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Potential assessment methods and objects for 3.8.5 include:
Examine: System media protection policy; procedures addressing media storage; physical and environmental protection policy and procedures; access control policy and procedures; system security plan; system media; designated controlled areas; other relevant documents or records.
Interview: Personnel with system media protection and storage responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for storing media; mechanisms supporting or implementing media storage and media protection. | How is control 3.8.5 assessed? |
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Determine if: 3.8.5[a] access to media containing CUI is controlled. 3.8.5[b] accountability for media containing CUI is maintained during transport outside of controlled areas. | What are the detailed objectives for assessing control 3.8.5? |
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Security Requirement 3.8.5: Control access to media containing CUI and maintain accountability for media during transport outside of controlled areas. Assessment Objectives: Determine if: 3.8.5[a] access to media containing CUI is controlled. 3.8.5[b] accountability for media containing CUI is maintained during transport outside of controlled areas. Potential Assessment Methods and Objects:
Examine: System media protection policy; procedures addressing media storage; physical and environmental protection policy and procedures; access control policy and procedures; system security plan; system media; designated controlled areas; other relevant documents or records.
Interview: Personnel with system media protection and storage responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for storing media; mechanisms supporting or implementing media storage and media protection. | What is control 3.8.5 in NIST 800-171A? |
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Security Requirement 3.8.6: Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards. | What does control 3.8.6 entail? |
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Potential assessment methods and objects for 3.8.6 include:
Examine: System media protection policy; procedures addressing media transport; system design documentation; system security plan; system configuration settings and associated documentation; system media transport records; system audit logs and records; other relevant documents or records.
Interview: Personnel with system media transport responsibilities; personnel with information security responsibilities.
Test: Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas. | How is control 3.8.6 assessed? |
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Determine if the confidentiality of CUI stored on digital media is protected during transport using cryptographic mechanisms or alternative physical safeguards. | What are the detailed objectives for assessing control 3.8.6? |
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Security Requirement 3.8.6: Implement cryptographic mechanisms to protect the confidentiality of CUI stored on digital media during transport unless otherwise protected by alternative physical safeguards. Assessment Objectives: Determine if the confidentiality of CUI stored on digital media is protected during transport using cryptographic mechanisms or alternative physical safeguards. Potential Assessment Methods and Objects:
Examine: System media protection policy; procedures addressing media transport; system design documentation; system security plan; system configuration settings and associated documentation; system media transport records; system audit logs and records; other relevant documents or records.
Interview: Personnel with system media transport responsibilities; personnel with information security responsibilities.
Test: Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas. | What is control 3.8.6 in NIST 800-171A? |
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Control the use of removable media on system components. | What does control 3.8.7 entail? |
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Potential assessment methods and objects for 3.8.7 include:
Examine System media protection policy; system use policy; procedures addressing media usage restrictions; system security plan; rules of behavior; system design documentation; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records.
Interview: Personnel with system media use responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for media use; mechanisms restricting or prohibiting use of system media on systems or system components. | How is control 3.8.7 assessed? |
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Determine if the use of removable media on system components is controlled. | What are the detailed objectives for assessing control 3.8.7? |
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Security Requirement 3.8.7: Control the use of removable media on system components. Assessment Objectives: Determine if the use of removable media on system components is controlled. Potential Assessment Methods and Objects:
Examine System media protection policy; system use policy; procedures addressing media usage restrictions; system security plan; rules of behavior; system design documentation; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records.
Interview: Personnel with system media use responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for media use; mechanisms restricting or prohibiting use of system media on systems or system components. | What is control 3.8.7 in NIST 800-171A? |
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Security Requirement 3.8.8: Prohibit the use of portable storage devices when such devices have no identifiable owner. | What does control 3.8.8 entail? |
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Potential assessment methods and objects for 3.8.8 include:
Examine:System media protection policy; system use policy; procedures addressing media usage restrictions; system security plan; rules of behavior; system configuration settings and associated documentation; system design documentation; system audit logs and records; other relevant documents or records.
Interview: Personnel with system media use responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for media use; mechanisms prohibiting use of media on systems or system components. | How is control 3.8.8 assessed? |
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Determine if the use of portable storage devices is prohibited when such devices have no identifiable owner. | What are the detailed objectives for assessing control 3.8.8? |
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Security Requirement 3.8.8: Prohibit the use of portable storage devices when such devices have no identifiable owner. Assessment Objectives:Determine if the use of portable storage devices is prohibited when such devices have no identifiable owner. Potential Assessment Methods and Objects:
Examine:System media protection policy; system use policy; procedures addressing media usage restrictions; system security plan; rules of behavior; system configuration settings and associated documentation; system design documentation; system audit logs and records; other relevant documents or records.
Interview: Personnel with system media use responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for media use; mechanisms prohibiting use of media on systems or system components. | What is control 3.8.8 in NIST 800-171A? |
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Security Requirement 3.8.9: Protect the confidentiality of backup CUI at storage locations. | What does control 3.8.9 entail? |
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Potential assessment methods and objects for 3.8.9 include:
Examine: Procedures addressing system backup; system configuration settings and associated documentation; security plan; backup storage locations; system backup logs or records; other relevant documents or records.
Interview: Personnel with system backup responsibilities; personnel with information security responsibilities.
