NIST 800-53
NIST Special Publication 800-53, "Security and Privacy Controls for Information Systems and Organizations," is an essential framework that provides a detailed catalog of security and privacy controls. These controls are vital for safeguarding federal information systems, and they are widely adopted by private sector organizations aiming to enhance their cybersecurity infrastructure.
NIST 800-53 organizes its controls into 20 families, each focusing on a particular aspect of security and privacy. Here is a closer look at some of these families and a few of their specific controls:
1. Access Control (AC)
AC-1: Policy and Procedures: Develop and maintain policies and procedures for access control.
AC-2: Account Management: Manage the lifecycle of user accounts.
AC-3: Access Enforcement: Enforce access control policies through mechanisms.
AC-4: Information Flow Enforcement: Control the flow of information within the system.
AC-5: Separation of Duties: Separate critical duties among different users.
AC-6: Least Privilege: Grant minimum privileges necessary for users to perform their roles.
AC-7: Unsuccessful Login Attempts: Limit and respond to failed login attempts.
AC-8: System Use Notification: Display a system use notification message before access.
AC-9: Previous Logon Notification: Notify users of their last logon details.
AC-10: Concurrent Session Control: Limit the number of concurrent sessions.
AC-11: Session Lock: Lock sessions after a period of inactivity.
AC-12: Session Termination: Terminate user sessions after a defined condition.
AC-14: Permitted Actions Without Identification or Authentication: Define and control actions allowed without authentication.
AC-17: Remote Access: Control remote access to the information system.
AC-18: Wireless Access: Control wireless access to the information system.
AC-19: Access Control for Mobile Devices: Implement access control for mobile devices.
AC-20: Use of External Information Systems: Restrict use of external systems.
AC-21: Information Sharing: Enable information sharing while enforcing access controls.
2. Awareness and Training (AT)
AT-1: Policy and Procedures: Develop awareness and training policies and procedures.
AT-2: Security Awareness Training: Provide security awareness training for all users.
AT-3: Role-Based Security Training: Offer training based on specific roles.
AT-4: Security Training Records: Maintain records of security training activities.
3. Audit and Accountability (AU)
AU-1: Policy and Procedures: Develop and maintain audit and accountability policies and procedures.
AU-2: Audit Events: Identify events to be audited.
AU-3: Content of Audit Records: Define audit record content.
AU-4: Audit Storage Capacity: Ensure sufficient storage capacity for audit logs.
AU-5: Response to Audit Processing Failures: Respond to audit failures.
AU-6: Audit Review, Analysis, and Reporting: Regularly review and analyze audit logs.
AU-7: Audit Reduction and Report Generation: Generate audit reports and summaries.
AU-8: Time Stamps: Use time stamps in audit records.
AU-9: Protection of Audit Information: Protect audit information from unauthorized access.
AU-10: Non-repudiation: Ensure non-repudiation through audit mechanisms.
AU-11: Audit Record Retention: Retain audit records as required.
AU-12: Audit Generation: Generate audit records for specified events.
4. Security Assessment and Authorization (CA)
CA-1: Policy and Procedures: Develop security assessment and authorization policies and procedures.
CA-2: Security Assessments: Conduct security assessments regularly.
CA-3: Information System Connections: Manage connections between information systems.
CA-5: Plan of Action and Milestones: Develop and maintain plans for addressing security deficiencies.
CA-6: Security Authorization: Authorize information systems to operate.
CA-7: Continuous Monitoring: Implement continuous monitoring of the security state.
5. Configuration Management (CM)
CM-1: Policy and Procedures: Establish configuration management policies and procedures.
CM-2: Baseline Configuration: Maintain a baseline configuration for information systems.
CM-3: Configuration Change Control: Control changes to the system configuration.
CM-4: Security Impact Analysis: Analyze the security impact of changes.
CM-5: Access Restrictions for Change: Restrict access to configuration change processes.
CM-6: Configuration Settings: Implement security settings for information systems.
CM-7: Least Functionality: Limit the functionality of information systems to essential functions.
