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Ameliorate Consulting Ameliorate Consulting

Certification and Accreditation ProgramCertification and Accreditation Program

Ameliorate Consulting System Security Plan Ameliorate Consulting System Security Plan

August 16, 2010



Ameliorate Consulting’s RAMPS Program: System Security PlanAugust, 15, 2010

About This DocumentProgram Ameliorate Consulting Certification & Accreditation Program

Topic Ameliorate Consulting : SSP

© <Insert Company Name> Sensitive Information – For Official Use Only



Table of Contents

Executive Summary.......................................................................................................................i

1 System Security Plan..................................................................................................................1

2 System Security Controls...........................................................................................................5

Appendix A..................................................................................................................................68




Executive SummaryExecutive Summary

IntroductionIntroduction

The purpose of the system security plan (SSP) is to provide an overview of federal informationsystem security requirements and describe the controls in place or planned to meet thoserequirements. The SSP also delineates responsibilities and expected behavior of all individualswho access the information system and should be viewed as documentation of the structuredprocess for planning adequate, cost-effective security protection for a major application or general support system. It should reflect input from various managers with responsibilitiesconcerning the information system, including information owner(s), system owner(s), systemoperator(s), and the information security manager. Additional information may be included in thebasic plan, and the structure and format organized according to requirements.

Each SSP is developed in accordance with the guidelines contained in National Institute of Standards and Technology (NIST) Special Publication (SP) 800-18, Guide for DevelopingSecurity Plans for Information Technology Systems, and applicable risk mitigation guidance andstandards.

This document details the degree to which the RAMPS Program conforms to recommendedfederal security controls and the manner in which those controls are implemented.

Intended AudienceIntended Audience

This document is designed to be used by those parties responsible for managing and/or creating the SSP for an individual general support system or major application. System ownersare organizationally responsible for conducting these activities; however, guidance andimplementation assistance is frequently provided at an organizational level. Within FDIC,guidance to complete the SSP, as well as support for the activities associated with, is provided

by the Security Policy and Compliance Section.

RAMPS Program SSP SummaryRAMPS Program SSP Summary

RAMPS Program and Receivership Asset Management and Performance Database SoftwareProgramis currently categorized as <INSERT OPERATIONAL STATUS> and is a <INSERTSYSTEM TYPE>. The referenced system has a Moderate FIPS 199 impact level and providesconnectivity to the <INSERT ENVIRONMENT SUPPORTED>. The RAMPS Program supports<INSERT SUPPORTED SOFTWARE, HARDWARE, AND DEVICES>.

<INSERT ANY OTHER DESIRED SYSTEM DESCRIPTION>

© Ameliorate Consulting Sensitive Information – For Official Use Only

i




System Compliance with Security Controls by FamilySystem Compliance with Security Controls by Family

The following table provides a high level summary (by control family) of how RAMPSProgramcomplies with the security controls articulated in NIST 800-53.

NIST 800-53 Control Family Number Met / % Number PartiallyMet / %

Number Not Met /%

Number N/A / %

Access Control (AC) <INSERT#> /<INSERT%>

Awareness & Training (AT)

Audit & Accountability (AU)

Certification, Accreditation, & Security Assessments (CA)

Configuration Management (CM)

Contingency Planning (CP)

Identification and Authentication (IA)

Incident Response (IR)

Maintenance (MA)Media Protection (MP)

Physical and Environmental Protection(PE)

Planning (PL)Personnel Security (PS)

Risk Assessment (RA)System and Services Acquisition (SA)

System and Communications Protection(SC)

System and Information Integrity (SI)

Control Population Totals

System Security Plan ApprovalSystem Security Plan Approval

This SSP was approved on <INSERT DATE> by <INSERT NAME(S)> and has been reviewedby <INSERT NAME(S)>.


ii




11 System Security PlanSystem Security Plan

The following sub-sections discuss the process used for RAMPS Programsystem securityplanning.

1.11.1 Information System Description and Responsible OrganizationInformation System Description and Responsible Organization

Table 1 provides general information on the RAMPS Program .

Table 1. General System Information

System Name: RAMPS Program

Operational Status: Operational Under Development Major Modification

System Type: MA GSS

1.1.11.1.1 System CategorizationSystem Categorization

The results of the system categorization exercise detailed in this section are summarized belowin Table 2. The system processes data types that qualify as moderate impact, and as such, theaggregation factor that addresses the combination of these data types within a single systemretains the already set high water mark. In the case of RAMPS Program, the aggregation effectholds the system categorization at a moderate impact level.

Table 2. System Impact Levels

Confidentiality Integrity Availability

Cumulative Impact Level Moderate Moderate Moderate

FIPS 199 Categorization Moderate

1.1.21.1.2 System Personnel ContactsSystem Personnel Contacts

System personnel contacts include contact information for the system owner, authorizingofficial, other designated contacts, and the division security officer.