Test: Organizational processes for conducting system backups; mechanisms supporting or implementing system backups. | How is control 3.8.9 assessed? |
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Determine if the confidentiality of backup CUI is protected at storage locations. | What are the detailed objectives for assessing control 3.8.9? |
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Security Requirement 3.8.9: Protect the confidentiality of backup CUI at storage locations. Assessment Objectives: Determine if the confidentiality of backup CUI is protected at storage locations. Potential Assessment Methods and Objects:
Examine: Procedures addressing system backup; system configuration settings and associated documentation; security plan; backup storage locations; system backup logs or records; other relevant documents or records.
Interview: Personnel with system backup responsibilities; personnel with information security responsibilities.
Test: Organizational processes for conducting system backups; mechanisms supporting or implementing system backups. | What is control 3.8.9 in NIST 800-171A? |
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Screen individuals prior to authorizing access to organizational systems containing CUI. | What does control 3.9.1 entail? |
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Potential assessment methods and objects for 3.9.1 include:
Examine: Personnel security policy; procedures addressing personnel screening; records of screened personnel; system security plan; other relevant documents or records.
Interview: Personnel with personnel security responsibilities; personnel with information security responsibilities.
Test: Organizational processes for personnel screening. | How is control 3.9.1 assessed? |
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Determine if individuals are screened prior to authorizing access to organizational systems containing CUI. | What are the detailed objectives for assessing control 3.9.1? |
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Security Requirement 3.9.1:Screen individuals prior to authorizing access to organizational systems containing CUI. Assessment Objectives:Determine if individuals are screened prior to authorizing access to organizational systems containing CUI. Potential Assessment Methods and Objects:
Examine: Personnel security policy; procedures addressing personnel screening; records of screened personnel; system security plan; other relevant documents or records.
Interview: Personnel with personnel security responsibilities; personnel with information security responsibilities.
Test: Organizational processes for personnel screening. | What is control 3.9.1 in NIST 800-171A? |
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Security Requirement 3.9.2: Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers. | What does control 3.9.2 entail? |
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Potential assessment methods and objects for 3.9.2 include:
Examine: Personnel security policy; procedures addressing personnel transfer and termination; records of personnel transfer and termination actions; list of system accounts; records of terminated or revoked authenticators and credentials; records of exit interviews; other relevant documents or records.
Interview: : Personnel with personnel security responsibilities; personnel with account management responsibilities; system or network administrators; personnel with information security responsibilities.
Test: Organizational processes for personnel transfer and termination; mechanisms supporting or implementing personnel transfer and termination notifications; mechanisms for disabling system access and revoking authenticators. | How is control 3.9.2 assessed? |
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Determine if: 3.9.2[a] a policy and/or process for terminating system access and any credentials coincident with personnel actions is established. 3.9.2[b] system access and credentials are terminated consistent with personnel actions such as termination or transfer. 3.9.2[c] the system is protected during and after personnel transfer actions. | What are the detailed objectives for assessing control 3.9.2? |
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Security Requirement 3.9.2: Ensure that organizational systems containing CUI are protected during and after personnel actions such as terminations and transfers. Assessment Objectives: Determine if: 3.9.2[a] a policy and/or process for terminating system access and any credentials coincident with personnel actions is established. 3.9.2[b] system access and credentials are terminated consistent with personnel actions such as termination or transfer. 3.9.2[c] the system is protected during and after personnel transfer actions. Potential Assessment Methods and Objects:
Examine: Personnel security policy; procedures addressing personnel transfer and termination; records of personnel transfer and termination actions; list of system accounts; records of terminated or revoked authenticators and credentials; records of exit interviews; other relevant documents or records.
Interview: : Personnel with personnel security responsibilities; personnel with account management responsibilities; system or network administrators; personnel with information security responsibilities.
Test: Organizational processes for personnel transfer and termination; mechanisms supporting or implementing personnel transfer and termination notifications; mechanisms for disabling system access and revoking authenticators. | What is control 3.9.2 in NIST 800-171A? |
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Security Requirement 3.10.1:Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals. | What does control 3.10.1 entail? |
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Potential assessment methods and objects for 3.10.1 include:
Examine: Physical and environmental protection policy; procedures addressing physical access authorizations; system security plan; authorized personnel access list; authorization credentials; physical access list reviews; physical access termination records and associated documentation; other relevant documents or records.
Interview: Personnel with physical access authorization responsibilities; personnel with physical access to system facility; personnel with information security responsibilities.
Test: Organizational processes for physical access authorizations; mechanisms supporting or implementing physical access authorizations. | How is control 3.10.1 assessed? |
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Determine if: 3.10.1[a] authorized individuals allowed physical access are identified. 3.10.1[b] physical access to organizational systems is limited to authorized individuals. 3.10.1[c] physical access to equipment is limited to authorized individuals. 3.10.1[d] physical access to operating environments is limited to authorized individuals. | What are the detailed objectives for assessing control 3.10.1? |
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Security Requirement 3.10.1: Limit physical access to organizational systems, equipment, and the respective operating environments to authorized individuals. Assessment Objectives: Determine if: 3.10.1[a] authorized individuals allowed physical access are identified. 3.10.1[b] physical access to organizational systems is limited to authorized individuals. 3.10.1[c] physical access to equipment is limited to authorized individuals. 3.10.1[d] physical access to operating environments is limited to authorized individuals. Potential Assessment Methods and Objects:
Examine: Physical and environmental protection policy; procedures addressing physical access authorizations; system security plan; authorized personnel access list; authorization credentials; physical access list reviews; physical access termination records and associated documentation; other relevant documents or records.
