains additions to the initial security control baselines that 

have been determined to be generally required for ICS. 

 

78 An ICS 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, distributed control systems (DCS), and programmable logic controllers (PLC). ICS 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. 

79 See Executive Order 13231 on Critical Infrastructure Protection, October 16, 2001. 

80 NIST Special Publication 800-53 employs the term organization to refer to the owner or operator of an information 

system. In this Appendix, organization may refer to the owner or operator of an ICS. 

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NIST has worked cooperatively with ICS communities in the public and private sectors to 

develop specific guidance on the application of the security controls in this document to ICS. 

That guidance, contained in this Appendix, includes ICS-specific: 

• Tailoring guidance; 

• Supplements to the security control baselines; and 

• Supplemental guidance. 

ICS Tailoring Guidance 

Tailoring guidance for ICS can include scoping guidance and the application of compensating 

security controls. Due to the unique characteristics of ICS, these systems may require a greater 

use of compensating security controls than is the case for general-purpose information systems. 

Implementation Tip 

In situations where the ICS cannot support, or the organization determines it is not advisable to 

implement particular security controls or control enhancements in an ICS (e.g., performance, safety, 

or reliability are adversely impacted), the organization provides a complete and convincing rationale 

for how the selected compensating controls provide an equivalent security capability or level of 

protection for the ICS and why the related baseline security controls could not be employed. 

In accordance with the Technology-related Considerations of the Scoping Guidance in Section 3.3, if 

automated mechanisms are not readily available, cost-effective, or technically feasible in the ICS, 

compensating security controls, implemented through nonautomated mechanisms or procedures are 

employed. 

Compensating controls are not exceptions or waivers to the baseline controls; rather, they are 

alternative safeguards and countermeasures employed within the ICS that accomplish the intent of 

the original security controls that could not be effectively employed. Organizational decisions on the 

use of compensating controls are documented in the security plan for the ICS. 

The security controls and control enhancements listed in Table I-1 are likely candidates for 

tailoring with the applicability of scoping guidance indicated for each control/enhancement. In 

Table I-1, the citation of a control without enhancements (e.g., AC-17) refers only to the base 

control without any enhancements, while reference to an enhancement by a parenthetical number 

following the control identification (e.g., AC-17(1)) refers only to the specific control 

enhancement. 

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TABLE I-1: SECURITY CONTROL CANDIDATES FOR TAILORING 

TAILORING OPTIONS 

CONTROL

NUMBER CONTROL NAME SCOPING

GUIDANCE

COMPENSATING 

CONTROLS

AC-2 Account Management NO YES

AC-5 Separation of Duties NO YES

AC-6 Least Privilege NO YES

AC-7 Unsuccessful Login Attempts NO YES

AC-8 System Use Notification NO YES

AC-10 Concurrent Session Control NO YES

AC-11 Session Lock NO YES

AC-17 Remote Access NO YES

AC-17 (2) Remote Access NO YES

AC-18 (1) Wireless Access NO YES

AC-19 Access Control for Mobile Devices NO YES

AU-2 Auditable Events NO YES

AU-5 Response to Audit Processing Failure YES YES

AU-7 Audit Reduction and Report Generation YES YES

AU-12 Audit Generation NO YES

AU-12 (1) Audit Generation NO YES

CA-2 Security Assessments NO YES

CP-4 Contingency Plan Testing and Exercises NO YES

CP-4 (1) Contingency Plan Testing and Exercises NO YES

CP-4 (2) Contingency Plan Testing and Exercises NO YES

CP-4 (4) Contingency Plan Testing and Exercises NO YES

CP-7 Alternate Processing Site NO YES

IA-2 User Identification and Authentication (Organizational Users) NO YES

IA-3 Device Identification and Authentication NO YES

MA-4 (3) Non-Local Maintenance YES YES

MP-5 (4) Media Transport YES YES

PE-6 (2) Monitoring Physical Access YES YES

RA-5 Vulnerability Scanning NO YES

SC-2 Application Partitioning YES YES

SC-3 Security Function Isolation NO YES

SC-7 (6) Boundary Protection YES NO

SC-7 (8) Boundary Protection YES YES

SC-10 Network Disconnect NO YES

SI-2 (1) Flaw Remediation YES YES

SI-3 (1) Malicious Code Protection YES YES

SI-8 (1) Spam Protection YES YES

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ICS Supplements to the Security Control Baselines

The following table lists the recommended ICS supplements (highlighted in bold text) to the 

security control baselines in Appendix D. 