System Owner

Name: Address:

Title: Phone Number:

Agency: E-mail Address:


1




Authorizing Official

Name: Address:



Information Security Manager (ISM)

Name: Address:



1.1.31.1.3 General System DescriptionGeneral System Description

The RAMPS Program (Receivership Asset Management and Performance Software

ProgramThe following table illustrates the categories and devices supported by RAMPSProgram :

Table 3. RAMPS Program Categories and Devices

Category Description Managing Division(s)

Software

Hardware

Supporting Devices

<INSERT DESCRIPTION OF THE SYSTEM’S PHYSICAL BOUNDARIES>

1.1.41.1.4 System Technical EnvironmentSystem Technical EnvironmentThe system technical environment includes <INSERT SYNOPSIS OF ITEMS SUPPORTED>

<INSERT SYSTEM ARCHITECTURE DIAGRAM>

1.1.51.1.5 RAMPS Program List of Minor Applications SupportedRAMPS Program List of Minor Applications Supported

See Appendix A.

1.1.61.1.6 RAMPS Program SoftwareRAMPS Program Software

<INSERT SYNOPSIS OF TABLE 4 AND SOFTWARE SUPPORTED>


2




Table 4. Core Applications on RAMPS Program

Software Application Version

1.1.71.1.7 RAMPS Program HardwareRAMPS Program Hardware

<INSERT SUMMARY OF HARDWARE SUPPORTED AND NUMBER OF USERS>

1.1.81.1.8 RAMPS Program DevicesRAMPS Program Devices

<INSERT SUMMARY OF DEVICES SUPPORTED, GENERAL DESCRIPTION OFTECHNOLOGY AND ANY PROCESSES>

1.1.91.1.9 System Interconnections & Information SharingSystem Interconnections & Information Sharing

The <INSERT SYSTEM NAME & INTERCONNECTIONS & INFORMATION SHARING>

1.1.101.1.10 Related Laws, Regulations, and PoliciesRelated Laws, Regulations, and PoliciesThe following provides guidance on generally applicable laws, regulations and FDIC policiesrelevant to RAMPS Program . <PLEASE ALSO INCLUDE ANY ADDITIONAL APPLICABLELAWS, REGULATIONS OR POLICIES>.

• The Privacy Act of 1974

• Computer Security Act of 1987

• Paperwork Reduction Act of 1995

• Clinger-Cohen Act, Information Technology Management Reform Act of 1996

• Presidential Decision Directive 63 (PDD63), May 1998

• The Gramm-Leach_Bliley Act

•

OMB Circular A-130• Homeland Security Act of 2002

• Sarbanes-Oxley Act of 2002

• E-Government Act of 2002

• Federal Information Security Management Act (FISMA) of 2002

• Homeland Security Presidential Directive – 7, December 2003

• Homeland Security Presidential Directive – 12, August 2004


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• National Institute of Standards and Technology (NIST) Guidance


4




22 System Security ControlsSystem Security Controls

Table 5 on the next page identifies the security controls applicable to RAMPS Program

The system security controls are identified by the following convention:

Company-wide security controls = Dark Blue

Controls not required for testing at a moderate baseline = Light Diagonally DownShaded

System-specific controls = Light Yellow


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Ameliorate Consulting’s –RAMP Program: System Security PlanAugust 15, 2010

Table 5. Security Controls Implementation Table

6

© <Insert Company Name> Sensitive Information – For Official Use Only



Ameliorate Consulting –RAMPS Program: System Security PlanAugust 16, 2010

2.12.1 RAMPS Program Security Control Requirements & Implementation DetailsRAMPS Program Security Control Requirements & Implementation Details

Each security control section is organized as follows:

• Security Control Header: This section provides the name of the security control

discussed. Example: PL-1, Security Planning Policy and Procedures.

• Security Control Requirement: This section provides a detailed description of thesecurity control requirement as stated in NIST 800-53 and tailored to AmeliorateConsulting and documented policy and specification.