Interview: Personnel with physical access authorization responsibilities; personnel with physical access to system facility; personnel with information security responsibilities.
Test: Organizational processes for physical access authorizations; mechanisms supporting or implementing physical access authorizations. | What is control 3.10.1 in NIST 800-171A? |
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Security Requirement 3.10.2: Protect and monitor the physical facility and support infrastructure for organizational systems. | What does control 3.10.2 entail? |
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Potential assessment methods and objects for 3.10.2 include:
Examine: : Physical and environmental protection policy; procedures addressing physical access monitoring; system security plan; physical access logs or records; physical access monitoring records; physical access log reviews; other relevant documents or records.
Interview: Personnel with physical access monitoring responsibilities; personnel with incident response responsibilities; personnel with information security responsibilities.
Test: Organizational processes for monitoring physical access; mechanisms supporting or implementing physical access monitoring; mechanisms supporting or implementing the review of physical access logs. | How is control 3.10.2 assessed? |
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Determine if: 3.10.2[a] the physical facility where organizational systems reside is protected. 3.10.2[b] the support infrastructure for organizational systems is protected. 3.10.2[c] the physical facility where organizational systems reside is monitored. 3.10.2[d] the support infrastructure for organizational systems is monitored. | What are the detailed objectives for assessing control 3.10.2? |
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Security Requirement 3.10.2: Protect and monitor the physical facility and support infrastructure for organizational systems. Assessment Objectives: Determine if: 3.10.2[a] the physical facility where organizational systems reside is protected. 3.10.2[b] the support infrastructure for organizational systems is protected. 3.10.2[c] the physical facility where organizational systems reside is monitored. 3.10.2[d] the support infrastructure for organizational systems is monitored. Potential Assessment Methods and Objects:
Examine: : Physical and environmental protection policy; procedures addressing physical access monitoring; system security plan; physical access logs or records; physical access monitoring records; physical access log reviews; other relevant documents or records.
Interview: Personnel with physical access monitoring responsibilities; personnel with incident response responsibilities; personnel with information security responsibilities.
Test: Organizational processes for monitoring physical access; mechanisms supporting or implementing physical access monitoring; mechanisms supporting or implementing the review of physical access logs. | What is control 3.10.2 in NIST 800-171A? |
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Security Requirement 3.10.3: Escort visitors and monitor visitor activity. | What does control 3.10.3 entail? |
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Potential assessment methods and objects for 3.10.3 include:
Examine: Physical and environmental protection policy; procedures addressing physical access control; system security plan; physical access control logs or records; inventory records of physical access control devices; system entry and exit points; records of key and lock combination changes; storage locations for physical access control devices; physical access control devices; list of security safeguards controlling access to designated publicly accessible areas within facility; other relevant documents or records.
Interview: Personnel with physical access control responsibilities; personnel with information security responsibilities.
Test:Organizational processes for physical access control; mechanisms supporting or implementing physical access control; physical access control devices. | How is control 3.10.3 assessed? |
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Determine if: 3.10.3[a] Visitors are escorted. 3.10.3[b] Visotor activity is monitored. | What are the detailed objectives for assessing control 3.10.3? |
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Security Requirement 3.10.3: Escort visitors and monitor visitor activity. Assessment Objectives:Determine if: 3.10.3[a] Visitors are escorted. 3.10.3[b] Visotor activity is monitored. Potential Assessment Methods and Objects:
Examine: Physical and environmental protection policy; procedures addressing physical access control; system security plan; physical access control logs or records; inventory records of physical access control devices; system entry and exit points; records of key and lock combination changes; storage locations for physical access control devices; physical access control devices; list of security safeguards controlling access to designated publicly accessible areas within facility; other relevant documents or records.
Interview: Personnel with physical access control responsibilities; personnel with information security responsibilities
Test: Organizational processes for physical access control; mechanisms supporting or implementing physical access control; physical access control devices. | What is control 3.10.3 in NIST 800-171A? |
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Security Requirement 3.10.4: Maintain audit logs of physical access. | What does control 3.10.4 entail? |
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Potential assessment methods and objects for 3.10.4 include:
Examine: Physical and environmental protection policy; procedures addressing physical access control; system security plan; physical access control logs or records; inventory records of physical access control devices; system entry and exit points; records of key and lock combination changes; storage locations for physical access control devices; physical access control devices; list of security safeguards controlling access to designated publicly accessible areas within facility; other relevant documents or records.
Interview: Personnel with physical access control responsibilities; personnel with information security responsibilities.
Test: : Organizational processes for physical access control; mechanisms supporting or implementing physical access control; physical access control devices. | How is control 3.10.4 assessed? |
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Determine if audit logs of physical access are maintained. | What are the detailed objectives for assessing control 3.10.4? |
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Security Requirement 3.10.4: Maintain audit logs of physical access. Assessment Objectives: Determine if audit logs of physical access are maintained. Potential Assessment Methods and Objects:
Examine: Physical and environmental protection policy; procedures addressing physical access control; system security plan; physical access control logs or records; inventory records of physical access control devices; system entry and exit points; records of key and lock combination changes; storage locations for physical access control devices; physical access control devices; list of security safeguards controlling access to designated publicly accessible areas within facility; other relevant documents or records.