TABLE I-2: ICS SUPPLEMENTS TO SECURITY CONTROL BASELINES 

CONTROL BASELINES CNTL 

NO. CONTROL NAME

LOW MOD HIGH 

Access Control

AC-3 Access Enforcement AC-3 AC-3 (2) AC-3 (2)

Physical and Environmental Protection

PE-9 Power Equipment and Power Cabling Not Selected PE-9 (1) PE-9 (1)

PE-11 Emergency Power PE-11 PE-11 (1) PE-11 (1) (2)

System and Communications Protection 

SC-24 Fail in Known State Not Selected SC-24 SC-24 

System and Information Integrity 

SI-13 Predictable Failure Prevention Not Selected Not Selected SI-13 

In addition to the security controls added for ICS in the table above, the security control 

supplement process described in Section 3.4 is still applicable to ICS. Organizations are required 

to conduct a risk assessment taking into account the tailoring and supplementing performed in 

arriving at the agreed-upon set of security controls for the ICS and the risk to the organization’s 

operations and assets, individuals, other organizations, and the Nation being incurred by 

operation of the ICS with the intended controls. The organization decides whether that risk is 

acceptable, and if not, supplements the control set with additional controls until an acceptable 

level of risk is obtained. 

ICS Supplemental Guidance 

ICS Supplemental Guidance provides organizations with additional information on the 

application of the security controls and control enhancements in Appendix F to ICS and the 

environments in which these specialized systems operate. The Supplemental Guidance also 

provides information as to why a particular security control or control enhancement may not be 

applicable in some ICS environments and may be a candidate for tailoring (i.e., the application of 

scoping guidance and/or compensating controls). ICS Supplemental Guidance does not replace 

the original Supplemental Guidance in Appendix F. 

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ACCESS CONTROL 

AC-2 ACCOUNT MANAGEMENT

ICS Supplemental Guidance: In situations where physical access to the ICS (e.g., workstations, 

hardware components, field devices) predefines account privileges or where the ICS (e.g., certain 

remote terminal units, meters, relays) cannot support account management, the organization 

employs appropriate compensating controls (e.g., providing increased physical security, personnel 

security, intrusion detection, auditing measures) in accordance with the general tailoring guidance. 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the ICS (e.g., field devices) cannot 

support the use of automated mechanisms for the management of information system accounts, the 

organization employs nonautomated mechanisms or procedures as compensating controls in 

accordance with the general tailoring guidance. 

AC-3 ACCESS ENFORCEMENT

ICS Supplemental Guidance: The organization ensures that access enforcement mechanisms do not 

adversely impact the operational performance of the ICS.

References: NIST Special Publication 800-82. 

AC-5 SEPARATION OF DUTIES 

ICS Supplemental Guidance: In situations where the ICS cannot support the differentiation of roles, 

the organization employs appropriate compensating controls (e.g., providing increased personnel 

security and auditing) in accordance with the general tailoring guidance. The organization 

carefully considers the appropriateness of a single individual performing multiple critical roles. 

AC-6 LEAST PRIVILEGE 

ICS Supplemental Guidance: In situations where the ICS cannot support differentiation of privileges, 

the organization employs appropriate compensating controls (e.g., providing increased personnel 

security and auditing) in accordance with the general tailoring guidance. The organization 

carefully considers the appropriateness of a single individual having multiple critical privileges. 