7


P l a n n

i n g

S y s t e m a n d S e r v i c e s A c q u i s i t i o n

C e r t i f i c a t i o n , A c c r e d i t a t i o n , a n d S e c u r i t y

A s s e s s m e n t s

P e r s o n n e l

S e c u r i t y

P h y s i c a l a n d E n v i r o n m e n t a l P r o t e c t i o n

C o n t i n g e n c y P l a n n i n g

C o n f i g u r a t i o n M a n a g e m e n t

M a i n t e n

a n c e

S y s t e m a n d I n f o r m a t i o n I n t e g r i t y

M e d i a P r o t e c t i o n

I n c i d e n t R e s p o n s e

A w a r e n e s s a

n d T r a i n i n g

I d e n t i f i c a t i o n a n d

A u t h e n t i c a t i o n

A c c e s s C

o n t r o l

A u d i t a n d A c c o u n t a b i l i t y

1 PL-1 SA-1 CA-1 PS-1 PE-1 CP-1 CM-1 MA-1 SI-1 MP-1 IR-1 AT-1 IA-1 AC-1 AU-1





PL-6 SA-6 CA-6 PS-6 PE-6 CP-6 CM-6 MA-6 SI-6 MP-6 IR-6 IA-6 AC-6 AU-6

SA-7 CA-7 PS-7 PE-7 CP-7 CM-7 SI-7 MP-7 IR-7 IA-7 AC-7 AU-7

SA-8 PS-8 PE-8 CP-8 CM-8 SI-8 AC-8 AU-8

SA-9 PE-9 CP-9 SI-9 AC-9 AU-9

SA-10 PE-10 CP-10 SI-10 AC-10 AU-10

SA-11 PE-11 SI-11 AC-11 AU-11

PE-12 SI-12 AC-12

PE-13 AC-13

PE-14 AC-14

PE-15 AC-15

PE-16 AC-16

PE-17 AC-17

PE-18 AC-18

PE-19 AC-19

AC-20




• Security Control Implementation Details: This section provides a detailed descriptionof how the security control requirement is implemented. This section states whether thesecurity control has been:

− Met – the control has been fully applied and the control requirements have beenfully met.

− Partially Met – the control has been partially applied and some aspects of thecontrol requirements have not been met. Controls that are partially met will either have an associated Planned Security Controls section or a CompensatingSecurity Controls section.

− Not Met – the control has not been applied and the control requirements are notmet. Security controls that have “Not Met” designation are documented in thePlan of Actions and Milestones (POA&M). Not met controls can have a PlannedSecurity Controls section or a Compensating Security Controls section.

− Not Applicable – the control does not directly apply to the information system.The system either does not perform the functions described by the control, or does not posess the technology for which the control is required (ex., portable

and mobile device restrictions for a system without any laptops, personal digitalassistant (PDA), etc.).

• Planned Security Controls: This section provides a discussion of any planned controlimplementation to address partially met or not met controls.

• Compensating Security Controls: This section provides a discussion of compensatingsecurity controls for partially met or not met requirements that provide an equivalentsecurity capability or level of protection for the information system. Upon verification andresidual risk assessment of the compensating controls through the ST&E and riskassessment tasks, the authorizing official approves these controls for the informationsystem.

• Company-wide Security Controls: controls that are typically standard for all systemsacross the company. These are controls that all systems or applications at <instertcompany name> have in common. The template is pre-populated with the 78 company-wide controls – however, these can be overridden – as an example: Physical Securitycommon controls specific to the Ameliorate Consulting <insert location name> locationmay not apply to the all Ameliorate Consulting locations. Should this be the case,please mark the control in applicable terms for the corresponding system/location.

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System control compliance is detailed in the following format structure:

SECURITY CONTROL IMPLEMENTATION STRUCTURE:

<System Family& Number> NIST System Contol and Procedures

Security Control Requirement:

Text of 800-53 Control Requirement

Security Control Implementation

Met Partially Met Not Met N/A Common Control

PLEASE ADDRESS ONE OF THE FOLLOWING THREE AREAS (WHERE APPLICABLE) AND PROVIDE EXPLANATIONS ACCORDINGLY

Security Control Implementation Details:

<Insert explanation of security control implementation>

Planned Security Control:<Insert explanation of planned security controls in the event of Not Met or Partially Met>

Compensating Security Control:<Insert explanation of compensating security controls for partially met or not met requirementsthat provide an equivalent security capability or level of protection for the information system>

2.1.12.1.1 Risk Assessment (RA)Risk Assessment (RA)

RA-1 Risk Assessment Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented risk assessment policy that addresses purpose, scope, roles,responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementationof the risk assessment policy and associated risk assessment controls.



RA-2 Security Categorization


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The organization categorizes the information system and the information processed,stored, or transmitted by the system in accordance with applicable laws, ExecutiveOrders, directives, policies, regulations, standards, and guidance and documents theresults (including supporting rationale) in the system security plan. Designated senior-level officials within the organization review and approve the security categorizations.




Security Control Implementation Details:<Insert explanation of security control implementation>



RA-3 Risk Assessment


The organization conducts assessments of the risk and magnitude of harm that couldresult from the unauthorized access, use, disclosure, disruption, modification, or destruction of information and information systems that support the operations andassets of the agency (including information and information systems managed/operatedby external parties).

Security Control Implementation Details:Met Partially Met Not Met N/A Common Control





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RA-4 Risk Assessment Update


The organization updates the risk assessment every three years or whenever there aresignificant changes to the information system, the facilities where the system resides, or

other conditions that may impact the security or accreditation status of the system.Security Control Implementation Details:






RA-5 Vulnerability Scanning


The organization scans for vulnerabilities in the information system monthly or whensignificant new vulnerabilities potentially affecting the system are identified andreported.



2.1.22.1.2 Planning (PL)Planning (PL)

PL-1 Security Planning Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, security planning policy that addresses purpose, scope, roles,

responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementationof the security planning policy and associated security planning controls.



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PL-2 System Security Plan


The organization develops and implements a security plan for the information systemthat provides an overview of the security requirements for the system and a descriptionof the security controls in place or planned for meeting those requirements. Designatedofficials within the organization review and approve the plan.