Interview: Personnel with physical access control responsibilities; personnel with information security responsibilities.
Test: : Organizational processes for physical access control; mechanisms supporting or implementing physical access control; physical access control devices. | What is control 3.10.4 in NIST 800-171A? |
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Security Requirement 3.10.5: Control and manage physical access devices. | What does control 3.10.5 entail? |
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Potential assessment methods and objects for 3.10.5 include:
Examine:: Physical and environmental protection policy; procedures addressing physical access control; system security plan; physical access control logs or records; inventory records of physical access control devices; system entry and exit points; records of key and lock combination changes; storage locations for physical access control devices; physical access control devices; list of security safeguards controlling access to designated publicly accessible areas within facility; other relevant documents or records
Interview: Personnel with physical access control responsibilities; personnel with information security responsibilities
Test:: Organizational processes for physical access control; mechanisms supporting or implementing physical access control; physical access control devices. | How is control 3.10.5 assessed? |
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Determine if: 3.10.5[a]physical access devices are identified. 3.10.5[b]physical access devices are controlled. 3.10.5[a]physical access devices are managed. | What are the detailed objectives for assessing control 3.10.5? |
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Security Requirement 3.10.5: Control and manage physical access devices. Assessment Objectives: Determine if: 3.10.5[a]physical access devices are identified. 3.10.5[b]physical access devices are controlled. 3.10.5[a]physical access devices are managed. Potential Assessment Methods and Objects:
Examine:: Physical and environmental protection policy; procedures addressing physical access control; system security plan; physical access control logs or records; inventory records of physical access control devices; system entry and exit points; records of key and lock combination changes; storage locations for physical access control devices; physical access control devices; list of security safeguards controlling access to designated publicly accessible areas within facility; other relevant documents or records
Interview: Personnel with physical access control responsibilities; personnel with information security responsibilities
Test:: Organizational processes for physical access control; mechanisms supporting or implementing physical access control; physical access control devices. | What is control 3.10.5 in NIST 800-171A? |
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Security Requirement 3.10.6: Enforce safeguarding measures for CUI at alternate work sites. | What does control 3.10.6 entail? |
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Potential assessment methods and objects for 3.10.6 include:
Examine: Physical and environmental protection policy; procedures addressing alternate work sites for personnel; system security plan; list of safeguards required for alternate work sites; assessments of safeguards at alternate work sites; other relevant documents or records.
Interview: Personnel approving use of alternate work sites; personnel using alternate work sites; personnel assessing controls at alternate work sites; personnel with information security responsibilities.
Test: Organizational processes for security at alternate work sites; mechanisms supporting alternate work sites; safeguards employed at alternate work sites; means of communications between personnel at alternate work sites and security personnel. | How is control 3.10.6 assessed? |
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Determine if: 3.10.6[a] safeguarding measures for CUI are defined for alternate work sites. 3.10.6[b] safeguarding measures for CUI are enforced for alternate work sites. | What are the detailed objectives for assessing control 3.10.6? |
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Security Requirement 3.10.6: Employ replay-resistant authentication mechanisms for network access to privileged and non-privileged accounts. Assessment Objectives: Determine if: 3.10.6[a] safeguarding measures for CUI are defined for alternate work sites. 3.10.6[b] safeguarding measures for CUI are enforced for alternate work sites. Potential Assessment Methods and Objects:
Examine: Physical and environmental protection policy; procedures addressing alternate work sites for personnel; system security plan; list of safeguards required for alternate work sites; assessments of safeguards at alternate work sites; other relevant documents or records.
Interview: Personnel approving use of alternate work sites; personnel using alternate work sites; personnel assessing controls at alternate work sites; personnel with information security responsibilities.
Test: Organizational processes for security at alternate work sites; mechanisms supporting alternate work sites; safeguards employed at alternate work sites; means of communications between personnel at alternate work sites and security personnel. | What is control 3.10.6 in NIST 800-171A? |
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Security Requirement 3.11.1: Periodically assess the risk to organizational operations (including mission, functions, image, or reputation), organizational assets, and individuals, resulting from the operation of organizational systems and the associated processing, storage, or transmission of CUI. | What does control 3.11.1 entail? |
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Potential assessment methods and objects for 3.11.1 include:
Examine: Risk assessment policy; security planning policy and procedures; procedures addressing organizational risk assessments; system security plan; risk assessment; risk assessment results; risk assessment reviews; risk assessment updates; other relevant documents or records.
Interview: Personnel with risk assessment responsibilities; personnel with information security responsibilities
Test: : Organizational processes for risk assessment; mechanisms supporting or for conducting, documenting, reviewing, disseminating, and updating the risk assessment. | How is control 3.11.1 assessed? |
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Determine if: 3.11.1[a] the frequency to assess risk to organizational operations, organizational assets, and individuals is defined. 3.11.1[b] risk to organizational operations, organizational assets, and individuals resulting from the operation of an organizational system that processes, stores, or transmits CUI is assessed with the defined frequency. | What are the detailed objectives for assessing control 3.11.1? |
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Security Requirement 3.11.1: Periodically assess the security controls in organizational systems to determine if the controls are effective in their application. Assessment Objectives:Determine if: 3.11.1[a] the frequency to assess risk to organizational operations, organizational assets, and individuals is defined. 3.11.1[b] risk to organizational operations, organizational assets, and individuals resulting from the operation of an organizational system that processes, stores, or transmits CUI is assessed with the defined frequency. Potential Assessment Methods and Objects:
Examine: Risk assessment policy; security planning policy and procedures; procedures addressing organizational risk assessments; system security plan; risk assessment; risk assessment results; risk assessment reviews; risk assessment updates; other relevant documents or records.