AC-7 UNSUCCESSFUL LOGIN ATTEMPTS 

ICS Supplemental Guidance: In situations where the ICS cannot support account/node locking or 

delayed login attempts, or the ICS cannot perform account/node locking or delayed logins due to 

significant adverse impact on performance, safety, or reliability, the organization employs 

appropriate compensating controls (e.g., logging or recording all unsuccessful login attempts and 

alerting ICS security personnel though alarms or other means when the number of organizationdefined consecutive invalid access attempts is exceeded) in accordance with the general tailoring 

guidance. 

AC-8 SYSTEM USE NOTIFICATION 

ICS Supplemental Guidance: In situations where the ICS cannot support system use notification, the 

organization employs appropriate compensating controls (e.g., posting physical notices in ICS 

facilities) in accordance with the general tailoring guidance. 

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AC-10 CONCURRENT SESSION CONTROL 

ICS Supplemental Guidance: In situations where the ICS cannot support concurrent session control, 

the organization employs appropriate compensating controls (e.g., providing increased auditing 

measures) in accordance with the general tailoring guidance. 

AC-11 SESSION LOCK 

ICS Supplemental Guidance: The ICS employs session lock to prevent access to specified 

workstations/nodes. The ICS activates session lock mechanisms automatically after an 

organization-defined time period for designated workstations/nodes on the ICS. In some cases, 

session lock for ICS operator workstations/nodes is not advised (e.g., when immediate operator 

responses are required in emergency situations). Session lock is not a substitute for logging out of 

the ICS. In situations where the ICS cannot support session lock, the organization employs 

appropriate compensating controls (e.g., providing increased physical security, personnel security, 

and auditing measures) in accordance with the general tailoring guidance. 

References: NIST Special Publication 800-82. 

AC-17 REMOTE ACCESS 

ICS Supplemental Guidance: In situations where the ICS cannot implement any or all of the 

components of this control, the organization employs other mechanisms or procedures as 

compensating controls in accordance with the general tailoring guidance.

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated mechanisms for monitoring and control of remote access methods, the organization 

employs nonautomated mechanisms or procedures as compensating controls (e.g., following 

manual authentication [see IA-2 in this appendix], dial-in remote access may be enabled for a 

specified period of time or a call may be placed from the ICS site to the authenticated remote 

entity) in accordance with the general tailoring guidance. 

Control Enhancement: (2) 

ICS Enhancement Supplemental Guidance: ICS security objectives typically follow the priority of 

availability, integrity and confidentiality, in that order. The use of cryptography is determined 

after careful consideration of the security needs and the potential ramifications on system 

performance. For example, the organization considers whether latency induced from the use of 

cryptography would adversely impact the operational performance of the ICS. The organization 

explores all possible cryptographic mechanism (e.g., encryption, digital signature, hash function). 

Each mechanism has a different delay impact. In situations where the ICS cannot support the use 

of cryptographic mechanisms to protect the confidentiality and integrity of remote sessions, or the 

components cannot use cryptographic mechanisms due to significant adverse impact on safety, 

performance, or reliability, the organization employs appropriate compensating controls (e.g., 

providing increased auditing for remote sessions or limiting remote access privileges to key 

personnel) in accordance with the general tailoring guidance. 

References: NIST Special Publication 800-82. 

AC-18 WIRELESS ACCESS 

ICS Supplemental Guidance: In situations where the ICS cannot implement any or all of the 

components of this control, the organization employs other mechanisms or procedures as 

compensating controls in accordance with the general tailoring guidance.

Control Enhancement: (1) 

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ICS Enhancement Supplemental Guidance: ICS security objectives typically follow the priority of 

availability, integrity, and confidentiality, in that order. The use of cryptography is determined 

after careful consideration of the security needs and the potential ramifications on system 

performance. For example, the organization considers whether latency induced from the use of 

cryptography would adversely impact the operational performance of the ICS. The organization 

explores all possible cryptographic mechanism (e.g., encryption, digital signature, hash function). 