PL-3 System Security Plan Update


The organization reviews the security plan for the information system <Assignment:organization-defined frequency, at least annually> and revises the plan to addresssystem/organizational changes or problems identified during plan implementation or security control assessments.







Compensating Security Control:

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<Insert explanation of compensating security controls for partially met or not met requirementsthat provide an equivalent security capability or level of protection for the information system>

PL-4 Rules of Behavior


The organization establishes and makes readily available to all information systemusers a set of rules that describes their responsibilities and expected behavior withregard to information and information system usage. The organization receives signedacknowledgement from users indicating that they have read, understand, and agree toabide by the rules of behavior, before authorizing access to the information system andits resident information.



PL-5 Privacy Impact Assessment


The organization conducts a privacy impact assessment on the information system inaccordance with OMB policy.



PL-6 Security-Related Activity Planning Security Control Requirement:

The organization plans and coordinates security-related activities affecting theinformation system before conducting such activities in order to reduce the impact onorganizational operations (i.e., mission, functions, image, and reputation),organizational assets, and individuals.



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2.1.32.1.3 System and Services Acquisition (SA)System and Services Acquisition (SA)

SA-1 System and Services Acquisition Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, system and services acquisition policy that includes information securityconsiderations and that addresses purpose, scope, roles, responsibilities, managementcommitment, coordination among organizational entities, and compliance; and (ii)formal, documented procedures to facilitate the implementation of the system andservices acquisition policy and associated system and services acquisition controls.



SA-2 Allocation of Resources

Security Control Requirement:The organization determines, documents, and allocates as part of its capital planningand investment control process, the resources required to adequately protect theinformation system.



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SA-3 Life-Cycle Support


The organization manages the information system using a system development lifecycle methodology that includes information security considerations.



SA-4 Acquisitions


The organization includes security requirements and/or security specifications, either explicitly or by reference, in information system acquisition contracts based on anassessment of risk and in accordance with applicable laws, Executive Orders, directives,policies, regulations, and standards.



SA-5 Information System Documentation


The organization obtains, protects as required, and makes available to authorizedpersonnel, adequate documentation for the information system.


PLEASE ADDRESS ONE OF THE FOLLOWING THREE AREAS (WHERE APPLICABLE) ANDPROVIDE EXPLANATIONS ACCORDINGLY




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SA-11 Developer Security Testing


The organization requires that information system developers create a security test andevaluation plan, implement the plan, and document the results.







2.1.42.1.4 Certification, Accreditation, and Security Assessments (CA)Certification, Accreditation, and Security Assessments (CA)

CA-1 Certification, Accreditation, and Security Assessment Policies and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) formal,documented, security assessment and certification and accreditation policies thataddress purpose, scope, roles, responsibilities, management commitment, coordinationamong organizational entities, and compliance; and (ii) formal, documentedprocedures to facilitate the implementation of the security assessment andcertification and accreditation policies and associated assessment, certification, andaccreditation controls.



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CA-2 Security Assessments


The organization conducts an assessment of the security controls in the informationsystem at least annually to determine the extent to which the controls are implementedcorrectly, operating as intended, and producing the desired outcome with respect to

meeting the security requirements for the system.Security Control Implementation Details:






CA-3 Information System Connections


The organization authorizes all connections from the information system to other information systems outside of the accreditation boundary through the use of systemconnection agreements and monitors/controls the system connections on an ongoing

basis.Security Control Implementation Details:






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CA-4 Security Certification


The organization conducts an assessment of the security controls in the informationsystem 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 Implementation Details:


CA-5 Plan of Action and Milestones


The organization develops and updates on a monthly basis, a plan of action andmilestones for the information system that documents the organization’s planned,implemented, and evaluated remedial actions to correct deficiencies noted during theassessment of the security controls and to reduce or eliminate known vulnerabilities inthe system.







CA-6 Security Accreditation


The organization authorizes (i.e., accredits) the information system for processing beforeoperations and updates the authorization at least every three years or when there is a

significant change to the system. A senior organizational official signs and approves thesecurity accreditation.



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CA-7 Continuous Monitoring


The organization monitors the security controls in the information system on an ongoingbasis.



2.1.52.1.5 Personnel Security (PS)Personnel Security (PS)

PS-1 Personnel Security Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, personnel security policy that addresses purpose, scope, roles,responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementationof the personnel security policy and associated personnel security controls.



PS-2 Position Categorization


The organization assigns a risk designation to all positions and establishes screeningcriteria for individuals filling those positions. The organization reviews and revisesposition risk designations every five years for all personnel requiring level 6C access toinformation system resources.



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PS-3 Personnel Screening


The organization screens individuals requiring access to organizational information andinformation systems before authorizing access.



PS-4 Personnel Termination


The organization, upon termination of individual employment, terminates informationsystem access, conducts exit interviews, retrieves all organizational information system-related property, and provides appropriate personnel with access to official recordscreated by the terminated employee that are stored on organizational informationsystems.



PS-5 Personnel Transfer


The organization reviews information systems/facilities access authorizations whenpersonnel are reassigned or transferred to other positions within the organization andinitiates appropriate actions.