Interview: Personnel with risk assessment responsibilities; personnel with information security responsibilities
Test: : Organizational processes for risk assessment; mechanisms supporting or for conducting, documenting, reviewing, disseminating, and updating the risk assessment. | What is control 3.11.1 in NIST 800-171A? |
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Security Requirement 3.11.2: Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified. | What does control 3.11.2 entail? |
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Potential assessment methods and objects for 3.11.2 include:
Examine: Risk assessment policy; procedures addressing vulnerability scanning; risk assessment; system security plan; security assessment report; vulnerability scanning tools and associated configuration documentation; vulnerability scanning results; patch and vulnerability management records; other relevant documents or records.
Interview: Personnel with risk assessment, security assessment and vulnerability scanning responsibilities; personnel with vulnerability scan analysis and remediation responsibilities; personnel with information security responsibilities; system or network administrators. | How is control 3.11.2 assessed? |
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Determine if: 3.11.2[a] the frequency to scan for vulnerabilities in organizational systems and applications is defined. 3.11.2[b] vulnerability scans are performed on organizational systems with the defined frequency. 3.11.2[c] vulnerability scans are performed on applications with the defined frequency. 3.11.2[d] vulnerability scans are performed on organizational systems when new vulnerabilities are identified. 3.11.2[e] vulnerability scans are performed on applications when new vulnerabilities are identified. | What are the detailed objectives for assessing control 3.11.2? |
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Security Requirement 3.11.2: Security Requirement 3.11.2: Scan for vulnerabilities in organizational systems and applications periodically and when new vulnerabilities affecting those systems and applications are identified. Assessment Objectives: Determine if: 3.11.2[a] the frequency to scan for vulnerabilities in organizational systems and applications is defined. 3.11.2[b] vulnerability scans are performed on organizational systems with the defined frequency. 3.11.2[c] vulnerability scans are performed on applications with the defined frequency. 3.11.2[d] vulnerability scans are performed on organizational systems when new vulnerabilities are identified. 3.11.2[e] vulnerability scans are performed on applications when new vulnerabilities are identified. Potential Assessment Methods and Objects:
Examine: Risk assessment policy; procedures addressing vulnerability scanning; risk assessment; system security plan; security assessment report; vulnerability scanning tools and associated configuration documentation; vulnerability scanning results; patch and vulnerability management records; other relevant documents or records.
Interview: Personnel with risk assessment, security assessment and vulnerability scanning responsibilities; personnel with vulnerability scan analysis and remediation responsibilities; personnel with information security responsibilities; system or network administrators. | What is control 3.11.2 in NIST 800-171A? |
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Security Requirement 3.11.3: Remediate vulnerabilities in accordance with risk assessments. | What does control 3.11.3 entail? |
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Potential assessment methods and objects for 3.11.3 include:
Examine: Risk assessment policy; procedures addressing vulnerability scanning; risk assessment; system security plan; security assessment report; vulnerability scanning tools and associated configuration documentation; vulnerability scanning results; patch and vulnerability management records; other relevant documents or records.
Interview: Personnel with risk assessment, security assessment and vulnerability scanning responsibilities; personnel with vulnerability scan analysis responsibilities; personnel with vulnerability remediation responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for vulnerability scanning, analysis, remediation, and information sharing; mechanisms supporting or implementing vulnerability scanning, analysis, remediation, and information sharing. | How is control 3.11.3 assessed? |
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Determine if: 3.11.3[a] vulnerabilities are identified. 3.11.3[b] vulnerabilities are remediated in accordance with risk assessments. | What are the detailed objectives for assessing control 3.11.3? |
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Security Requirement 3.11.3: Remediate vulnerabilities in accordance with risk assessments. Assessment Objectives: Determine if: 3.11.3[a] vulnerabilities are identified. 3.11.3[b] vulnerabilities are remediated in accordance with risk assessments. Potential Assessment Methods and Objects:
Examine: Risk assessment policy; procedures addressing vulnerability scanning; risk assessment; system security plan; security assessment report; vulnerability scanning tools and associated configuration documentation; vulnerability scanning results; patch and vulnerability management records; other relevant documents or records.
Interview: Personnel with risk assessment, security assessment and vulnerability scanning responsibilities; personnel with vulnerability scan analysis responsibilities; personnel with vulnerability remediation responsibilities; personnel with information security responsibilities; system or network administrators.
Test: Organizational processes for vulnerability scanning, analysis, remediation, and information sharing; mechanisms supporting or implementing vulnerability scanning, analysis, remediation, and information sharing. | What is control 3.11.3 in NIST 800-171A? |
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Security Requirement 3.12.1: Periodically assess the security controls in organizational systems to determine if the controls are effective in their application. | What does control 3.12.1 entail? |
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Potential assessment methods and objects for 3.12.1 include:
Examine Security assessment and authorization policy; procedures addressing security assessment planning; procedures addressing security assessments; security assessment plan; system security plan; other relevant documents or records.