Each mechanism has a different delay impact. In situations where the ICS cannot support the use 

of cryptographic mechanisms to protect the confidentiality and integrity of wireless access, or the 

components cannot use cryptographic mechanisms due to significant adverse impact on safety, 

performance, or reliability, the organization employs appropriate compensating controls (e.g., 

providing increased auditing for wireless access or limiting wireless access privileges to key 

personnel) in accordance with the general tailoring guidance. 

References: NIST Special Publication 800-82. 

AC-19 ACCESS CONTROL FOR MOBILE DEVICES 

ICS Supplemental Guidance: In situations where the ICS cannot implement any or all of the 

components of this control, the organization employs other mechanisms or procedures as 

compensating controls in accordance with the general tailoring guidance. 

AC-22 PUBLICLY ACCESSIBLE CONTENT 

ICS Supplemental Guidance: Generally, public access to ICS information is not permitted. 

AWARENESS AND TRAINING 

AT-2 SECURITY AWARENESS 

ICS Supplemental Guidance: Security awareness training includes initial and periodic review of ICSspecific policies, standard operating procedures, security trends, and vulnerabilities. The ICS 

security awareness program is consistent with the requirements of the security awareness and 

training policy established by the organization. 

AT-3 SECURITY TRAINING 

ICS Supplemental Guidance: Security training includes initial and periodic review of ICS-specific 

policies, standard operating procedures, security trends, and vulnerabilities. The ICS security 

training program is consistent with the requirements of the security awareness and training policy 

established by the organization. 

AUDITING AND ACCOUNTABILITY 

AU-2 AUDITABLE EVENTS 

ICS Supplemental Guidance: Most ICS auditing occurs at the application level. 

AU-5 RESPONSE TO AUDIT PROCESSING FAILURES 

ICS Supplemental Guidance: In general, audit record processing is not performed on the ICS, but on 

a separate information system. In situations where the ICS cannot support auditing, including 

response to audit failures, the organization employs compensating controls (e.g., providing an 

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auditing capability on a separate information system) in accordance with the general tailoring 

guidance. 

AU-7 AUDIT REDUCTION AND REPORT GENERATION 

ICS Supplemental Guidance: In general, audit reduction and report generation is not performed on 

the ICS, but on a separate information system. In situations where the ICS cannot support 

auditing including audit reduction and report generation, the organization employs compensating 

controls (e.g., providing an auditing capability on a separate information system) in accordance 

with the general tailoring guidance. 

AU-12 AUDIT GENERATION 

ICS Supplemental Guidance: In situations where the ICS cannot support the use of automated 

mechanisms to generate audit records, the organization employs nonautomated mechanisms or 

procedures as compensating controls in accordance with the general tailoring guidance. 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated mechanisms to generate audit records, the organization employs nonautomated 

mechanisms or procedures as compensating controls in accordance with the general tailoring 

guidance. 

SECURITY ASSESSMENT AND AUTHORIZATION 

CA-2 SECURITY ASSESSMENTS 

ICS Supplemental Guidance: Assessments are performed and documented by qualified assessors 

(i.e., experienced in assessing ICS) authorized by the organization. The organization ensures that 

assessments do not interfere with ICS functions. The individual/group conducting the assessment 

fully understands the organizational information security policies and procedures, the ICS security 

policies and procedures, and the specific health, safety, and environmental risks associated with a 

particular facility and/or process. A production ICS may need to be taken off-line, or replicated to 

the extent feasible, before an assessment can be conducted. If an ICS must be taken off-line to 

conduct an assessment, the assessment is scheduled to occur during planned ICS outages 

whenever possible. In situations where the organization cannot, for operational reasons, conduct a 

live assessment of a production ICS, the organization employs compensating controls (e.g., 

providing a replicated system to conduct the assessment) in accordance with the general tailoring 

guidance. 

CA-7 CONTINUOUS MONITORING 

ICS Supplemental Guidance: Assessments are performed and documented by qualified assessors 

(i.e., experienced in assessing ICS) authorized by the organization. The organization ensures that 

assessments do not interfere with ICS functions. The individual/group conducting the assessment 

fully understands the organizational information security policies and procedures, the ICS security 

policies and procedures, and the specific health, safety, and environmental risks associated with a 

particular facility and/or process. Ongoing assessments of ICS may not be feasible. See CA-2 

ICS Supplemental Guidance in this appendix. 