PS-6 Access Agreements


The organization completes appropriate signed access agreements for individualsrequiring access to organizational information and information systems beforeauthorizing access and reviews/updates the agreements annually.


21







PE-3 Physical Access Control


The organization controls all physical access points (including designated entry/exitpoints) to the facility where the information system resides (except for those areas withinthe facility officially designated as publicly accessible) and verifies individual accessauthorizations before granting access to the facility. The organization controls access toareas officially designated as publicly accessible, as appropriate, in accordance with theorganization’s assessment of risk.



PE-5 Access Control for Display Medium


The organization controls physical access to information system devices that displayinformation to prevent unauthorized individuals from observing the display output.



PE-6 Monitoring Physical Access


The organization monitors physical access to the information system to detect andrespond to physical security incidents.



PE-7 Visitor Control


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The organization controls physical access to the information system by authenticatingvisitors before authorizing access to the facility where the information system residesother than areas designated as publicly accessible.



PE-8 Access Logs


The organization maintains visitor access records to the facility where the informationsystem resides (except for those areas within the facility officially designated as publiclyaccessible) that includes: (i) name and organization of the person visiting; (ii) signatureof the visitor; (iii) form of identification; (iv) date of access; (v) time of entry anddeparture; (vi) purpose of visit; and (vii) name and organization of person visited.Designated officials within the organization review the visitor access records daily.


PE-9 Power Equipment and Power Cabling


The organization protects power equipment and power cabling for the informationsystem from damage and destruction.



PE-10 Emergency Shutoff


The organization provides, for specific locations within a facility containingconcentrations of information system resources, the capability of shutting off power toany information system component that may be malfunctioning or threatened withoutendangering personnel by requiring them to approach the equipment.


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PE-11 Emergency Power


The organization provides a short-term uninterruptible power supply to facilitate anorderly shutdown of the information system in the event of a primary power source loss.



PE-12 Emergency Lighting


The organization employs and maintains automatic emergency lighting that activates inthe event of a power outage or disruption and that covers emergency exits andevacuation routes.



PE-13 Fire Protection


The organization employs and maintains fire suppression and detection devices/systemsthat can be activated in the event of a fire.



PE-14 Temperature & Humidity Controls


The organization regularly maintains, within acceptable levels, and monitors thetemperature and humidity within the facility where the information system resides.



PE-15 Water Damage Protection


25





The organization protects the information system from water damage resulting frombroken plumbing lines or other sources of water leakage by ensuring that master shutoff valves are accessible, working properly, and known to key personnel.



PE-16 Delivery and Removal


The organization authorizes and controls information system-related items entering andexiting the facility and maintains appropriate records of those items.



PE-17 Alternate Work Site


The organization employs appropriate management, operational, and technicalinformation system security controls at alternate work sites.



PE-18 Location of Information System Components


The organization positions information system components within the facility to minimizepotential damage from physical and environmental hazards and to minimize theopportunity for unauthorized access.



2.1.72.1.7 Contingency Planning (CP)Contingency Planning (CP)

CP-1 Contingency Planning Policy and Procedures


26





The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, contingency planning policy that addresses purpose, scope, roles,responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementationof the contingency planning policy and associated contingency planningcontrols.


CP-2 Contingency Plan


The organization develops and implements a contingency plan for the informationsystem addressing contingency roles, responsibilities, assigned individuals with contactinformation, and activities associated with restoring the system after a disruption or

failure. Designated officials within the organization review and approve the contingencyplan and distribute copies of the plan to key contingency personnel.





Planned Security Control:

<Insert explanation of planned security controls in the event of Not Met or Partially Met>


CP-3 Contingency Training


The organization trains personnel in their contingency roles and responsibilities withrespect to the information system and provides refresher training annually.


27









CP-4 Contingency Plan Testing and Exercises


The organization: (i) tests and/or exercises the contingency plan for the informationsystem least annually using organizational elements responsible for related plans (e.g.,Business Continuity Plan, Disaster Recovery Plan, Continuity of Operations Plan,Business Recovery Plan, Incident Response Plan) at the alternate processing site todetermine the plan’s effectiveness and the organization’s readiness to execute the plan;and (ii) reviews the contingency plan test/exercise results and initiates correctiveactions.



CP-5 Contingency Plan Update


The organization reviews the contingency plan for the information system annually andrevises the plan to address system/organizational changes or problems encounteredduring plan implementation, execution, or testing.



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CP-6 Alternate Storage Site


The organization identifies an alternate storage site and initiates necessary agreementsto permit the storage of information system backup information.



CP-7 Alternate Processing Site


The organization identifies an alternate processing site and initiates necessaryagreements to permit the resumption of information system operations for criticalmission/business functions within 24/48 hours when the primary processing capabilitiesare unavailable.



CP-8 Telecommunications Services

Security Control Requirement:The organization identifies primary and alternate telecommunications services to supportthe information system and initiates necessary agreements to permit the resumption of system operations for critical mission/business functions within 24 hours when theprimary telecommunications capabilities are unavailable.