Interview Personnel with security assessment responsibilities; personnel with information security responsibilities.
Test Mechanisms supporting security assessment, security assessment plan development, and security assessment reporting. | How is control 3.12.1 assessed? |
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Determine if: 3.12.1[a] the frequency of security control assessments is defined; 3.12.1[b] security controls are assessed with the defined frequency to determine if the controls are effective in their application. | What are the detailed objectives for assessing control 3.12.1? |
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Security Requirement 3.12.1: Periodically assess the security controls in organizational systems to determine if the controls are effective in their application. Assessment Objectives: 3.12.1[a] the frequency of security control assessments is defined; 3.12.1[b] security controls are assessed with the defined frequency to determine if the controls are effective in their application. Potential Assessment Methods and Objects:
Examine Security assessment and authorization policy; procedures addressing security assessment planning; procedures addressing security assessments; security assessment plan; system security plan; other relevant documents or records.
Interview Personnel with security assessment responsibilities; personnel with information security responsibilities.
Test Mechanisms supporting security assessment, security assessment plan development, and security assessment reporting. | What is control 3.12.1 in NIST 800-171A? |
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Security Requirement 3.12.2: Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems. | What does control 3.12.2 entail? |
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Potential assessment methods and objects for 3.12.2 include:
Examine Security assessment and authorization policy; procedures addressing plan of action; system security plan; security assessment plan; security assessment report; security assessment evidence; plan of action; other relevant documents or records].
Interview Personnel with plan of action development and implementation responsibilities; personnel with information security responsibilities.
Test mechanisms for developing, implementing, and maintaining plan of action. | How is control 3.12.2 assessed? |
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Determine if: 3.12.2[a] deficiencies and vulnerabilities to be addressed by the plan of action are identified; 3.12.2[b] a plan of action is developed to correct identified deficiencies and reduce or eliminate identified vulnerabilities; 3.12.2[c] the plan of action is implemented to correct identified deficiencies and reduce or eliminate identified vulnerabilities. | What are the detailed objectives for assessing control 3.12.2? |
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Security Requirement 3.12.2: Develop and implement plans of action designed to correct deficiencies and reduce or eliminate vulnerabilities in organizational systems. Assessment Objectives: Determine if: 3.12.2[a] deficiencies and vulnerabilities to be addressed by the plan of action are identified; 3.12.2[b] a plan of action is developed to correct identified deficiencies and reduce or eliminate identified vulnerabilities; 3.12.2[c] the plan of action is implemented to correct identified deficiencies and reduce or eliminate identified vulnerabilities. Potential Assessment Methods and Objects:
Examine Security assessment and authorization policy; procedures addressing plan of action; system security plan; security assessment plan; security assessment report; security assessment evidence; plan of action; other relevant documents or records].
Interview Personnel with plan of action development and implementation responsibilities; personnel with information security responsibilities.
Test mechanisms for developing, implementing, and maintaining plan of action. | What is control 3.12.2 in NIST 800-171A? |
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Security Requirement 3.12.3: Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls. | What does control 3.12.3 entail? |
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Examine: Security planning policy; organizational procedures addressing system security plan development and implementation; procedures addressing system security plan reviews and updates; enterprise architecture documentation; system security plan; records of system security plan reviews and updates; other relevant documents or records.
Interview: Personnel with security planning and system security plan implementation responsibilities; personnel with information security responsibilities.
Test: Organizational processes for system security plan development, review, update, and approval; mechanisms supporting the system security plan. | How is control 3.12.3 assessed? |
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Determine if security controls are monitored on an ongoing basis to ensure the continued effectiveness of those controls. | What are the detailed objectives for assessing control 3.12.3? |
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Security Requirement 3.12.3: Monitor security controls on an ongoing basis to ensure the continued effectiveness of the controls. Assessment Objectives: Determine if security controls are monitored on an ongoing basis to ensure the continued effectiveness of those controls. Potential Assessment Methods and Objects:
Examine: Security planning policy; organizational procedures addressing system security plan development and implementation; procedures addressing system security plan reviews and updates; enterprise architecture documentation; system security plan; records of system security plan reviews and updates; other relevant documents or records.
Interview: Personnel with security planning and system security plan implementation responsibilities; personnel with information security responsibilities.
Test: Organizational processes for system security plan development, review, update, and approval; mechanisms supporting the system security plan. | What is control 3.12.3 in NIST 800-171A? |
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Security Requirement 3.12.4: Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems. | What does control 3.12.4 entail? |
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Potential assessment methods and objects for 3.12.4 include:
Examine Security planning policy; procedures addressing system security plan development and implementation; procedures addressing system security plan reviews and updates; enterprise architecture documentation; system security plan; records of system security plan reviews and updates; other relevant documents or records.
Personnel with security planning and system security plan implementation responsibilities; personnel with information security responsibilities.