CM-8: Information System Component Inventory: Maintain an inventory of system components.
CM-9: Configuration Management Plan: Develop and implement a configuration management plan.
6. Contingency Planning (CP)
CP-1: Policy and Procedures: Establish contingency planning policies and procedures.
CP-2: Contingency Plan: Develop a contingency plan for the information system.
CP-3: Contingency Training: Train personnel on the contingency plan.
CP-4: Contingency Plan Testing: Test and exercise the contingency plan regularly.
CP-6: Alternate Storage Site: Identify and prepare an alternate storage site.
CP-7: Alternate Processing Site: Identify and prepare an alternate processing site.
CP-8: Telecommunications Services: Ensure telecommunications services are available at alternate sites.
CP-9: System Backup: Perform regular backups of the information system.
CP-10: Information System Recovery and Reconstitution: Develop procedures for system recovery and reconstitution.
7. Identification and Authentication (IA)
IA-1: Policy and Procedures: Establish identification and authentication policies and procedures.
IA-2: Identification and Authentication (Organizational Users): Ensure users are uniquely identified and authenticated.
IA-3: Device Identification and Authentication: Authenticate devices before granting access.
IA-4: Identifier Management: Manage identifiers for users and devices.
IA-5: Authenticator Management: Manage authenticators (e.g., passwords, tokens).
IA-6: Authenticator Feedback: Obscure feedback during the authentication process.
IA-7: Cryptographic Module Authentication: Use cryptographic modules for authentication.
8. Incident Response (IR)
IR-1: Policy and Procedures: Develop incident response policies and procedures.
IR-2: Incident Response Training: Train personnel on incident response roles and responsibilities.
IR-3: Incident Response Testing: Test incident response capabilities regularly.
IR-4: Incident Handling: Develop procedures for incident handling.
IR-5: Incident Monitoring: Monitor for potential incidents continuously.
IR-6: Incident Reporting: Report incidents to appropriate entities.
IR-7: Incident Response Assistance: Provide assistance for incident handling.
IR-8: Incident Response Plan: Develop, implement, and maintain an incident response plan.
9. Maintenance (MA)
MA-1: Policy and Procedures: Establish maintenance policies and procedures.
MA-2: Controlled Maintenance: Perform maintenance in a controlled manner.
MA-3: Maintenance Tools: Manage maintenance tools and ensure their security.
MA-4: Nonlocal Maintenance: Control nonlocal maintenance activities.
MA-5: Maintenance Personnel: Ensure maintenance personnel are properly vetted.
MA-6: Timely Maintenance: Perform maintenance in a timely manner to prevent system failures.
10. Media Protection (MP)
MP-1: Policy and Procedures: Develop media protection policies and procedures.
MP-2: Media Access: Restrict access to media.
MP-3: Media Marking: Mark media with appropriate security labels.
MP-4: Media Storage: Store media in a secure manner.
MP-5: Media Transport: Protect media during transport.
MP-6: Media Sanitization: Sanitize media before disposal or reuse.
11. Physical and Environmental Protection (PE)
PE-1: Policy and Procedures: Develop physical and environmental protection policies and procedures.
PE-2: Physical Access Authorizations: Control physical access authorizations.
PE-3: Physical Access Control: Implement physical access controls.
PE-4: Access Control for Transmission Medium: Protect transmission mediums from unauthorized access.
PE-5: Access Control for Output Devices: Secure output devices to prevent unauthorized access.
PE-6: Monitoring Physical Access: Monitor physical access to information systems.
PE-8: Visitor Access Records: Maintain records of visitor access.
PE-9: Power Equipment and Cabling: Protect power equipment and cabling.
PE-10: Emergency Shutoff: Provide emergency shutoff capability.
PE-11: Emergency Power: Ensure emergency power capability.
PE-12: Emergency Lighting: Provide emergency lighting.
PE-13: Fire Protection: Implement fire protection mechanisms.
PE-14: Temperature and Humidity Controls: Control temperature and humidity.
PE-15: Water Damage Protection: Protect against water damage.
PE-16: Delivery and Removal: Control delivery and removal of system components.