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CP-9 Information System Backup


The organization conducts backups of user-level and system-level information (includingsystem state information) contained in the information system weekly and protectsbackup information at the storage location.



CP-10 Information System Recovery and Reconstitution


The organization employs mechanisms with supporting procedures to allow theinformation system to be recovered and reconstituted to a known secure state after adisruption or failure.



2.1.82.1.8 Configuration Management (CM)Configuration Management (CM)

CM-1 Configuration Management Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, configuration management policy that addresses purpose, scope, roles,responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementationof the configuration management policy and associated configuration managementcontrols.



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CM-2 Baseline Configuration


The organization develops, documents, and maintains a current baseline configurationof the information system.


Met Partially Met Not Met N/A Common ControlPLEASE ADDRESS ONE OF THE FOLLOWING THREE AREAS (WHERE APPLICABLE) ANDPROVIDE EXPLANATIONS ACCORDINGLY



Compensating Security Control:<Insert explanation of compensating security controls for partially met or not met requirements

that provide an equivalent security capability or level of protection for the information system>

CM-3 Configuration Change Control


The organization authorizes, documents, and controls changes to the informationsystem.



PLEASE ADDRESS ONE OF THE FOLLOWING THREE AREAS (WHERE APPLICABLE) AND

PROVIDE EXPLANATIONS ACCORDINGLY




CM-4 Monitoring Configuration Changes


The organization monitors changes to the information system conducting security impactanalyses to determine the effects of the changes.

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CM-5 Access Restrictions for ChangeSecurity Control Requirement:

The organization: (i) approves individual access privileges and enforces physical andlogical access restrictions associated with changes to the information system; and (ii)generates, retains, and reviews records reflecting all such changes.







CM-6 Configuration Settings


32





The organization: (i) establishes mandatory configuration settings for informationtechnology products employed within the information system; (ii) configures the securitysettings of information technology products to the most restrictive mode consistent withoperational requirements; (iii) documents the configuration settings; and (iv) enforces theconfiguration settings in all components of the information system.







CM-7 Least Functionality


The organization configures the information system to provide only essential capabilitiesand specifically prohibits and/or restricts the use of unnecessary functions, ports,protocols, and/or services.








CM-8 Information System Component Inventory


33





The organization develops, documents, and maintains a current inventory of thecomponents of the information system and relevant ownership information.







2.1.92.1.9 Maintenance (MA)Maintenance (MA)

MA-1 System Maintenance Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,

documented, information system maintenance policy that addresses purpose, scope,roles, responsibilities, management commitment, coordination among organizationalentities, and compliance; and (ii) formal, documented procedures to facilitate theimplementation of the information system maintenance policy and associated systemmaintenance controls.



MA-2 Controlled Maintenance


The organization schedules, performs, documents, and reviews records of routinepreventative and regular maintenance (including repairs) on the components of theinformation system in accordance with manufacturer or vendor specifications and/or organizational requirements.

34









MA-5 Maintenance Personnel


The organization allows only authorized personnel to perform maintenance on theinformation system.







MA-6 Timely Maintenance


The organization obtains maintenance support and spare parts for high availabilityservers within 24 hours of failure.



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2.1.102.1.10 System and Information Integrity (SI)System and Information Integrity (SI)

SI-1 System and Information Integrity Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, system and information integrity policy that addresses purpose, scope,roles, responsibilities, management commitment, coordination among organizationalentities, and compliance; and (ii) formal, documented procedures to facilitate theimplementation of the system and information integrity policy and associated system andinformation integrity controls.



SI-2 Flaw Remediation


The organization identifies, reports, and corrects information system flaws.






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SI-3 Malicious Code Protection


The information system implements malicious code protection.



SI-4 Information System Monitoring Tools and Techniques


The organization employs tools and techniques to monitor events on the informationsystem, detect attacks, and provide identification of unauthorized use of the system.



SI-5 Security Alerts and Advisories


The organization receives information system security alerts/advisories on a regular basis, issues alerts/advisories to appropriate personnel, and takes appropriate actions inresponse.



SI-8 Spam Protection


The information system implements spam protection.Security Control Implementation Details:


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SI-9 Information Input Restrictions


The organization restricts the capability to input information to the information system toauthorized personnel.






SI-10 Information Accuracy, Completeness, Validity, and Authenticity


The information system checks information for accuracy, completeness, validity, andauthenticity.







SI-11 Error Handling


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The information system identifies and handles error conditions in an expeditious manner without providing information that could be exploited by adversaries.







SI-12 Information Output Handling and Retention


The organization handles and retains output from the information system in accordancewith applicable laws, Executive Orders, directives, policies, regulations, standards, andoperational requirements.







2.1.112.1.11 Media Protection (MP)Media Protection (MP)

MP-1 Media Protection Policy and Procedures


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The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, media protection policy that addresses purpose, scope, roles,responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementationof the media protection policy and associated media protection controls.



MP-2 Media Access


The organization authorizes, monitors, and controls any remotely executed maintenanceand diagnostic activities, if employed.