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CONFIGURATION MANAGEMENT 

CM-3 CONFIGURATION CHANGE CONTROL 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated mechanisms to implement configuration change control, the organization employs 

nonautomated mechanisms or procedures as compensating controls in accordance with the general 

tailoring guidance. 

CM-4 SECURITY IMPACT ANALYSIS 

ICS Supplemental Guidance: The organization considers ICS safety and security interdependencies. 

CM-5 ACCESS RESTRICTIONS FOR CHANGE 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated mechanisms to enforce access restrictions and support auditing of enforcement actions, 

the organization employs nonautomated mechanisms or procedures as compensating controls in 

accordance with the general tailoring guidance. 

Control Enhancement: (3) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot prevent the installation 

of software programs that are not signed with an organizationally-recognized and approved 

certificate, the organization employs alternative mechanisms or procedures as compensating 

controls (e.g., auditing of software installation) in accordance with the general tailoring guidance. 

CM-6 CONFIGURATION SETTINGS 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated mechanisms to centrally manage, apply, and verify configuration settings, the 

organization employs nonautomated mechanisms or procedures as compensating controls in 

accordance with the general tailoring guidance. 

CM-7 LEAST FUNCTIONALITY 

Control Enhancement: (2) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot employ automated 

mechanisms to prevent program execution, the organization employs compensating controls (e.g., 

external automated mechanisms, procedures) in accordance with the general tailoring guidance.

CONTINGENCY PLANNING 

CP-2 CONTINGENCY PLAN 

ICS Supplemental Guidance: The organization defines contingency plans for categories of 

disruptions or failures. In the event of a loss of processing within the ICS or communication with 

operational facilities, the ICS executes predetermined procedures (e.g., alert the operator of the 

failure and then do nothing, alert the operator and then safely shut down the industrial process, 

alert the operator and then maintain the last operational setting prior to failure). Consideration is 

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given to restoring system state variables as part of restoration (e.g., valves are restored to their 

original settings prior to the disruption). 

References: NIST Special Publication 800-82. 

CP-4 CONTINGENCY PLAN TESTING AND EXERCISES 

ICS Supplemental Guidance: In situations where the organization cannot test or exercise the 

contingency plan on production ICS due to significant adverse impact on performance, safety, or 

reliability, the organization employs appropriate compensating controls (e.g., using scheduled and 

unscheduled system maintenance activities including responding to ICS component and system 

failures, as an opportunity to test or exercise the contingency plan) in accordance with the general 

tailoring guidance.

CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION 

ICS Supplemental Guidance: Reconstitution of the ICS includes restoration of system state variables 

(e.g., valves are restored to their appropriate settings as part of the reconstitution).

IDENTIFICATION AND AUTHENTICATION 

IA-2 USER IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) 

ICS Supplemental Guidance: Where users function as a single group (e.g., control room operators), 

user identification and authentication may be role-based, group-based, or device-based. For 

certain ICS, the capability for immediate operator interaction is critical. Local emergency actions 

for ICS are not hampered by identification or authentication requirements. Access to these 

systems may be restricted by appropriate physical security controls. In situations where the ICS 

cannot support user identification and authentication, or the organization determines it is not 

advisable to perform user identification and authentication due to significant adverse impact on 

performance, safety, or reliability, the organization employs appropriate compensating controls 

(e.g., providing increased physical security, personnel security, and auditing measures) in 

accordance with the general tailoring guidance. For example, manual voice authentication of 

remote personnel and local, manual actions may be required in order to establish a remote access. 

See AC-17 ICS Supplemental Guidance in this appendix. Local user access to ICS components is 

enabled only when necessary, approved, and authenticated. 