12. Planning (PL)
PL-1: Policy and Procedures: Establish planning policies and procedures.
PL-2: System Security Plan: Develop and maintain a system security plan.
PL-4: Rules of Behavior: Establish and enforce rules of behavior for system users.
PL-8: Information Security Architecture: Develop and maintain an information security architecture.
13. Personnel Security (PS)
PS-1: Policy and Procedures: Develop personnel security policies and procedures.
PS-2: Position Risk Designation: Designate risk levels for all positions.
PS-3: Personnel Screening: Conduct personnel screening for all positions.
PS-4: Personnel Termination: Implement procedures for terminating personnel access.
PS-5: Personnel Transfer: Ensure security when personnel are reassigned or transferred.
PS-6: Access Agreements: Require personnel to sign access agreements.
PS-7: External Personnel Security: Ensure security requirements for external personnel.
PS-8: Personnel Sanctions: Employ sanctions for personnel violating security policies.
14. Risk Assessment (RA)
RA-1: Policy and Procedures: Develop risk assessment policies and procedures.
RA-2: Security Categorization: Categorize information systems based on impact analysis.
RA-3: Risk Assessment: Conduct risk assessments regularly.
RA-5: Vulnerability Scanning: Perform regular vulnerability scanning of information systems.
RA-7: Risk Response: Develop risk response strategies.
15. System and Services Acquisition (SA)
SA-1: Policy and Procedures: Establish acquisition policies and procedures.
SA-2: Allocation of Resources: Allocate resources for information security.
SA-3: System Development Life Cycle: Integrate security into the system development life cycle.
SA-4: Acquisition Process: Include security requirements in acquisition processes.
SA-5: Information System Documentation: Maintain documentation for systems.
SA-8: Security Engineering Principles: Apply security engineering principles.
SA-9: External Information System Services: Manage external system services securely.
SA-10: Developer Configuration Management: Require developers to manage configurations securely.
SA-11: Developer Security Testing: Ensure developers conduct security testing and evaluation.
16. System and Communications Protection (SC)
SC-1: Policy and Procedures: Develop system and communications protection policies and procedures.
SC-2: Application Partitioning: Partition applications to reduce risk.
SC-5: Denial of Service Protection: Protect against denial of service attacks.
SC-7: Boundary Protection: Control communication at system boundaries.
SC-8: Transmission Confidentiality and Integrity: Ensure confidentiality and integrity of transmitted information.
SC-10: Network Disconnect: Terminate network connections after a defined period.
SC-12: Cryptographic Key Establishment and Management: Implement key management practices.
SC-13: Cryptographic Protection: Use cryptographic mechanisms to protect information.
SC-17: Public Key Infrastructure Certificates: Manage public key infrastructure (PKI) certificates.
17. System and Information Integrity (SI)
SI-1: Policy and Procedures: Establish system and information integrity policies and procedures.
SI-2: Flaw Remediation: Identify, report, and correct system flaws.
SI-3: Malicious Code Protection: Implement mechanisms to protect against malicious code.
SI-4: Information System Monitoring: Monitor systems for security-relevant events.
SI-7: Software, Firmware, and Information Integrity: Verify the integrity of software, firmware, and information.
SI-8: Spam Protection: Implement mechanisms to protect against spam.
SI-10: Information Input Validation: Validate information input to prevent unauthorized changes.
18. Program Management (PM)
PM-1: Information Security Program Plan: Develop a comprehensive security program plan.
PM-3: Information Security Resources: Allocate resources for the information security program.
PM-4: Plan of Action and Milestones Process: Establish a process to address deficiencies.
PM-5: Information System Inventory: Maintain an inventory of information systems.
PM-6: Information Security Measures of Performance: Develop performance metrics for the security program.
PM-7: Enterprise Architecture: Integrate security into the enterprise architecture.
PM-8: Critical Infrastructure Plan: Develop a plan to protect critical infrastructure.
PM-9: Risk Management Strategy: Define a strategy for managing security risks.
PM-10: Security Authorization of Information Systems: Ensure systems are authorized for operation.