MP-4 Media Storage


The organization physically controls and securely stores information system mediawithin controlled areas.







MP-5 Media Transport


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The organization protects and controls information system media during transportoutside of controlled areas and restricts the activities associated with transport of suchmedia to authorized personnel.



MP-6 Media Sanitization and Disposal


The organization sanitizes information system media, both digital and non-digital, prior todisposal or release for reuse.



2.1.122.1.12 Incident Response (IR)Incident Response (IR)

IR-1 Incident Response Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, incident response policy that addresses purpose, scope, roles,responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementation

of the incident response policy and associated incident response controls.



IR-2 Incident Response Training


The organization trains personnel in their incident response roles and responsibilitieswith respect to the information system and provides refresher training annually.



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IR-3 Incident Response Testing and Exercises


The organization tests and/or exercises the incident response capability for theinformation system least annually using automated mechanisms to determine the

incident response effectiveness and documents the results.Security Control Implementation Details:


IR-4 Incident Handling


The organization implements an incident handling capability for security incidents thatincludes preparation, detection and analysis, containment, eradication, and recovery.



IR-5 Incident Monitoring


The organization tracks and documents information system security incidents on anongoing basis.



IR-6 Incident Reporting


The organization promptly reports incident information to appropriate authorities.



IR-7 Incident Response Assistance


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The organization provides an incident response support resource that offers advice andassistance to users of the information system for the handling and reporting of securityincidents. The support resource is an integral part of the organization’s incidentresponse capability.



2.1.132.1.13 Awareness and Training (AT) Awareness and Training (AT)

AT-1 Security Awareness and Training Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, security awareness and training policy that addresses purpose, scope,roles, responsibilities, management commitment, coordination among organizational

entities, and compliance; and (ii) formal, documented procedures to facilitate theimplementation of the security awareness and training policy and associated securityawareness and training controls.



AT-2 Security Awareness


The organization provides basic security awareness training to all information systemusers (including managers and senior executives) before authorizing access to thesystem, when required by system changes, and [Assignment: organization-definedfrequency, at least annually] thereafter.



AT-3 Security Training

Security Control Requirement:The organization identifies personnel that have significant information system securityroles and responsibilities during the system development life cycle, documents thoseroles and responsibilities, and provides appropriate information system security training:(i) before authorizing access to the system or performing assigned duties; (ii) whenrequired by system changes; and (iii) annually thereafter.

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AT-4 Security Training Records


The organization documents and monitors individual information system security trainingactivities including basic security awareness training and specific information systemsecurity training.



PLEASE ADDRESS ONE OF THE FOLLOWING THREE AREAS (WHERE APPLICABLE) ANDPROVIDE EXPLANATIONS ACCORDINGLYSecurity Control Implementation Details:<Insert explanation of security control implementation>



2.1.142.1.14 Identification and Authentication (IA)Identification and Authentication (IA)

IA-1 Identification and Authentication Policy and ProceduresSecurity Control Requirement:

The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, identification and authentication policy that addresses purpose, scope,roles, responsibilities, management commitment, coordination among organizational

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entities, and compliance; and (ii) formal, documented procedures to facilitate theimplementation of the identification and authentication policy and associatedidentification and authentication controls.



IA-2 User Identification and Authentication


The information system uniquely identifies and authenticates users (or processes actingon behalf of users).







IA-3 Device and Host Identification and Authentication


The information system identifies and authenticates specific devices before establishinga connection.






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IA-4 Identifier Management


The organization manages user identifiers by: (i) uniquely identifying each user; (ii)verifying the identity of each user; (iii) receiving authorization to issue a user identifier from an appropriate organization official; (iv) issuing the user identifier to the intendedparty; (v) disabling the user identifier after 120 days of inactivity; and (vi) archiving user identifiers.



IA-5 Authenticator Management Security Control Requirement:

The organization manages information system authenticators by: (i) defining initialauthenticator content; (ii) establishing administrative procedures for initial authenticator distribution, for lost/compromised, or damaged authenticators, and for revokingauthenticators; (iii) changing default authenticators upon information system installation;and (iv) changing/refreshing authenticators periodically.



IA-6 Authenticator Feedback


The information system obscures feedback of authentication information during theauthentication process to protect the information from possible exploitation/use byunauthorized individuals.






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AC-5 Separation of Duties


The information system enforces separation of duties through assigned accessauthorizations.








AC-6 Least Privilege


The information system enforces the most restrictive set of rights/privileges or accessesneeded by users (or processes acting on behalf of users) for the performance of specifiedtasks.







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AC-11 Session Lock


The information system prevents further access to the system by initiating a session lockafter 20 minutes of inactivity, and the session lock remains in effect until the user reestablishes access using appropriate identification and authentication procedures.








AC-12 Session Termination


The information system automatically terminates a remote session after 20 minutes of inactivity.







AC-13 Supervision and Review—Access Control


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The organization supervises and reviews the activities of users with respect to theenforcement and usage of information system access controls.







AC-14 Permitted Actions without Identification or Authentication


The organization identifies and documents specific user actions that can be performed onthe information system without identification or authentication.