Control Enhancements: (1) (2) (3) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support multifactor 

authentication, the organization employs compensating controls in accordance with the general 

tailoring guidance (e.g., implementing physical security measures). 

IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION 

ICS Supplemental Guidance: In situations where the ICS cannot support device identification and 

authentication (e.g., serial devices), the organization employs compensating controls (e.g., 

implementing physical security measures) in accordance with the general tailoring guidance. 

IA-4 IDENTIFIER MANAGEMENT 

ICS Supplemental Guidance: Where users function as a single group (e.g., control room operators), 

user identification may be role-based, group-based, or device-based. 

References: NIST Special Publication 800-82. 

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IA-5 AUTHENTICATOR MANAGEMENT 

References: NIST Special Publication 800-82. 

IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION 

ICS Supplemental Guidance: The use of cryptography is determined after careful consideration of the 

security needs and the potential ramifications on system performance. For example, the 

organization considers whether latency induced from the use of cryptography would adversely 

impact the operational performance of the ICS. 

INCIDENT RESPONSE 

IR-6 INCIDENT REPORTING 

ICS Supplemental Guidance: The United States Computer Emergency Readiness Team (US-CERT) 

maintains the ICS Security Center at http://www.uscert.gov/control_systems. 

References: NIST Special Publication 800-82. 

MAINTENANCE 

MA-4 NON-LOCAL MAINTENANCE 

Control Enhancement: (3) 

ICS Enhancement Supplemental Guidance: In crisis or emergency situations, the organization may 

need immediate access to non-local maintenance and diagnostic services in order to restore 

essential ICS operations or services. In situations where the organization may not have access to 

non-local maintenance or diagnostic service at the required level of security, the organization 

employs appropriate compensating controls (e.g., limiting the extent of the maintenance and 

diagnostic services to the minimum essential activities, carefully monitoring and auditing the nonlocal maintenance and diagnostic activities) in accordance with the general tailoring guidance. 

MEDIA PROTECTION 

MP-5 MEDIA TRANSPORT 

Control Enhancement: (4) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support cryptographic 

mechanisms, the organization employs compensating controls in accordance with the general 

tailoring guidance (e.g., implementing physical security measures). 

PHYSICAL AND ENVIRONMENTAL PROTECTION 

PE-3 PHYSICAL ACCESS CONTROL 

ICS Supplemental Guidance: The organization considers ICS safety and security interdependencies. 

The organization considers access requirements in emergency situations. During an emergencyrelated event, the organization may restrict access to ICS facilities and assets to authorized 

individuals only. ICS are often constructed of devices that either do not have or cannot use 

comprehensive access control capabilities due to time-restrictive safety constraints. Physical 

access controls and defense-in-depth measures are used by the organization when necessary and 

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possible to supplement ICS security when electronic mechanisms are unable to fulfill the security 

requirements of the organization’s security plan. 

References: NIST Special Publication 800-82.

PLANNING

PL-2 SYSTEM SECURITY PLAN 

References: NIST Special Publication 800-82. 

RISK ASSESSMENT

RA-2 SECURITY CATEGORIZATION 

References: NIST Special Publication 800-82. 

RA-3 RISK ASSESSMENT 

References: NIST Special Publication 800-82. 

RA-5 VULNERABILITY SCANNING 

ICS Supplemental Guidance: Vulnerability scanning and penetration testing are used with care on 

ICS networks to ensure that ICS functions are not adversely impacted by the scanning process. 

Production ICS may need to be taken off-line, or replicated to the extent feasible, before scanning 

can be conducted. If ICS are taken off-line for scanning, scans are scheduled to occur during 

planned ICS outages whenever possible. If vulnerability scanning tools are used on non-ICS 

networks, extra care is taken to ensure that they do not scan the ICS network. In situations where 

the organization cannot, for operational reasons, conduct vulnerability scanning on a production 

ICS, the organization employs compensating controls (e.g., providing a replicated system to 

conduct scanning) in accordance with the general tailoring guidance. 

References: NIST Special Publication 800-82. 