Test Organizational processes for system security plan development, review, update, and approval; mechanisms supporting the system security plan. | How is control 3.12.4 assessed? |
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Determine if: 3.12.4[a] a system security plan is developed. 3.12.4[b] the system boundary is described and documented in the system security plan. 3.12.4[c] the system environment of operation is described and documented in the system security plan. 3.12.4[d] the security requirements identified and approved by the designated authority as non-applicable are identified. 3.12.4[e] the method of security requirement implementation is described and documented in the system security plan. 3.12.4[f] the relationship with or connection to other systems is described and documented in the system security plan. 3.12.4[g] the frequency to update the system security plan is defined. 3.12.4[f] system security plan is updated with the defined frequency. | What are the detailed objectives for assessing control 3.12.4? |
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Security Requirement 3.12.4: Develop, document, and periodically update system security plans that describe system boundaries, system environments of operation, how security requirements are implemented, and the relationships with or connections to other systems. Assessment Objectives:Determine if: 3.12.4[a] a system security plan is developed. 3.12.4[b] the system boundary is described and documented in the system security plan. 3.12.4[c] the system environment of operation is described and documented in the system security plan. 3.12.4[d] the security requirements identified and approved by the designated authority as non-applicable are identified. 3.12.4[e] the method of security requirement implementation is described and documented in the system security plan. 3.12.4[f] the relationship with or connection to other systems is described and documented in the system security plan. 3.12.4[g] the frequency to update the system security plan is defined. 3.12.4[f] system security plan is updated with the defined frequency. Potential Assessment Methods and Objects:
Examine Security planning policy; procedures addressing system security plan development and implementation; procedures addressing system security plan reviews and updates; enterprise architecture documentation; system security plan; records of system security plan reviews and updates; other relevant documents or records.
Personnel with security planning and system security plan implementation responsibilities; personnel with information security responsibilities.
Test Organizational processes for system security plan development, review, update, and approval; mechanisms supporting the system security plan. | What is control 3.12.4 in NIST 800-171A? |
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Security Requirement 3.13.1: Monitor, control, and protect communications (i.e., information transmitted or received by organizational systems) at the external boundaries and key internal boundaries of organizational systems. | What does control 3.13.1 entail? |
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Potential assessment methods and objects for 3.13.1 include:
Examine System and communications protection policy; procedures addressing boundary protection; system security plan; list of key internal boundaries of the system; system design documentation; boundary protection hardware and software; enterprise security architecture documentation; system audit logs and records; system configuration settings and associated documentation; other relevant documents or records.
Interview System or network administrators; personnel with information security responsibilities; system developer; personnel with boundary protection responsibilities.
Test mechanisms implementing boundary protection capability. | How is control 3.13.1 assessed? |
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Determine if: 3.13.1[a] the external system boundary is defined; 3.13.1[b] key internal system boundaries are defined; 3.13.1[c] communications are monitored at the external system boundary; 3.13.1[d] communications are monitored at key internal boundaries; 3.13.1[e] communications are controlled at the external system boundary; 3.13.1[f] communications are controlled at key internal boundaries; 3.13.1[g] communications are protected at the external system boundary; 3.13.1[h] communications are protected at key internal boundaries. | What are the detailed objectives for assessing control 3.13.1? |
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Security Requirement 3.13.1: Monitor, control, and protect communications at the external boundaries and key internal boundaries of organizational systems. Assessment Objectives:Determine if: 3.13.1[a] the external system boundary is defined; 3.13.1[b] key internal system boundaries are defined; 3.13.1[c] communications are monitored at the external system boundary; 3.13.1[d] communications are monitored at key internal boundaries; 3.13.1[e] communications are controlled at the external system boundary; 3.13.1[f] communications are controlled at key internal boundaries; 3.13.1[g] communications are protected at the external system boundary; 3.13.1[h] communications are protected at key internal boundaries. Potential Assessment Methods and Objects:
Examine System and communications protection policy; procedures addressing boundary protection; system security plan; list of key internal boundaries of the system; system design documentation; boundary protection hardware and software; enterprise security architecture documentation; system audit logs and records; system configuration settings and associated documentation; other relevant documents or records.
Interview System or network administrators; personnel with information security responsibilities; system developer; personnel with boundary protection responsibilities.
Test mechanisms implementing boundary protection capability. | What is control 3.13.1 in NIST 800-171A? |
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Security Requirement 3.13.2: Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems. | What does control 3.13.2 entail? |
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Potential assessment methods and objects for 3.13.2 include:
Examine Security planning policy; procedures addressing system security plan development and implementation; procedures addressing system security plan reviews and updates; enterprise architecture documentation; system security plan; records of system security plan reviews and updates; system and communications protection policy; procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the system; security architecture documentation; security requirements and specifications for the system; system design documentation; system configuration settings and associated documentation; other relevant documents or records.
Interview Personnel with responsibility for determining information system security requirements; personnel with information system design, development, implementation, and modification responsibilities; personnel with security planning and system security plan implementation responsibilities; personnel with information security responsibilities.