AC-17 Remote Access

Security Control Requirement:The organization authorizes, monitors, and controls all methods of remote access to theinformation system.



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AC-18 Wireless Access Restrictions


The organization: (i) establishes usage restrictions and implementation guidance for wireless technologies; and (ii) authorizes, monitors, controls wireless access to theinformation system.



AC-19 Access Control for Portable and Mobile Devices


The organization: (i) establishes usage restrictions and implementation guidance for

organization-controlled portable and mobile devices; and (ii) authorizes, monitors, andcontrols device access to organizational information systems.



AC-20 Use of External Information Systems

Security Control Requirement:The organization establishes terms and conditions for authorized individuals to: (i) access

the information system from an external information system; and (ii) process, store,and/or transmit organization-controlled information using an external information system.



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2.1.162.1.16 Audit and Accountability (AU) Audit and Accountability (AU)

AU-1 Audit and Accountability Policy and Procedures

Security Control Requirement:The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, audit and accountability policy that addresses purpose, scope, roles,responsibilities, management commitment, coordination among organizational entities,and compliance; and (ii) formal, documented procedures to facilitate the implementationof the audit and accountability policy and associated audit and accountability controls.



AU-2 Auditable Events


The information system generates audit records for the following events: 1) All user access attempts to the system, 2) Modification of sensitive system information, 3)

Additions of new users, 4) Deletions of users, 5) Changes to user privileges, 6) Changesto system security settings, 7) Direct user changes to system data (not facilitated by theapplication).







AU-3 Content of Audit Records


The information system produces audit records that contain sufficient information toestablish what events occurred, the sources of the events, and the outcomes of theevents.

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AU-4 Audit Storage Capacity

Security Control Requirement:The organization allocates sufficient audit record storage capacity and configuresauditing to reduce the likelihood of such capacity being exceeded.







AU-5 Response to Audit Processing Failures


The information system alerts appropriate organizational officials in the event of an auditprocessing failure and takes the following additional actions: ceases information system

processing.Security Control Implementation Details:



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AU-6 Audit Monitoring, Analysis, and Reporting


The organization regularly reviews/analyzes information system audit records for indications of inappropriate or unusual activity, investigates suspicious activity or suspected violations, reports findings to appropriate officials, and takes necessaryactions.







AU-7 Audit Reduction and Report Generation


The information system provides an audit reduction and report generation capability.







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AU-11 Audit Record Retention


The organization retains audit records for one year to provide support for after-the-factinvestigations of security incidents and to meet regulatory and organizational informationretention requirements.







2.1.172.1.17 System and Communications Protection (SC)System and Communications Protection (SC)

SC-1 System and Communications Policy and Procedures


The organization develops, disseminates, and periodically reviews/updates: (i) a formal,documented, system and communications protection policy that addresses purpose,scope, roles, responsibilities, management commitment, coordination amongorganizational entities, and compliance; and (ii) formal, documented procedures tofacilitate the implementation of the system and communications protection policy andassociated system and communications protection controls.



SC-2 Application Partitioning


The information system separates user functionality (including user interface services)from information system management functionality.




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SC-4 Information Remnance


The information system prevents unauthorized and unintended information transfer viashared system resources.







SC-5 Denial of Service Protection


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>.





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SC-7 Boundary Protection


The information system monitors and controls communications at the external boundaryof the information system and at key internal boundaries within the system.







SC-8 Transmission Integrity


The information system protects the integrity of transmitted information.








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SC-9 Transmission Confidentiality


The information system protects the confidentiality of transmitted information.







SC-10 Network Disconnect


The information system terminates a network connection at the end of a session or after 20 minutes of inactivity.







SC-12 Cryptographic Key Establishment and Management Security Control Requirement:

When cryptography is required and employed within the information system, theorganization establishes and manages cryptographic keys using automatedmechanisms with supporting procedures or manual procedures.

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SC-13 Use of Cryptography

Security Control Requirement:For information requiring cryptographic protection, the information system implementscryptographic mechanisms that comply with applicable laws, Executive Orders,directives, policies, regulations, standards, and guidance.







SC-14 Public Access Protections


The information system protects the integrity and availability of publicly available

information and applications.Security Control Implementation Details:



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SC-15 Collaborative Computing


The information system prohibits remote activation of collaborative computingmechanisms and provides an explicit indication of use to the local users.







SC-17 Public Key Infrastructure Certificates


The organization issues public key certificates under an appropriate certificate policy or obtains public key certificates under an appropriate certificate policy from an approvedservice provider.







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SC-22 Architecture and Provisioning for Name/Address Resolution Service

Security Control Requirement:The information systems that collectively provide name/address resolution service for anorganization are fault tolerant and implement role separation.







SC-23 Session Authenticity


The information system provides mechanisms to protect the authenticity of communications sessions.



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Appendix AAppendix A

Minor Applications InventoryMinor Applications Inventory

This appendix includes the minor applications inventory for Ameliorate Consulting

70 pages - itsecurityplantemplate

Documents