PM-11: Mission/Business Process Definition: Define processes in support of the organization’s mission.
PM-12: Insider Threat Program: Develop a program to detect and mitigate insider threats.
PM-14: Testing, Training, and Monitoring: Implement testing, training, and continuous monitoring.
** 19. Privacy Control Families (for organizations dealing with privacy data)
AP (Authority and Purpose): Controls related to ensuring data collection is legally authorized and necessary.
AR (Accountability, Audit, and Risk Management): Establish accountability and perform audits.
DI (Data Quality and Integrity): Ensure data is accurate and reliable.
DM (Data Minimization and Retention): Minimize and retain data only as long as necessary.
IP (Individual Participation and Redress): Ensure individuals can participate and seek redress regarding their data.
SE (Security): Implement security measures to protect privacy data.
TR (Transparency): Ensure transparency in how data is handled and used.
UL (Use Limitation): Limit the use of data to the purposes for which it was collected.
20. Supply Chain Risk Management (SR)
SR-1: Policy and Procedures: Develop supply chain risk management policies and procedures.
SR-2: Supply Chain Risk Assessment: Assess risks in the supply chain.
SR-3: Supply Chain Controls: Implement controls to manage supply chain risks.
SR-4: Provenance: Ensure the integrity of supply chain components.
SR-5: Acquisition Strategies: Include supply chain risk considerations in acquisition strategies.
RMF - NIST Risk Management Framework
“ The Risk Management Framework (RMF) provides a process that integrates security, privacy, and cyber supply chain risk management activities into the system development life cycle. The risk-based approach to control selection and specification considers effectiveness, efficiency, and constraints due to applicable laws, directives, Executive Orders, policies, standards, or regulations. Managing organizational risk is paramount to effective information security and privacy programs; the RMF approach can be applied to new and legacy systems, any type of system or technology (e.g., IoT, control systems), and within any type of organization regardless of size or sector. “ (nist.gov)
Prepare Information Systems (Step 1 of RMF): Essential activities to prepare the organization to manage security and privacy risks
Categorize Information Systems (Step 2 of RMF): Categorize the system and information processed, stored, and transmitted based on an impact analysis
Select Controls (Step 3 of RMF): Choose appropriate controls from the NIST 800-53 catalog based on the system's security category.
Implement Controls (Step 4 of RMF): Apply the selected controls, documenting how each control is employed within the information system and its environment.
Assess Controls (Step 5 of RMF): Conduct assessments to verify that the controls are correctly implemented and effective in their application.
Authorize System (Step 6 of RMF): Determine if the risk to operations, assets, or individuals is acceptable and authorize the system to operate.
Monitor Controls (Step 7 of RMF): Continuously monitor controls to ensure they remain effective, addressing any changes in the information system or its environment.
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Importance of Tailoring Controls
Each organization has unique needs and operational contexts, making it crucial to tailor NIST 800-53 controls appropriately.
Tailoring involves:
Scoping: Defining the boundary of the information system and the applicable environment.
Parameterization: Adjusting control parameters to fit the specific operational context.
Supplementing: Adding additional controls or enhancements to address unique security and privacy requirements.
Compensating: Implementing alternative controls when the primary control cannot be feasibly applied, ensuring equivalent protection.
Compliance with NIST 800-53 offers numerous benefits:
Enhanced Security Posture: Robust controls reduce vulnerabilities and improve overall security.
Regulatory Compliance: Federal agencies and contractors meet mandatory requirements, while private sector entities align with best practices.
Risk Management: Effective risk assessment and mitigation strategies help manage and reduce potential threats.
Operational Resilience: Organizations are better equipped to handle security incidents and ensure business continuity.
NIST 800-53 is a comprehensive framework providing detailed guidance on securing information systems. By implementing and tailoring these controls, organizations can significantly enhance their cybersecurity measures, effectively manage risks, and ensure compliance with regulatory requirements. As cybersecurity threats continue to evolve, adhering to the robust standards set by NIST 800-53 remains essential for protecting critical information assets and maintaining organizational resilience.
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