Test Organizational processes for system security plan development, review, update, and approval; mechanisms supporting the system security plan; processes for applying security engineering principles in system specification, design, development, implementation, and modification; automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification. | How is control 3.13.2 assessed? |
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Determine if: 3.13.2[a] architectural designs that promote effective information security are identified. 3.13.2[b] software development techniques that promote effective information security are identified; 3.13.2[c] systems engineering principles that promote effective information security are identified; 3.13.2[d] identified architectural designs that promote effective information security are employed. 3.13.2[e] identified software development techniques that promote effective information security are employed. 3.13.2[f] identified systems engineering principles that promote effective information security are employed. | What are the detailed objectives for assessing control 3.13.2? |
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Security Requirement 3.13.2: Employ architectural designs, software development techniques, and systems engineering principles to promote effective information security. Assessment Objectives: Determine if: 3.13.2[a] architectural designs that promote effective information security are identified. 3.13.2[b] software development techniques that promote effective information security are identified; 3.13.2[c] systems engineering principles that promote effective information security are identified; 3.13.2[d] identified architectural designs that promote effective information security are employed. 3.13.2[e] identified software development techniques that promote effective information security are employed. 3.13.2[f] identified systems engineering principles that promote effective information security are employed. Potential Assessment Methods and Objects:
Examine Security planning policy; procedures addressing system security plan development and implementation; procedures addressing system security plan reviews and updates; enterprise architecture documentation; system security plan; records of system security plan reviews and updates; system and communications protection policy; procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the system; security architecture documentation; security requirements and specifications for the system; system design documentation; system configuration settings and associated documentation; other relevant documents or records.
Interview Personnel with responsibility for determining information system security requirements; personnel with information system design, development, implementation, and modification responsibilities; personnel with security planning and system security plan implementation responsibilities; personnel with information security responsibilities.
Test Organizational processes for system security plan development, review, update, and approval; mechanisms supporting the system security plan; processes for applying security engineering principles in system specification, design, development, implementation, and modification; automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification. | What is control 3.13.2 in NIST 800-171A? |
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Security Requirement 3.13.3: Separate user functionality from system management functionality. | What does control 3.13.3 entail? |
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Potential assessment methods and objects for 3.13.3 include:
Examine System and communications protection policy; procedures addressing application partitioning; system design documentation; system configuration settings and associated documentation; system security plan; system audit logs and records; other relevant documents or records
Interview System or network administrators; personnel with information security responsibilities; system developer.
Test separation of user functionality from system management functionality. | How is control 3.13.3 assessed? |
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Determine if: 3.13.3[a] user functionality is identified; 3.13.3[b] system management functionality is identified; 3.13.3[c] user functionality is separated from system management functionality. | What are the detailed objectives for assessing control 3.13.3? |
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Security Requirement 3.13.3: Separate user functionality from system management functionality. Assessment Objectives: Determine if: 3.13.3[a] user functionality is identified; 3.13.3[b] system management functionality is identified; 3.13.3[c] user functionality is separated from system management functionality. Potential Assessment Methods and Objects:
Examine System and communications protection policy; procedures addressing application partitioning; system design documentation; system configuration settings and associated documentation; system security plan; system audit logs and records; other relevant documents or records
Interview System or network administrators; personnel with information security responsibilities; system developer.
Test separation of user functionality from system management functionality. | What is control 3.13.3 in NIST 800-171A? |
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Security Requirement 3.13.4: Prevent unauthorized and unintended information transfer via shared system resources. | What does control 3.13.4 entail? |
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Potential assessment methods and objects for 3.13.4 include:
Examine System and communications protection policy; procedures addressing application partitioning; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records.
Interview system or network administrators, personnel with information security responsibilities, system developers.
Test separation of user functionality from system management functionality. | How is control 3.13.4 assessed? |
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Determine if unauthorized and unintended information transfer via shared system resources is prevented. | What are the detailed objectives for assessing control 3.13.4? |
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Security Requirement 3.13.4: Prevent unauthorized and unintended information transfer via shared system resources. Assessment Objectives:Determine if unauthorized and unintended information transfer via shared system resources is prevented. Potential Assessment Methods and Objects:
Examine System and communications protection policy; procedures addressing application partitioning; system security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; other relevant documents or records.
Interview system or network administrators, personnel with information security responsibilities, system developers.
Test separation of user functionality from system management functionality. | What is control 3.13.4 in NIST 800-171A? |
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Security Requirement 3.13.5: Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks. | What does control 3.13.5 entail? |
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Potential assessment methods and objects for 3.13.5 include:
Examine: System and communications protection policy; procedures addressing boundary protection; system security plan; list of key internal boundaries of the system; system design documentation; boundary protection hardware and software; system configuration settings and associated documentation; enterprise security architecture documentation; system audit logs and records; other relevant documents or records.
Interview System or network administrators; personnel with information security responsibilities; system developer; personnel with boundary protection responsibilities.
Test Mechanisms implementing boundary protection capability. | How is control 3.13.5 assessed? |
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Determine if: 3.13.5[a] publicly accessible system components are identified; 3.13.5[b] subnetworks for publicly accessible system components are physically or logically separated from internal networks. | What are the detailed objectives for assessing control 3.13.5? |
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Security Requirement 3.13.5: Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks. Assessment Objectives: Determine if: 3.13.5[a] publicly accessible system components are identified; 3.13.5[b] subnetworks for publicly accessible system components are physically or logically separated from internal networks. Potential Assessment Methods and Objects:
Examine: System and communications protection policy; procedures addressing boundary protection; system security plan; list of key internal boundaries of the system; system design documentation; boundary protection hardware and software; system configuration settings and associated documentation; enterprise security architecture documentation; system audit logs and records; other relevant documents or records.
Interview System or network administrators; personnel with information security responsibilities; system developer; personnel with boundary protection responsibilities.
Test Mechanisms implementing boundary protection capability. | What is control 3.13.5 in NIST 800-171A? |
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Security Requirement 3.13.6: Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception). | What does control 3.13.6 entail? |