SYSTEM AND SERVICES ACQUISITION

SA-4 ACQUISITIONS 

ICS Supplemental Guidance: The SCADA/Control Systems Procurement Project provides example 

cyber security procurement language for ICS. 

References: Web: WWW.MSISAC.ORG/SCADA. 

SA-8 SECURITY ENGINEERING PRINCIPLES 

References: NIST Special Publication 800-82. 

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SYSTEM AND COMMUNICATIONS PROTECTION

SC-2 APPLICATION PARTITIONING 

ICS Supplemental Guidance: In situations where the ICS cannot separate user functionality from 

information system management functionality, the organization employs compensating controls 

(e.g., providing increased auditing measures) in accordance with the general tailoring guidance.

SC-3 SECURITY FUNCTION ISOLATION 

ICS Supplemental Guidance: In situations where the ICS cannot support security function isolation, 

the organization employs compensating controls (e.g., providing increased auditing measures, 

limiting network connectivity) in accordance with the general tailoring guidance. 

SC-7 BOUNDARY PROTECTION 

Control Enhancements: (1) (2) 

ICS Enhancement Supplemental Guidance: Generally, public access to ICS information is not 

permitted. 

Control Enhancement: (6) 

ICS Enhancement Supplemental Guidance: The organization selects an appropriate failure mode (e.g., 

fail closed, fail open).

SC-8 TRANSMISSION INTEGRITY 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: The use of cryptography is determined after careful 

consideration of the security needs and the potential ramifications on system performance. For 

example, the organization considers whether latency induced from the use of cryptography would 

adversely impact the operational performance of the ICS. The organization explores all possible 

cryptographic integrity mechanisms (e.g., digital signature, hash function). Each mechanism has a 

different delay impact. 

SC-9 TRANSMISSION CONFIDENTIALITY 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: ICS security objectives typically follow the priority of 

availability, integrity and confidentiality, in that order. The use of cryptography is determined 

after careful consideration of the security needs and the potential ramifications on system 

performance. For example, the organization considers whether latency induced from the use of 

cryptography would adversely impact the operational performance of the ICS. 

SC-10 NETWORK DISCONNECT 

ICS Supplemental Guidance: In situations where the ICS cannot terminate a network connection at 

the end of a session or after an organization-defined time period of inactivity, or the ICS cannot 

terminate a network connection due to significant adverse impact on performance, safety, or 

reliability, the organization employs appropriate compensating controls (e.g., providing increased 

auditing measures or limiting remote access privileges to key personnel) in accordance with the 

general tailoring guidance. 

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SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT

ICS Supplemental Guidance: The use of cryptography, including key management, is determined 

after careful consideration of the security needs and the potential ramifications on system 

performance. For example, the organization considers whether latency induced from the use of 

cryptography would adversely impact the operational performance of the ICS. The use of 

cryptographic key management in ICS is intended to support internal nonpublic use.

SC-13 USE OF CRYPTOGRAPHY 

ICS Supplemental Guidance: The use of cryptography is determined after careful consideration of the 

security needs and the potential ramifications on system performance. For example, the 

organization considers whether latency induced from the use of cryptography would adversely 

impact the operational performance of the ICS. 

SC-14 PUBLIC ACCESS PROTECTIONS 

ICS Supplemental Guidance: Generally, public access to ICS is not permitted.

SC-15 COLLABORATIVE COMPUTING DEVICES 

ICS Supplemental Guidance: Generally, collaborative computing mechanisms are not permitted on 

ICS. 

SC-19 VOICE OVER INTERNET PROTOCOL 

ICS Supplemental Guidance: The use of VoIP technologies is determined after careful consideration 

and after verification that it does not adversely impact the operational performance of the ICS. 

SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE) 

ICS Supplemental Guidance: The use of secure name/address resolution services is determined after 

careful consideration and after verification that it does not adversely impact the operational 

performance of the ICS. 

SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER) 

ICS Supplemental Guidance: The use of secure name/address resolution services is determined after 

careful consideration and after verification that it does not adversely impact the operational 

performance of the ICS. 

SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE 

ICS Supplemental Guidance: The use of secure name/address resolution services is determined after 

careful consideration and after verification that it does not adversely impact the operational 

performance of the ICS. 

SC-23 SESSION AUTHENTICITY

ICS Supplemental Guidance: In situations where the ICS cannot protect the authenticity of 

communications sessions, the organization employs compensating controls (e.g., auditing 

measures) in accordance with the general tailoring guidance. 

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SYSTEM AND INFORMATION INTEGRITY 

SI-2 FLAW REMEDIATION 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the organization cannot centrally 

manage flaw remediation and automatic updates, the organization employs nonautomated 

mechanisms or procedures as compensating controls in accordance with the general tailoring 

guidance. 

Control Enhancement: (2)

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated mechanisms to conduct and report on the status of flaw remediation, the organization 

employs nonautomated mechanisms or procedures as compensating controls in accordance with 

the general tailoring guidance. 

References: NIST Special Publication 800-82. 

SI-3 MALICIOUS CODE PROTECTION 

ICS Supplemental Guidance: The use of malicious code protection is determined after careful 

consideration and after verification that it does not adversely impact the operational performance 

of the ICS. 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the organization cannot centrally 

manage malicious code protection mechanisms, the organization employs appropriate 

compensating controls in accordance with the general tailoring guidance. 

Control Enhancement: (2)

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated mechanisms to update malicious code protection mechanisms, the organization 

employs nonautomated mechanisms or procedures as compensating controls in accordance with 

the general tailoring guidance. 

References: NIST Special Publication 800-82. 

SI-4 INFORMATION SYSTEM MONITORING 

ICS Supplemental Guidance: The organization ensures that the use of monitoring tools and 

techniques does not adversely impact the operational performance of the ICS. 

Control Enhancement: (2) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot support the use of 

automated tools to support near-real-time analysis of events, the organization employs 

nonautomated mechanisms or procedures as compensating controls in accordance with the general 

tailoring guidance. 

Control Enhancement: (6) 

ICS Enhancement Supplemental Guidance: In situations where the ICS cannot prevent non-privileged 

users from circumventing intrusion detection and prevention capabilities, the organization 

employs appropriate compensating controls (e.g., enhanced auditing) in accordance with the 

general tailoring guidance. 

APPENDIX I PAGE I-15
Special Publication 800-53 Recommended Security Controls for Federal Information Systems and Organizations 

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APPENDIX I PAGE I-16

SI-6 SECURITY FUNCTIONALITY VERIFICATION 

ICS Supplemental Guidance: Generally, it is not recommended to shut down and restart the ICS upon 

the identification of an anomaly. 

SI-7 SOFTWARE AND INFORMATION INTEGRITY 

ICS Supplemental Guidance: The organization ensures that the use of integrity verification 

applications does not adversely impact the operational performance of the ICS. 

Control Enhancements: (1) 

ICS Enhancement Supplemental Guidance: The organization ensures that the use of integrity 

verification applications does not adversely impact the operational performance of the ICS. 

Control Enhancement: (2)

ICS Enhancement Supplemental Guidance: In situations where the organization cannot employ 

automated tools that provide notification of integrity discrepancies, the organization employs 

nonautomated mechanisms or procedures as compensating controls in accordance with the general 

tailoring guidance. 

SI-8 SPAM PROTECTION 

ICS Supplemental Guidance: The organization removes unused and unnecessary functions and 

services (e.g., electronic mail, Internet access). Due to differing operational characteristics 

between ICS and general purpose information systems, ICS do not generally employ spam 

protection mechanisms. Unusual traffic flow (e.g., during crisis situations), may be misinterpreted 

and detected as spam, which can cause issues with the ICS and possible system failure. 

Control Enhancement: (1) 

ICS Enhancement Supplemental Guidance: In situations where the organization cannot centrally 

manage spam protection mechanisms, the organization employs local mechanisms or procedures 

as compensating controls in accordance with the general tailoring guidance.